Audit Resume Samples

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Guide the recruiter to the conclusion that you are the best candidate for the audit job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

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K Oberbrunner

King

Oberbrunner

71264 Lexus Turnpike

Los Angeles

+1 (555) 835 6121

71264 Lexus Turnpike

Los Angeles

Phone

p +1 (555) 835 6121

Experience Experience

Chicago, IL

Audit

Chicago, IL

Weissnat-Wintheiser

Chicago, IL

Audit

Effectively manage audit engagement teams, performing timely review and providing honest and constructive feedback; and
Collaborate with the engagement manager/senior manager on engagement approach and execute on the plan using a risk-based approach
Work closely with the central team in New York to create framework and standards for reporting
Work closely with our clients’ and assist in maintaining and developing key client relationships
Prepare work papers which record and summarize audit procedures performed and ensure that working paper files have approved firm guidelines
Assist in developing recommendations for corrective action/improvement
Develop and communicate work plan schedules on each project to Engagement Manager and engagement personnel

Phoenix, AZ

Head of Audit

Phoenix, AZ

Dooley and Sons

Phoenix, AZ

Head of Audit

Mentoring more junior staff, contributing to their development as well as advising senior staff, promoting managerial excellence
Working with regional and global Internal Audit Department to ensure effective and timely coordination of audits
Providing independent challenge to the executive management over the high risk areas, key business processes, controls and governance
Ensuring consistency of audit methodology
Maintaining relationship with management and stakeholders of the Bank
Reporting audit status to the MSBIC Board Audit Committee
Discussing and finalizing audit results

present

New York, NY

Director of Internal Audit

New York, NY

Barrows and Sons

present

New York, NY

Director of Internal Audit

present

Assures performance reviews are performed for staff; Performs performance reviews for audit managers. Mentor auditors on career opportunities
Assist in the management of resource allocation for the department along with the development of the annual risk assessment and related audit plan
Coordinates the work of internal audit service provider with the work plans of the University’s ERM program and Compliance program
Manages the relationship of any/all external audit resources that are engaged to assist in the performance of any/all audit activities
Supervise audit staff members, including assistance in developing audit procedures and techniques to effectively perform timely audits
Provide support and guidance to management on how to effectively manage new opportunities and areas that might have unique business risks
Supervise Internal Auditor position and provide feedback on performance and development goals.Resumes Accepted Until5/2/2016

Education Education

Bachelor’s Degree in Accounting

University of Arizona

Bachelor’s Degree in Accounting

Skills Skills

Professional behaviour, ability to be concise, diplomatic skills, attention to details and a willingness to learn
Good attention to detail and ability to multi-task
Ability to provide timely, high quality deliverables
A very good working knowledge of basic Microsoft Office Applications (Word, PowerPoint and Excel)
Proven ability to be effective under pressure and be willing to take personal responsibility and accountability
Knowledge of IT Security concepts, familiarity with vulnerability testing and awareness of security exploits
A very good ability to listen,
Strong analytical skills and ability to drive to conclusions and results
Demonstrable strong analytical skills and organisational abilities
Ability to quickly understand any business processes and control

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15 Audit resume templates

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Audit & Controls Administrator Resume Examples & Samples

Monitor activity to ensure compliance with department process, procedures and service level agreements
Reviews procedures and federal regulations; completes gap analysis and then works with business unit leaders to create procedures to eliminate gaps
Maintains strong relationships with other areas of the firm e.g. Internal Audit, Compliance
Bachelor's degree in a related field or an equivalent combination of education and work experience
Will typically have at 2 years' experience in financial services /or back/middle office Operations
Excellent analytic, problem solving and business judgment and organization skills

AML Audit Team Audit Manager Resume Examples & Samples

Be responsible for developing an audit project plan and directing the implementation and completion of the plan with responsibility for the overall quality of audit work performed
Manage project teams. Will also perform audit test work and be a team member on other teammates' audits
Contribute to the planning, development and execution of the team’s audit plan
Contribute to design and execution of continuous auditing tools
Bachelor's degree. 6+ years of professional experience
Minimum 3 years in audit, internal control, risk management or regulatory compliance background
Minimum 3 years experience with Anti-Money Laundering/Bank Secrecy Act requirements, preferably as auditor or examiner. Financial services experience is preferred
Proven experience and strong competency in all of the following: audit skills, relationship management, project management, teamwork, technical, and oral & written communication skills
Ability to work well in team environment. Ability to coach/mentor others and yet be open-minded to ideas from all team members
Shows initiative and ability to work independently in complex areas
Experience in performing risk assessments and/or audits
Strong ability to identify risks and related controls, and test and evaluate controls
Strong analytical skills to identify, document, present and report issues
Positive attitude, strong work ethic, and professional
CAMS or other AML/BSA certifications are the most preferred certifications. CPA, CIA or other certifications are also valuable

Audit Resume Examples & Samples

Lead and participate in audit engagements covering the Asset Management businesses including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure
Product knowledge relevant to the Asset Management businesses is favorable although not mandatory (e.g., funds, equity, fixed income, alternative products, credit, fiduciary products, etc)
Ability to perform and oversee audit work in accordance with department and professional standards and complete assignments in an efficient manner

