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Compass Technology Group


Ft. Worth, TX

Contact Name

Jason Stevens

Contact Phone


Job Title

Senior IT Auditor

Job Code


Job Category


Job Description

General Summary

General regulatory compliance and/or audit experience in the consumer finance industry, superb analytic and communication skills, a first-rate ability to prioritize and high attention to detail and drive to deliver excellence in every task are core values of the company and a principal characteristic required of this position.

Principal Duties and Responsibilities
• Complete the planning process for audit engagements.
• Develop and/or oversee the completion of risk and controls assessments, audit program test steps, detail testing, findings and compliance audit reports.
• Identify control/compliance opportunities with minimal supervision.
• Evaluate test results: accurately identify symptoms, root cause, problems, identify alternative controls and develop recommendations. 
• Elevate issues/concerns as necessary within IT. 
• Develop understanding of appropriate business aspects, risks, potential fraud, performance requirements and control processes and systems of auditable activities assigned to audit
• Identify information processing/technology risk, evaluate controls and make recommendations for improvement in processes, procedures and controls
• Evaluate overall hardware and software platform, network and telecommunications infrastructure, including IS strategies, policies, procedures, management practices and organizational structures
• Assess information technology control elements to mitigate IT risks such as access, process integrity, relevance and availability
• Develop reasonable risk based recommendations with minimal supervision.
• Employ risk assessment methodologies to gauge risks and drive audit work plans.
• Negotiate audit findings and draft audit reports with senior management with minimal supervision.
• Build and maintain positive business relationships to assist business owners.
• Support the Compliance Audit Manager and provide assistance with the annual regulatory compliance risk assessment and related annual compliance audit planning and scheduling.
• Support the Compliance Audit Manager and provide assistance with completing the annual audit plan by the designated deadline.
• Complete the compliance audits in accordance with practices outlined in the International Professional Practices Framework as defined by the Institute of Internal Auditors.
• Keep abreast of latest compliance and risk legislation, regulations, advisories, alerts, and vulnerabilities pertaining to Think Finance and its mission and seek opportunities to become a subject matter expert in federal, state and local regulations, including but not limited to Reg B, Reg Z, FACTA, FCRA, OFAC, BSA/AML, etc.
• Partner, provide guidance and assist business areas with the creation, integration, modification, and/or review of department policies, standard operating procedures, and desktop material pertaining to all legal/regulatory and compliance audit requirements; including best practice recommendations.
• Assist with the analysis and interpretation of regulatory compliance requirements.
• Perform duties associated with preparing company responses to federal and state agency compliance audits.
• Perform compliance monitoring with supervision by analyzing data and/or documentation across specific business units
• Attend meetings and provide timely communication/updates to Compliance Audit Manager or Senior Compliance Auditors.
• Perform other assigned duties as assigned/needed.
• Maintain a positive attitude and team environment.

Job Summary

Experience and Education
• Bachelor’s Degree in Computer Science, Accounting, Finance, or related field
• Five or more years of experience in internal audit or regulatory compliance in the consumer lending/finance industry
• Intermediate skills with the following Microsoft products; SharePoint, Excel, Word, Visio, PowerPoint, ACL/IDEA and Access
• Nice to have: Professional Certifications: Certified Information Systems Auditor (CISA), Certified Internal Auditor (CIA), or in regulatory compliance

Required Skills, Abilities, Soft Skill Factors
• Minimum 2 - 4 years of Professional Services experience in the areas of IT audit, and IT controls assessment,
• Experience developing IT audit work programs and/or assisting in IT audits,
• Knowledge of IS audit and security standards
• Strong understanding of IT access controls, Change Management Methodology & Segregation of Duties
• Strong analytical skills to include proficient use of MS Office products and project management tools
• Excellent written and oral communication and presentation skills.
• Superior organizational and time management skills.
• An ability to lead audit engagement teams, devise and perform complex analyses, and prepare documentation which establishes objectives, issues, options, and recommendations.
• Excels at building and maintaining trustworthy and effective relationships through strong interpersonal skills with emphasis on relationship-building and consistent demonstration of solid professional judgment
• An ability to understand general Compliance, Internal Audit and Finance terminology and the ability to understand laws, regulations, and the local regulatory process
• An ability to review the processes in the broad context of the overall business, including an evaluation of risk/reward tradeoffs, and the ability to anticipate issues not yet of obvious direct impact
• Well organized, detail oriented, able to manage multiple competing tasks, efficient and able to work independently and think critically
• Ability to read and comment on documents thoroughly to determine actions needed
• Strong project-leadership skills
• Understanding of the products offered by the business and a familiarity with the processes used to deliver them

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Content Type: Item
Created at 2/13/2013 12:32 PM by  
Last modified at 4/24/2013 3:36 PM by Thom King

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