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AVP, Sr. IT Auditor

Location: El Monte - Flair Dr.
Region: Southern California
Position Title: AVP, Sr. IT Auditor

Job Duties:

  • Perform surveys of functions and activities in assigned IT areas to determine the nature of the operations and the existence and adequacy of the internal and IT controls used to achieve established objectives
  • Review, verify and analyze transactions, documents, records, and reports for accuracy and appropriateness
  • Evaluate the adequacy and effectiveness of internal control methods, policies, and procedures
  • Determine that duties are performed in accordance with company policies, operating procedures, other management instructions, and regulatory requirements
  • Determine that transactions are recorded promptly and accurately
  • Determine that assets are safeguarded adequately
  • Conduct interviews with appropriate Company personnel to supplement assigned audit tests
  • Prepare professional work papers supporting objective and informed conclusions and recommendations
  • When acting as Auditor-in-Charge, perform the following additional duties:
  1. Plan the audit and assign segments of the program to assisting auditors
  2. Assure assisting auditors conduct themselves in a professional manner
  3. Control assignments to completion within 10% (+ / -) of established time budgets
  4. Immediately inform the Chief Internal Auditor and/or Audit Manager of any condition that may adversely impact the audit or the Company’s safety and soundness
  5. Review work papers prepared by assisting auditors for accuracy and completeness
  6. Summarize audit finding for the review and approval of the Chief Internal Auditor and/or Audit Manager
  7. Participate in the presentation of audit findings to management and drafts reports of audit findings for the review and approval of the Chief Internal Auditor and/or Audit Manager.
  • Perform follow up examinations to determine the existence and adequacy of corrective actions taken by management in response to audit recommendations.  Also perform periodic surveys of operational activities to assess the adequacy of documentation prepared by management to document the existing internal control systems
  • Draft audit objectives, examination programs, and work papers, or recommend revisions to existing programs and work papers resulting from changes in operating activities
  • Recommend the scope of audit testing and the resources needed, including the use of computer assisted auditing techniques (CAAT)
  • Perform fraud investigations
  • Assist in the on-the-job training of Auditors I and II.  Also assist in preparing and presenting assigned material for in-house training programs
  • Provide assistance to external auditors as assigned
  • Perform other tasks as assigned by the Chief Internal Auditor and/or Audit Manager
  • Maintain and improve technical and professional competence through continuing education.

Basic Requirements:

  • BA/BS or Master’s in Management Information Systems or related discipline.
  • At least 3-5 years of IT audit experience, including at least 2 years in a Financial Services environment with increasing levels of responsibility.
  • Excellent oral and written communication skills with the demonstrated ability to deal effectively with all levels of management. 
  • Strong understanding internal control theory and audit techniques as well as IT controls and a working knowledge of IT processes within a Financial Services environment.
  • Strong analytical skills and a good understanding of computer assisted audit techniques. 
  • The ability to perform assigned duties with minimum supervision. 
  • Must be a team player. 
  • The willingness and ability to travel, including occasional overnight assignments. 
  • Have access to a motor vehicle, possess a valid driver’s license and legally required liability insurance. 
  • CISA or CISA candidate.  CIA preferred.
Please send resume and salary expectation to
Human Resources, Cathay Bank
9650 Flair Drive
El Monte, CA 91731
or fax resume to 626-454-1261


Cathay Bank is an equal opportunity and M/F/D/V (Minority/Female/Disabled/Veteran) employer.


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Cathay Bank

Compliance Department

9650 Flair Drive EL-5-C

El Monte, CA 91731.

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