Audit CIB Investor Services Auditor AVP / VP Resume Examples & Samples

Participate and lead audit engagements from planning to reporting and deliver quality products which will meet department and professional standards
Travel to overseas business locations as required. While the amount of travel will vary depending upon business need, this is not expected to be more than 10-20 per cent
Education to degree standard is preferable. Candidates should also have relevant professional certification (such as a recognized internal audit, accountancy or similar qualification relevant to the role). Candidates without relevant certification will have one year from start date to achieve it
Knowledge and experience of Futures and Options, OTC Clearing, Securities Prime Brokerage and Securities Financing is desirable although not essential. Broader experience across investment banking products is required
The ability to effectively work within a team

Audit Resume Examples & Samples

Provide continuous monitoring of technology areas. Establish and maintain strong relationships with technology leaders and related control groups
Stay up to date with the global regulatory and market environment, especially as it pertains to Asset Management and its supporting technology
Build effective contacts and relationships with client management and colleagues through effective teamwork and innovating thinking
Minimum of 5+ years of work experience in auditing or technology in a financial services organization, preferably asset management
Ability to manage multiple tasks concurrently in an efficient and effective manner with minimal supervision. Works well individually and in teams, shares information and supports colleagues
Professional certification, such as a Certified Information Systems Auditor (CISA), Certified Information Systems Security Profession (CISSP) or Chartered IT Professional (CITP) is preferred
Working knowledge of application and infrastructure controls, for example Access Administration, Change Management, Security Configuration and Business Resiliency
Fluent English is required. Proficiency in Mandarin would be a plus

Audit Resume Examples & Samples

Expected travel requirement up to 15%
Knowledge of EMEA (Europe, Middle East, Africa) IT regulations
Knowledge of Distributed Technologies a plus (e.g. UNIX, Windows, Storage)

Audit Resume Examples & Samples

Plan, execute and document audits with limited supervision and to a high standard in accordance with department and professional standards
Perform detailed test work efficiently within defined targets as part of an audit team
Good excel/access skills
Works well individually and in teams, shares information, supports colleagues and willing to take personal responsibility/accountability

Corp-audit Internship, Based Resume Examples & Samples

Graduation in December 2016 or later
Fluent English (Written and Verbal)
Advanced Excel knowledge

Audit Russian Internal Auditor VP-moscow Resume Examples & Samples

Ensure that audit program meets with Central Bank of Russia regulations
Lead and manage audit engagements from planning to reporting, and deliver quality products within department and professional standards
Finalise and communicate audit findings in a clear and concise manner to management and identify opportunities for improvement in the design and effectiveness of key controls
Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
Stay up-to-date with evolving industry and regulatory changes impacting JPMBI and its control environment

Audit Russian Internal Auditor Assistant VP Moscow Resume Examples & Samples

Participate and execute all aspects of audit activities including risk assessments, audit plan and audit engagements from planning to reporting, and deliver quality products within department and professional standards
Partner with colleagues and stakeholders to independently evaluate, test and report on the adequacy and effectiveness of controls. Analyse risks and identify root cause of issues
Present reports to JPMBI’s Board of Directors and regulators
Manage audit teams where required, perform timely review of work performed and providing honest and constructive feedback

Audit Resume Examples & Samples

Participate actively as a member of the Global Fixed Income audit team, disseminating best practices globally as well as regionally
Experience of auditing Markets businesses (preferably Fixed Income products) within IB
Good technical knowledge of IB products in general, with exposure to derivative products desirable

VP Market Risk Audit Resume Examples & Samples

Lead all aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation and follow up and verification of issue closure
Partner with other groups within Audit (Investment Bank, Commercial Bank, Asset Management, Technology, etc.) to ensure the delivery of a seamless program of audit coverage across JPMorgan Chase
Proficiency in market risk management principles and valuation practices

Audit Manager for AML / KYC Resume Examples & Samples

Develop a team focused on AML Risk Assessment , AML control audits, and independent validation of remediation activities
Represent Audit on the firm's AML related committees and forums
Follow-up with accountable business and compliance leaders and their teams to ensure control issues are effectively resolved
Past experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of BSA, AML, and OFAC (7 years)
Experience as a manager with an established track record of overseeing and executing both short term and long range objectives

IB Audit Manager Resume Examples & Samples

Direct experience with eTrading platforms and/or businesses, including algorithms/models development, trading desk
Ability to apply a commercial outlook to their work, as well as being able to retain objectivity when undertaking an
CISA / QICA/CISSP well regarded
Objective thinking and sound critical judgment
Quick to assess business activities/processes and identify gaps and scope for enhancement
Able to manage a number of tasks concurrently
Flexible and willing and able to undertake a broad range of tasks
Good analytical skills and a keen eye for detail

VP of Audit Resume Examples & Samples

Work closely with audit colleagues located across the globe in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
Partner with business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence.Minimum bachelors degree in Accounting or Finance
CPA and/or Advanced Degree in Finance or Accounting is preferred
Minimum6 - 8years experience in public accounting or financial services firm, preferably strong knowledge of the Treasury & Securities Services business
Proven ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically
Works well individually, and in teams, shares information, supports colleagues and encourages participation

Audit Resume Examples & Samples

Provide audit coverage of the key controls supporting the Infrastructure and IT Risk services
Assist in the development and analysis of key metrics to identify trends in technology operations
Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of controls in relation to the associated risk. This may be achieved through specific audit reviews or direct participation in key technology projects
Partner with other groups within the firm Corporate & Investment Bank, Asset Management, etc.) to ensure the delivery of a seamless program of control and risk coverage
University degree (Bachelors or equivalent) in Technology/Accounting/Finance/Business
Knowledge of Information Security controls, including Data Protection is preferred

