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Credit Union Internal Auditor Onboarding

Complete the company's onboarding paperwork

Attend general orientation session

Meet the Audit Department team

Understand the organizational structure of the Credit Union

Learn about credit union services and products

Review previous internal audit reports

Familiarize with auditing software tools

Get overview of credit union’s regulations and legislation

Understand company's policies and procedures related to auditing

Be briefed on the specific duties and responsibilities of the role

Get training on internal controls and risk management

Get access to required systems and databases

Undergo training on data analysis and reporting

Understand the procedure for handling unethical situations

Learn how to develop and conduct audit testing procedures

Approval: Senior Auditor on the understanding of the role

Be introduced to key contacts

Review and learn about credit union’s quality assurance program

Schedule and plan for the first internal audit

Approval: The Audit Manager on the preparedness for the first audit

Complete the company's onboarding paperwork

This task is crucial for your onboarding process as it ensures that all necessary paperwork and documentation are completed. By completing this task, you will be providing the necessary information to the company to ensure compliance and streamline your onboarding process. The desired result is to have all required paperwork submitted accurately and timely. To successfully complete this task, you will need to gather personal information, employment history, and any relevant certifications or licenses. If you face any challenges or have any questions, please reach out to the HR department. Please fill in the required form fields below:

Full Name

Address

Phone Number

Date of Birth

Email Address

Upload Resume/CV

Attend general orientation session

Congratulations on joining the Credit Union! Attending the general orientation session is your first step towards getting acquainted with the organization. This session will provide you with an overview of the Credit Union's mission, values, and culture. You will also learn about important policies, benefits, and resources available to employees. The session will be conducted by the HR department. Make sure to actively participate, ask questions, and take notes to make the most of this opportunity. Don't forget to complete the form fields below:

First Name

Last Name

Preferred Language

1

English
2

Spanish
3

French
4

German
5

Mandarin

Orientation Date

Meet the Audit Department team

Meeting the Audit Department team is an opportunity for you to get to know your colleagues and understand their roles in the organization. This task will help you build relationships, foster collaboration, and ensure a smooth onboarding process. During the meeting, you will be introduced to key team members, learn about their areas of expertise, and understand how they contribute to the overall audit function. Be sure to ask questions and take notes to familiarize yourself with the team. Please provide the following information to schedule the meeting:

Preferred Meeting Date

Preferred Meeting Time

Your Email Address

Your Phone Number

Select a team member to meet

Understand the organizational structure of the Credit Union

To effectively perform your role as an internal auditor, it is essential to understand the organizational structure of the Credit Union. This task will provide you with an overview of the different departments, their functions, and how they collaborate to achieve the Credit Union's goals. Understanding the organizational structure will allow you to navigate the organization more efficiently, seek assistance when needed, and contribute meaningfully to the audit process. Please review the following form fields and provide the requested information:

Select the Credit Union departments that you want to learn more about

1

Finance
2

Human Resources
3

Marketing
4

Operations
5

IT

Additional department(s) of interest

Learn about credit union services and products

To be an effective internal auditor in a credit union, it is crucial to have a thorough understanding of the services and products offered by the organization. This knowledge will enable you to assess risks, identify control weaknesses, and provide valuable insights during the audit process. This task will help you gain familiarity with the range of financial services and products offered by the Credit Union. Please find below the form fields to complete:

Select at least three credit union services or products to learn about

1

Savings Accounts
2

Loans
3

Credit Cards
4

Mortgages
5

Investment Services

Additional service or product of interest

Review previous internal audit reports

Reviewing previous internal audit reports will give you valuable insights into the Credit Union's previous audit findings, recommendations, and actions taken to address them. By understanding the findings and areas of improvement, you can identify recurring issues, assess the effectiveness of past recommendations, and develop a targeted audit approach. Take note of any persistent challenges or areas of focus for future audits. Please provide the required information below:

Select the previous internal audit report(s) to review

1

Year 1
2

Year 2
3

Year 3
4

Year 4
5

Year 5

Familiarize with auditing software tools

As an internal auditor, proficiency in auditing software tools is essential for efficient and effective work. This task will familiarize you with the auditing software tools used at the Credit Union. Acquiring proficiency in these tools will enable you to perform tasks such as data analysis, report generation, and documentation more efficiently. Please provide the information requested below:

Auditing Software Tool(s) Name

Get overview of credit union’s regulations and legislation

Understanding the regulations and legislation that govern the Credit Union is vital to ensure compliance and integrity in the auditing process. This task will provide you with an overview of the key regulations and legislation relevant to the Credit Union. By familiarizing yourself with these regulations, you will be able to identify potential areas of non-compliance and ensure the effectiveness of the audit process. Please review and fill in the following form fields:

Key Credit Union regulations and legislation

Be briefed on the specific duties and responsibilities of the role

Obtaining a comprehensive understanding of your specific duties and responsibilities as an internal auditor is crucial to excel in your role. This task will provide you with a briefing on the specific duties and responsibilities of the internal auditor position at the Credit Union. By clarifying your responsibilities, you can effectively plan your work, prioritize tasks, and contribute to the overall audit objectives. Please review and complete the form fields below:

Internal Auditor Job Title

Specific Duties and Responsibilities

Get training on internal controls and risk management

Training on internal controls and risk management is integral to your role as an internal auditor. This task will equip you with the necessary knowledge and skills to assess the effectiveness of internal controls, identify control gaps, and mitigate risks effectively. The training will cover topics such as control frameworks, risk assessment methodologies, and best practices in risk management. Please provide the requested information below:

Training Start Date

Training End Date

Get access to required systems and databases

To carry out your audit responsibilities, it is essential to have access to the systems and databases necessary for retrieving relevant information. This task will ensure that you are granted the required access to the systems and databases used by the Credit Union. Please provide the following information to facilitate access setup:

System Login ID

System Access Requested

Undergo training on data analysis and reporting

Proficiency in data analysis and reporting is crucial for internal auditors. This task will provide you with training on data analysis techniques and reporting tools used at the Credit Union. The training will equip you with the skills to efficiently analyze data, identify trends, and generate meaningful insights for audit reporting. Please provide the information requested below:

Training Session Name

Understand the procedure for handling unethical situations

Being aware of the procedure for handling unethical situations is fundamental for maintaining the integrity of the Credit Union. This task will provide an overview of the procedure to follow when faced with unethical situations. By understanding the procedure and reporting channels, you can contribute to a culture of transparency, trust, and ethical behavior. Please review and complete the form fields below:

Procedure for handling unethical situations

Learn how to develop and conduct audit testing procedures

Developing and conducting audit testing procedures is a critical skill for internal auditors. This task will provide you with an understanding of the techniques and methodologies used to develop and conduct audit testing procedures. By mastering these skills, you can assess controls, detect weaknesses, and provide recommendations to improve processes and mitigate risks. Please provide the information requested below:

Select at least three audit testing procedures to learn about

1

Observation
2

Document Review
3

Interviews
4

Sampling
5

Reconciliation

Additional audit testing procedure of interest

Approval: Senior Auditor on the understanding of the role

Meet the Audit Department team
Will be submitted
Understand the organizational structure of the Credit Union
Will be submitted
Learn about credit union services and products
Will be submitted
Review previous internal audit reports
Will be submitted
Familiarize with auditing software tools
Will be submitted
Get overview of credit union’s regulations and legislation
Will be submitted
Understand company's policies and procedures related to auditing
Will be submitted
Be briefed on the specific duties and responsibilities of the role
Will be submitted
Get training on internal controls and risk management
Will be submitted
Get access to required systems and databases
Will be submitted
Understand the procedure for handling unethical situations
Will be submitted
Learn how to develop and conduct audit testing procedures
Will be submitted

Be introduced to key contacts

Building a network of key contacts is essential for effective communication and collaboration in your role as an internal auditor. This task will introduce you to key contacts within the Credit Union who can provide guidance, support, and valuable insights. By establishing relationships with these contacts, you can enhance your knowledge, seek assistance when needed, and foster collaboration across departments. Please fill in the form fields below:

Select at least three key contacts to be introduced to

1

Chief Financial Officer
2

Compliance Manager
3

Internal Audit Director
4

Branch Manager
5

IT Manager

Additional key contact of interest

Review and learn about credit union’s quality assurance program

Understanding the Credit Union's quality assurance program is important to ensure that audit processes adhere to established standards and best practices. This task will familiarize you with the quality assurance program framework, procedures, and actions taken to maintain and improve audit quality. By reviewing and learning about the quality assurance program, you can contribute to the continuous improvement of the audit function. Please review the following form fields and provide the requested information:

Quality Assurance Program Document Name

Review Completion Date

Schedule and plan for the first internal audit

Scheduling and planning for the first internal audit is a critical step in your onboarding process. This task will help you coordinate and prepare for the first internal audit assignment. By establishing timelines, identifying key areas to focus on, and allocating necessary resources, you can ensure a successful audit. Please complete the following form fields:

First Internal Audit Start Date

Audit Scope

Key Areas to Focus On

Required Resources