Senior Auditor

US-TX-Dallas
Req #
2017-6734
Type
Full-Time
Category
Audit, Risk, Compliance & Fraud
Dallas, TX - Dallas Renaissance (HTH)
Availability
Monday - Friday, 8:00am - 5:00pm
Company Name
HILLTOP HOLDINGS, INC.

Job Summary

A Senior Auditor organizes, plans, and conducts periodic reviews of Sarbanes-Oxley compliance and other corporate activities, primarily those relating to Hilltop Holdings (HTH) and Hilltop Securities Holdings LLC (HTS). Prepares annual risk assessments. Assesses internal controls, operations, and administrative functions for efficiency and effectiveness. Reviews applicable federal regulations and internal policies and procedures (P&P) to ensure compliance with all aspects of P&P in assigned audit areas.

 

 

audit, auditor, internal audit, SOX

Essential Functions

  1. Conducts audits of assigned areas by verifying proper functioning of internal controls, compliance with corporate policy and regulatory issues, and other operating procedures.
  2. Prepares reports of audit findings, presenting any irregularities or exceptions to Audit Manager or Audit Director. Prepares written audit reports expressing opinion on the adequacy, effectiveness, and efficiency of (a) the system of internal controls, and (b) corporate and regulatory compliance efforts.
  3. Obtains and analyzes audit evidence as a basis for an informed, objective, and independent opinion on the adequacy, effectiveness, and efficiency of the overall control and compliance system being reviewed.
  4. Appraises, or assists in appraising, the adequacy of the corrective action taken to improve deficient conditions.
  5. Works with and assists external auditors or regulators as requested to expedite their exams and audits.
  6. Actively seeks and maintains professional certifications (see below).
  7. Assures the adequacy and effectiveness of controls and compliance efforts in specialized environments such as information technology, data processing, trust, etc.
  8. Reviews compliance with major regulatory requirements other than those currently reviewed by the Compliance Officer.
  9. Willingness to travel 15% (20% at most).
  10. Other duties as required.

 

audit, auditor, internal audit, SOX

Job Requirements

  • Bachelor’s degree in Accounting, Business, or related field required. Master’s degree in Accounting or Finance preferred.
  • 2 or more years of previous experience in public accounting or internal audit. IT audit experience or knowledge a plus. Financial Services industry, specifically, Securities industry, experience a plus.
  • Certifications desired (any one or a combination): Certified Public Accountant, Certified Internal Auditor, Certified Financial Services Auditor, Chartered/Certified Bank Auditor.
  • Must demonstrate Continuing Professional Education supporting commitment to upholding any and all certifications listed above
  • Excellent written and verbal communication and interpersonal skills
  • Excellent PC skills, including word processing and spreadsheets, with adaptability to specialized programs for risk management and others in use by HTH Internal Audit
  • Excellent analytical skills and attention to detail
  • Excellent time management, organizational and problem-solving skills
  • Must be able to travel up to 20%

About the Company

Founded in 1998 and headquartered in Dallas, Texas, Hilltop Holdings offers a diverse range of financial services through its four primary subsidiaries, PlainsCapital Bank, PrimeLending, HilltopSecurities, and National Lloyds Corporation. PlainsCapital Bank is a leading commercial bank with locations throughout Texas. PrimeLending is a national mortgage provider focused on purchase mortgage originations. HilltopSecurities provides financial advisory, clearing, retail brokerage, and other investment banking services. National Lloyds Corporation is a niche property and casualty underwriter focused on homeowners insurance for low value dwellings. Hilltop Holdings seeks to build the premier Texas-based diversified financial services holding company through acquisitions and organic growth.  To learn more, please visit www.hilltop-holdings.com.

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