Audit Equities Auditor Assistant VP / VP Resume Examples & Samples

Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of the control environment.Analyze risks and proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified
Participate actively as a member of the Global Equities audit team, disseminating best practices globally as well as regionally
Communicate audit results and issues in a clear and concise manner, both verbally and in writing
Experience of auditing Equities products within IB is MANDATORY to be considered for this role
Strong execution skills, ability to work independently with limited supervision and multi-task. Good excel/access skills a plus. Strong verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner

Audit Resume Examples & Samples

Perform detailed audit test work
Work with global line of business auditors in the early identification of emerging control issues and reporting them to line of business and audit management
Perform monitoring of periodic valuation and market risk related metrics with an ability to recognize emerging issues with risk and control implications
Partner with other groups within Audit (Corporate Risk, Technology, Private Bank, T&SS, etc.) to ensure the delivery of a seamless program of audit coverage across JPMorgan Chase

AVP Central Tech Audit Resume Examples & Samples

Be responsible for the India Central Technology Audit coverage. Work closely with the regional Central Tech Auditor and the India location audit head to provide a comprehensive and risk-based audit coverage
Up to 20% travel required, primarily domestically within India
Bachelor's degree in Technology, Accounting, Finance or related discipline with at least 10 years of internal or external auditing experience
Experience in application control reviews. Exposure to Finance and Compliance technology is a plus
Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner
Broad knowledge across technology platforms, with actual audit and risk assessment experience in reviewing the different system environment
Exposure and working knowledge of India regulations considered an advantage
Excellent verbal and written communication skills in English. Also, good interpersonal skills with the ability to present complex and sensitive issues to senior management, and influence change
Proactive, enthusiastic, self-motivated, strong interest in learning, effective under pressure and willing to take personal responsibility / accountability
Strong experience in team leadership and development

Audit Resume Examples & Samples

Day-to-day management of audit engagements, including leading a team of auditors in planning, testing and reporting on the effectiveness of controls that support Corporate Treasury. This is conducted in accordance with department and professional standards and will require the presentation of root cause analysis to senior client management
Significant previous audit or relevant business line/risk management experience
Familiarity with Corporate Treasury operations
Proficiency in risk assessment, issue/impact analysis and executive report preparation

VP-private Banking Audit Resume Examples & Samples

The candidate will also be a member of the Regional and Global Asset Management Audit teams with the opportunity to travel throughout the region and interact with colleagues in Asia Pacific, EMEA and NY locations
A minimum of 8 + years of working experience with some exposure to asset management and the financial services industry including related processes/controls
Proficiency in Mandarin language would be a plus
Ability to carry out complex tasks under time pressure, whilst maintaining a high level of accuracy and quality

Audit & Resiliency Lead-associate Resume Examples & Samples

Resiliency
Support for Resiliency/Application Manager and act as deputy
Manage production incidence root cause analysis, work closely with operate and Application teams to identify root causes and drive the permanent resolution
Call analysis looking for opportunities to automate the application to reduce number of calls
Proactively look for and act upon any performance challenges across the reconciliation work space
Act as a SME for new strategic reconciliation platform regarding resiliency
Proactively manage KPI’s
Management reporting
Audit/Controls/Compliance
Manage interaction with External and Internal auditors for all audits. These will include SOX, SAE16, Client Money
Respond to auditors enquiries and provide the information requested
Identify automation opportunities for the audit evidence gathering and manage implementation of these opportunities
Co-ordination with the various stakeholders
Work closely with IRM, Internal Controls and Compliance to ensure the effectiveness of the IT controls testing program
Ensure the application developers are aware of all responsibilities in the control arena and highlight any concerns
Proactive Management of open issues
Unix
Strong excel
Controls experience
Resiliency experience
Understanding of Reconciliation processes and LOB Controls
Excellent understanding of IT control requirements
An ability to interpret regulatory requirements and assess operational Compliance with those requirements
Strong interpersonal and influencing skills, with the ability to establish strong relationships
Good organisational skills with an ability to manage, prioritise, work under pressure and meet tight timelines
Strong analysis and problem solving skills
Demonstrate clear and concise communication skills

Audit Resiliency Manager, CIB PIM Risk Resume Examples & Samples

Leading and/or participating in audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation and follow up and verification of issue closure
Performing audit work in accordance with department and professional standards and completing assignments in an efficient manner
Documenting work to a re-performance standard
Partnering with colleagues, clients and control community members to develop, evaluate, test and report on the adequacy and effectiveness of the control environment
This is conducted in accordance with department and professional standards and will require the presentation of issue root cause to senior client management
This will include collaborating with other groups within Audit as appropriate to ensure the delivery of a seamless program of audit coverage
Building and maintaining key relationships with stakeholders, establishing a culture of engagement while adding value
Contributing to a business climate and culture that encourages integrity, respect, excellence and innovation
Resiliency coordinator in support of activities for the Global Resiliency & Crisis Management Group; more specifically relating to support of the technology and business resiliency
You will be responsible for driving delivery of projects/releases that support theprogramworking closely with the GRCM business Group, across LoBs, and other impacted groups; as well as across technology teams to define and implement this strategic solution
Strong analytical skills and a keen eye for detail, with the ability to quickly assess business activities/processes and identify gaps, think objectively, and provide sound critical judgment
Working knowledge of application and infrastructure controls, for example Access Administration, Change Management, Security Configuration and Business Resiliency, Data completeness, Data integrity
Ability toplan, lead and execute auditassignments
Certified Information Systems Auditor (CISA), ITIL framework, Certified Information Systems Security Professional (CISSP) and/or Certified Public Accountant (CPA) designation are a plus
Highly motivated, self starter, results driven
Must have flexible working hours, desire to meet tight deadlines, focus on attention to details and demonstrate the ability to organize and prioritize work accordingly
Bachelor's degree in Technology, Accounting, Finance or related discipline
10 Years of experience in Controls, Audit, Resiliency Space

Audit Manager, Analytics Resume Examples & Samples

Provide analytics and CAATTs (Computer Assisted Automated Techniques and Tools) support to Capital Markets and Wealth Management Audits. CAATTs involve designing automated testing to fulfill audit objectives, providing information through data extracts from financial and other source systems and analysis of the extracted data. The result of the work will help auditors draw conclusions on various audit objectives
Collaborate with auditors of Capital Markets and Wealth Management to identify key audit objectives and associated risks to be supported by CAATTs. Leverage CAATTs to provide additional insights and intelligence to auditors for increased use of CAATTS and to add value to audit
Design metrics and tests through automation techniques to enhance the efficiency and effectiveness of the audits
Provide Continuous Auditing support quarterly for auditors
Develop strong relationship with the auditors and RBC Capital Markets, Treasury and Wealth Managementpartners
Act as a liaison between the business analysts and the auditors (i.e. communicate audit requirements to system technical staff in order for them to execute the desired tests and produce results)
Consistently seeks to improve techniques and methodologies to ensure efficient and effective audit results
Participate in other special projects as required
Assist cross-platform with CAATTs for example in Canadian Banking, as may arise from time to time
Little travel is involved, however on occasion there may be opportunities to participate on audits beyond planning (e.g. fieldwork or reporting) and there may be some travel required
Knowledge of key business processes and products in Capital Markets and Wealth Management
Ability to identify key objectives and associated risks related to business processes
Ability to evaluate the effectiveness of the management of risk in the client's environment and provides a consultative role to enhance the management of risk

Audit & Control Specialist Resume Examples & Samples

Partner with Analytical business units to understand key business objectives, processes, risks and controls
Work with LOB/Region Compliance teams, Internal Audit, Operational Risk and other control functions to improve the control framework and the execution of tactical steps
Support the team’s execution of the Operational Risk Management standards, methodologies, and procedures
Support the implementation and execution of the Risk and Control Self Assessment Program including
Process Mapping
Facilitate end to end reviews and deep dives with assigned business units
Control Identification, Assessment and Substantiation
Issue Management and Action Plan validation
Evaluate the quality of content, implementation and ongoing execution of established RCSAs
Compile, update and prepare reports and analysis on issues and controls
Assist internal and external audit examination activities for impacted business units
Excellent research and analytical skills
Ability to think critically, understand business and technical functions, identify root causes of issues, solve problems creatively, plan and meet deadlines, and demonstrate strong sense of personal accountability
Demonstrated experience in working within groups to accomplish goals
Polished verbal and written communication skills
Strong MS Office suite skills (Excel, Word, PowerPoint, Project)
Experience with Consumer Banking systems and processes desirable
Good understanding of operational and regulatory risk management preferred

Audit Resume Examples & Samples

Expense administration
Manage international travel for senior managers
Room booking, arranging teleconference and video facilities as required
General office administration including filing, maintaining record retention
Other ad-hoc duties that arise on a day to day basis
Responsible for administrative duties, such as co-ordination of administrative/departmental procedures, analysis/distribution/collection of information
Co-ordinate for sensitive personnel related documents
Scheduling appointments and performing other duties related to maintaining management’s schedule and visitors from other locations
Interview arrangements
Provide admin support to offshore location(s)
Co-work with other administrative assistants in the region
MS Word – Advanced
MS PowerPoint – Advanced
MS Excel – Advanced
Lotus Notes
Outlook

Data Analytics Audit Manager Team Lead Corp Sector Resume Examples & Samples

Review control metrics/analytics to identify potential areas of emerging risk for further research and/or escalation
Actively participate in the Audit Data Analytics forum, and contribute to the conversation
Partner with peer Data Analytic teams in sharing ideas to add value to the audit department and firm
Use data from multiple sources to drive the identification of corporate wide risks and issue themes
Develop innovative, re-usable tools that can be leveraged by the audit teams
Perform data analysis as needed using various techniques (statistical analysis, predictive analytics, forensics review) to reach and support conclusions
Stay abreast of new tools and technologies to assist the team in creating the most efficient and effective data strategies
Recommend solutions as part of planning to help execute audit tests by providing the ability to automate full-population testing, sampling, reproducing processes, and identifying exception testing
Minimum of a Bachelor's degree in Computer Science, MIS, or related discipline
7 years of related experience, combination of internal audit and data analytics experience is a plus
Proven track record of developing and delivering a sustainable analytical tools and processes
Experience with software to query and present data such as Excel, ACL, SQL, SPLUNK, SPOTFIRE etc
Excellent verbal and written communication and interpersonal skills
A high level of professional maturity and the ability to work/deliver with limited supervision
Proven ability to oversee several tasks concurrently in an efficient and effective manner with a track record in creative and successful problem-solving
Prepared to travel as required

Audit Risk Projects Associate Resume Examples & Samples

Data validation (currently using SQL) preparing exception reports for investigation
Research of discrepancies found to identify reasons and best course of action
Oversee SQL queries from India and their quality control processes to ensure best practices
Work with India to make sure data is in the best format so that it can be pulled into SAS smoothly and to ensure data can be used for various purposes without rework
Work mostly in SAS, Excel and SQL or Excel to satisfy ad-hoc requests
Gain an understanding of the firm’s policies and the team’s processes and make recommendations accordingly
Apply process and technology enablement knowledge to analyses and problem solving
Use sound judgment and consistency in providing measurement results
Use analysis to identify opportunities and offer solutions
Strong SQL skills
Proficient in SAS data manipulation
VBA (Preferred)
A minimum of 0-3 years related experience

Audit Big Firm Opportunities Resume Examples & Samples

Develop people – conducting timely reviews and providing feedback to team members, lead engagement team sessions, participating in recruiting efforts
Overseeing engagement economics and managing appropriate resources for efficient engagement models
A bachelor’s degree in Accounting, Finance or related field
A valid US or Canada Certified Public Accountant (CPA) license or Chartered Accountancy in Canada
Approximately 4 years of recent experience with public accounting firm, preferred
Dedication to teamwork and excellent leadership skills
Citizen of Canada or current eligibility to work in the US

Audit Resume Examples & Samples

Analyze risks and proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified
Travel to overseas business locations and other offices in the UK will be required
Business and Industry Knowledge – Demonstrable knowledge, and experience of auditing Payment and Transaction Processing Systems, Technology Infrastructure and Technology Operational Processes. Good technical knowledge of Unix, Wintel, Database Technologies alongside detailed payment systems such as SWIFT and SEPA. Experience of auditing environments with high risk and sensitive data also considered desirable
Methodology & Analytical Skills – detailed understanding of internal control and risk assessment concepts and strong analytical skills to assess the impact of control weaknesses
Partnership - Strong execution skills, ability to work independently with limited supervision and multi-task. Works well individually and in teams, shares information, and supports solleagues. Ability to createstrong stakeholder relationships that promote transparency and open dialogue around control issues
Communication - Strong verbal and written communication

Audit Control Manager Resume Examples & Samples

Serve as primary control liaison before and during Internal Audit and Compliance Testing reviews, including coordinating initial communication and pre-audit business readiness, materials, presentations, and management meetings
Manage the Internal Audit (IA) and Compliance Testing interactions and deliverables across all of Citi Cards and Retail Bank functional areas
Ensure understanding and communication of review scope and manage timely delivery of requested information between IA and Compliance Testers across functional business partners
Manage ongoing written and verbal communications on audit topics to a variety of audiences including senior leadership
Partner with the business owner to develop robust action plans and target dates for issue remediation, proof of resolution, and closure
Partner with Issues Management peers to ensure all action plans are appropriate, address the root cause and proposed deliverables satisfy requirements for business closure
Ensure audit issues, action plans, and delivery dates are entered into the appropriate tracking system
Partner with ORM peers to develop and maintain comprehensive dashboard reporting on Citi Cards and Retail Bank audit and compliance review status, results, actions, issues, and issues closure
Develop working relationships and routines with the external regulatory exam managers to ensure communication of identified audit issues and risks
Provide root cause/trending analysis on issues identified during reviews
Provide onsite coverage and support for audits
Bachelor's degree required
8 to 10 years of direct, relevant experience in financial service operations, control, compliance, audit, or regulatory management
Strong verbal and written communication skills, including presentation skills
Self-motivated with strong interpersonal skills and the ability to create support and buy-in across a wide range of stakeholders; create a strong network of relationships among peers, internal partners, external constituencies, decision makers and stakeholders
Strong judgment and critical thinking skills
Detail oriented, with proven ability to question and identify opportunities within existing processes and business practices by leveraging previous experiences and knowledge
Superior organizational skills with proven ability to successfully manage multiple concurrent priorities
Deep functional knowledge of the Cards or Retail Bank businesses and applicable rules, regulations, and processes
Pragmatic problem-solver, forward thinker with independence of thought
Demonstrated ability to influence a group of diverse stakeholders and drive accountability and ownership with key business partners and process owners
Demonstrated ability to employ diplomacy and business perspective with stakeholders, peers and Audit teams
Computer experience to include expertise with Microsoft Office (Excel, PowerPoint, Word)
30% travel required

O&t-otrm Audit Control Anaylst Resume Examples & Samples

Bachelor's degree in a related field or equivalent combination of education/experience
Strong customer focus and management of client expectations
Technology control experience in one or more IT disciplines
Certifications in relevant disciplines (CISA, CISSP) are desirable

Audit Manager Technology Infrastructure Resume Examples & Samples

Serves as lead reviewer for all types of reviews
BA/BS or equivalent. Related certifications (CPA,ACA, CFA, CIA, CISA or similar) are a plus
Senior level experience in a related role withexperience in business, functional and people management, with proven abilitiesin taking responsibility for executing concurrently on a portfolio of highquality deliverables to stakeholders according to strict timetables
Specific subject matter expertise regardingtechnology application control disciplines and technology infrastructure knowledge, with a soundunderstanding of the financial services provided by Citi
Demonstrates experience in managing teams andmanaging integrated internal audit and assurance delivery within a matrixreporting environment
Effective negotiation skills, a proactive and 'nosurprises' approach in communicating issues and strength in sustaining independentviews. This individual must be an articulate and effective communicator,both orally and in writing, with an energetic, charismatic and approachablestyle
Strong interpersonal skills for interfacing with alllevels of internal and external audit and management

TTS Audit Manager Resume Examples & Samples

Assist country Head of Audit in planning and delivering the Citibank Turkey audits (risk-based, regulatory and branch exams) to the time commitments and ensuring quality in the work performed and reports produced
Ensures the CCO, in-country management, audit committee and local governance committees receive prompt, timing and complete information relating to the activities of Internal Audit in the absence of country Head of Audit
Plans and performs moderately complex audits related to TTS and SFS in accordance with corporate methodologies, professional standards and local regulations, including drafting of audit reports, presenting issues to the business and discussing practical solutions
Ensures potential issues are raised promptly and collaboratively with a view to identifying the most viable, pragmatic and sustainable conclusion to mitigate the risk
Develops and maintains effective line management relationships with key business contacts to ensure strong understanding of the business
BS/BA degree or equivalent combination of education/experience. Related certifications (CIA, CFSA etc.) are a plus
10+ years of experience in audit, controls and risk in banking and financial institutions
Solid business understanding of banking products, especially those associated with the TTS and SFS businesses
Effective communicator, both orally and in writing, with an energetic, charismatic and approachable style

Audit Manager It-singapore Resume Examples & Samples

You have a university degree (Bachelor or Master Level), preferably with a technical background
You have gained strong experience (5-8 years) in audit, compliance or internal control areas within the financial industry
You have a good understanding of technology, the financial market, operational aspects, as well as process flows within and between banks / counterparts, and a thorough knowledge of local regulatory requirements
You are a flexible and committed team player willing to travel to other UBS locations in APAC for audit assignments
You have good communication skills and are able to interact with all levels of management
You are fluent in both verbal and written English
Ideally, you are a CISA qualified

Audit Expert Resume Examples & Samples

Analyzing and assessing technology risks assumed by the business
Leading global technology audits both within the Investment Bank and across UBS Group Technology
Monitoring the results, risk profile and developments within Investment Bank IT and providing input for planning sessions

Executive Director Audit for AML / KYC Resume Examples & Samples

Partner with Model review teams on monitoring threshold testing strategies, and execution as necessary
Past experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of BSA, AML, and OFAC (10+ years)
Excellent communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
Collaboration with fellow managers in both the Audit and Compliance spaces
Enthusiastic, self motivated, effective under pressure, and willing to take risk

IB Audit Manager Resume Examples & Samples

Analyzing and assessing risks (market, credit, operational, legal and compliance) assumed by the business cross-divisionally
Identifying and evaluating the effectiveness of controls designed to address those risks
Monitoring the results, risk profile and developments within China cross-divisionally and provide input for planning sessions and Auditable Entity updates on a continuous basis
Developing key stakeholder relationships in China along with other GIA members in Singapore, Japan, Australia and Hong Kong to update risk profiles and obtain / share relevant business information

Gf-audit Manager Resume Examples & Samples

Design substantive audit tests to determine the effectiveness of controls, and apply critical analysis of test results to determine the level of audit assurance
Develop strong understanding of the businesses audited and the role of technology to support the business processes
Develop effective working relationships with the staff and management of the businesses being audited to enable timely identification of emerging technology risks
Articulate objective, evidence-based conclusions on the operating effectiveness of controls, and make practical recommendations for the remediation of issues identified
Excellent analytical ability to understand business issues associated with IT processes and related risks and controls, identifying root causes and recommending solutions
Working knowledge of finance and corporate functions business processes, and supporting systems (i.e. general ledger, tax, treasury, payroll, and compliance)
Strong knowledge of application layer configuration controls such as those found in off the shelf ERP-type, and other systems

Audit Market Risk Auditor AVP Resume Examples & Samples

Lead all market risk and fair valuation related aspects of Audit activities including evaluating, testing and reporting on the adequacy and effectiveness of management controls
Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of management controls
Conduct evaluations in accordance with department and professional standards and present root cause analysis to senior client management
Work with line businesses managers in early identification and reporting of emerging risk control issues
Assess the consistency of risk management practices of various businesses within JP Morgan with the firm wide risk governance framework
Evaluate fair valuation of trading positions including independent pricing and valuation reserve adjustments
Periodically monitor risk metrics to recognize patterns with risk control implications
Work with model implementation to ensure that front office models comprehensively capture all risk factors
Proven experience within Risk/Audit with an appropriate level of exposure to Risk Management such as VaR, Stress, sensitivities risk measures, and limit framework
Proficiency in price testing and fair value adjustment process
Solid understanding of the control environment and the audit process
Knowledge of risk measurement and reporting framework
Experience in derivative valuation and risk modeling
Experience conducting Quantitative and Statistical analyses of financial risk data
Knowledge of risk analytics and data systems including Bloomberg
Knowledge of credit/debit valuation adjustment

Audit Manager, Consumer Bank, VP Resume Examples & Samples

Develop and executes a robust Audit Plan for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and branch examinations, as well as business monitoring and governance committee reporting
Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals
Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Consumer products, especially those associated with the Retail Bank business

Audit Resume Examples & Samples

Minimum Masters degree in a related discipline
Proven experience within Risk/Audit with an appropriate level of exposure to Risk Management. Proficiency in market risk principles and derivative valuation practices
Ability to run audits, manage projects and participate in audit assignments in a team environment

Audit & Control Agent Resume Examples & Samples

Uses problem solving tools and analytical techniques to investigate outstanding entries and trace to determine the root cause
Ability to clearly communicate outstanding balances to manager
Requires continual reacting and adaptation to ensure quick resolution of identified issues/gaps and also continually searching for innovative ways to increase efficiencies within the process
Ability to work in a fast paced environment with the ability to shift priorities as required
This role is dependant on the capability to function as a team, maintaining open lines of communication with service partners, being accountable, flexible and deliver results in high pressure situations
Must be able to navigate multiple screens and programs
Liaise with originating sources across Canada to ensure that all pertinent and required information is received on a timely basis
Takes personal accountability to ensure that all accounting entries are appropriate, complete and accurate
Attention to detail and Accuracy are paramount for this role
Sense of urgency
Punctuality
Strong Verbal/written communication
Teamwork and Co-Operation
Willingness to learn new processes and develop skill set
RBC applications (IRIS, Siebel, On Demand, People Soft) and Microsoft office software (Excel, Word)
Branch Procedures, GL entries and balancing, SISA processing, EFO procedures
GL Reconciliation reports
GL Suspense Reports (GLUS)
Unit Financial Control Procedures

Team Lead, Audit Resume Examples & Samples

Professional certifications (e.g., CPA, CISA, CIA, ACA, ACCA) and/or an MBA along with demonstrated technical abilities in select areas (e.g., accounting, regulatory compliance, etc.) are preferred
A College or University degree and/or entry level auditing experience in a financial institution is preferred
Adept auditing and/or systems experience in a financial institution, or similar public accounting experience in the financial services industry

Audit & Control Associate, Merrill Edge Resume Examples & Samples

Conduct daily spot checks reviewing completed items for compliance with regulatory requirements
Conduct monthly mock audits and assist with feedback and coaching
Prepare for annual audits
Maintain and update all internal Policies and Procedures in accordance with regulatory and Firm policies
Communicate policy and procedural changes and conduct training as required
Ensure timely review and filing of all reports
Knowledge of Industry regulations and ML Internal policies and procedures
Previous management and/or audit experience preferred
Knowledge of ML operating systems
Demonstrate ability to apply analytical and technical expertise to problem solving
Capable of resolving non-routine items by developing alternatives and/or selecting from established approaches, processes, and procedures
Knowledge of Wealth Management Workstation, Data Highway Workstation, Collections Notification System, Private Client Order Entry, Advanced Service and Processing System, Siebel Contact Center and Microsoft Outlook and Office Suite

Audit Manager, Investor Services Resume Examples & Samples

Establish strong working relationships with key stakeholders in the IS organization and with other control functions. Represent Audit effectively in key governance forums
Ensure risk assessments and audit plan are updated timely to reflect changes in the risk and control environment
Communicate audit issues and results succinctly in both verbal and written form, and be able to influence effectively

Associate, Audit & Control Resume Examples & Samples

Ensure inbound customer calls are answered following company standards
Accurately route calls to recipients or deliver messages in a timely fashion
Maintain phone directory for location
Oversee repairs of technical systems (POS, etc)
Provide financial support through banking reconciliation, invoice coding, petty cash management, chargeback investigations
Manage Customer’s Own Goods, and other No Inventory Value/No Charge tracking
Ensure general office practices maintained and a neat and tidy workplace to mitigate loss
Perform department auditing of company policies and procedures
Provide support and follow up on audits to ensure compliance
2-3 years of previous work experience in a similar environment; retail preferred
Intermediate knowledge of Microsoft Office including Excel, PowerPoint and Word
A proven track record of strong attention to detail, exceptional organizational skills, and excellent written and verbal communication
Be extraordinary
Drive performance
Celebrate successes

Cib-audit Resume Examples & Samples

Drive all aspects of audit execution, including audit planning, audit testing, control evaluation, audit report drafting, workpaper documentation and follow up and verification of issue closure. This may include individual performance or leading a team of auditors in planning, testing and reporting on the effectiveness of controls that support CIB Finance. This is conducted in accordance with department and professional standards and will require the presentation of issues to Audit management and client management
Build and maintain key relationships with LOB stakeholders, establishing a culture of engagement while adding value
Stay up to date with evolving finance and accounting developments and regulatory and market events impacting the CIB's Finance unit

Managing Director Chief Auditor Franchise Audit Resume Examples & Samples

The Managing Director – Chief Auditor Franchise Audit EMEA will be responsible for designing and effecting a program of assurance and an audit plan to provide assurance on the design and operating effectiveness of the Franchise Governance structure to meet the CCO’s Franchise Governance Objectives
Act as the lead contact with regulators for all businesses
Ensure compliance with all sovereign and portfolio limits
Chair the country's Asset and Liability Committee (ALCO)
The Managing Director – Chief Auditor Franchise Audit EMEA will be responsible for designing and effecting a program of assurance and an audit plan to provide assurance on the design and operating effectiveness of the structures established to meet the CCO Franchise Growth/Stewardship Objectives
Leader of Public Sector Business, including responsibility for full P and L, business development and client relationships
Primary external spokesperson for Citi in country and responsible for all media relations and marketing and communication strategies
Responsible for the country’s Voice of the Employee (VOE) results and action plans and for monitoring and acting upon employee feedback
Accountable for direct management, including goals, performance evaluation and compensation, of functional and business heads as designated
Ensure there is a coordinated and effective external recruiting program with universities, schools, etc. to ensure that Citi is bringing in top entry level talent for the local franchise
The Managing Director – Chief Auditor Franchise Audit EMEA will be responsible for delivering audit reports in respect of each jurisdiction in which Citi has a presence, in accordance with a risk-based audit plan developed and delivered in accordance with the Internal Audit risk-based methodology
The Managing Director – Chief Auditor Franchise Audit EMEA will be responsible for managing a team of Franchise Audit auditors supplemented by other Internal Audit personnel on a project-based secondment to a Franchise Audit and also by guest-auditors drawn from the CCOs and control functions

Infrastructure Team Lead Audit Manager Resume Examples & Samples

7-10 or more years of total work experience, with at least 6 years in Audit or Risk
· Experience with general Information Technology controls reviews
Knowledge of Distributed Technologies (e.g. UNIX, Windows, Storage)
Knowledge of Voice/Data Networks, Mainframe, or Midrange systems a plus
Knowledge of Information Security controls

Production Audit Internship Resume Examples & Samples

He/She will learn to analyze and reconcile payroll information for presentation to outside CPA auditors. This includes setting up files, research, and spreadsheet information in an Excel format
Prepare spreadsheets on Excel to track, test, and analyze Revenue statements
The intern will be exposed to various special projects within the Production Audit department, which will expose them to working with different supervisors
All students must be at least 18 years old
All students must be available to a minimum of 2 full work days (8 hours/day), and one partial day (4 hours) for a total of 20 hours/week
All students must have a strong proficiency with Microsoft Excel (sorting, pivot tables, filters, etc) and Microsoft Word
All students should be perusing Accounting or Finance as a major, and have completed intermediate accounting coursework
Undergraduate students in their Junior or Senior year
Familiarity working with Access Databases

Audit Internship Resume Examples & Samples

Summarize royalty reporting information from over 250 customers and load data into the royalty tracking system
Aid in testing of system outputs as we add additional customer to the system for royalty report processing
Help process royalty reports for quarter close process
All students must be eligible to work in the US
You must currently be enrolled in an accredited college or university and taking at least one class – OR – be a recent graduate of an accredited college or university within the last six (6) months - OR - be currently participating in the Disney College Program, Disney Culinary Program or Disney Professional Internship Program in order to qualify for this internship
All students must be available during the months of January through May for the 12-15 week program
All students must provide their own housing and transportation for the duration of the internship
All students must have a strong proficiency with Microsoft Excel and its functionalities
Ass students should be organized with a high attention to detail, self motivated, and adaptable
Students must be pursuing or recently graduated with a degree in Accounting, Finance, Business or related field
Cumulative GPA of 3.0 or higher
Demonstrated interest in Television and the Entertainment Industry
Previous experience (academic or previous internship) in the Media/Entertainment industry

Head of Audit Resume Examples & Samples

Develops Internal Audit Plan for Kuwait ensuring that the governance, risk management and control concerns of country management are considered in the planning, and plan updates, and that Internal Audit provides a suitable, prompt assurance in respect of the areas of concern identified
Manages the Branch Examination program for Kuwait
Performs moderately complex audits related to Corporate Banking, technology management; project/program management; or supplier management in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions

TTS Audit Lead-mena Resume Examples & Samples

Develops and executes a robust Audit Plan, by reviewable entity, for TTS activities in MENA cluster in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
Directs complex audit activities for TTS businesses at the country and cluster level
Applies comprehensive expertise in TTS business and leverages this knowledge into a leadership role in one or more teams
Proactively advances integrated auditing concepts and use of technology and CAATTs. Closely follows latest trends in own field and adapts them for application within own job and the business
Manages a critical unit within Internal Audit, including a medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including technology management; project/program management; regulatory compliance or supplier management
Develops effective senior line management relationships and has a good understanding of the TTS businesses
Serves as lead reviewer and/or lead manager for all types of reviews, including the most complex
Senior level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
Specific subject matter expertise including a solid business understanding of corporate and retail banking products
Relevant experience auditing banks with comprehensive knowledge of Transaction Banking products
Demonstrates experience in managing teams and/or managing integrated internal audit and assurance delivery within a matrix reporting environment

SVP General Audit Resume Examples & Samples

Manages and directs the completion of corporate, finance, operations, compliance, personal financial services, consumer finance, domestic private banking, retail brokerage and support area audits, as well as business monitoring activities, special projects and investigations of assigned major areas of the Company to independently assess risks and evaluate controls and compliance with established policies, procedures and regulations, making recommendations for improvement
Ensures external audit or regulatory criticisms of assigned businesses are corrected
Minimum of a bachelors degree in business, accounting, finance, related field or equivalent experience; professional certification (CPA, CA, or CIA) preferred
Extensive knowledge of the Company, Group and financial services industry, businesses supported and the regulatory framework they operate in

Audit Response Analyst Resume Examples & Samples

Review loan level system data, as well as file documentation, to ensure compliance with governmental and investor guidelines
Responding to audit evaluations
Assisting Process Improvement team with establishing remediation plans or addressing training needs, as required
Identifying trends based on aggregated data
Compile data for each loan reviewed and corrective action needed based on criteria established by clients, government programs and/or management
Adhere to all other policies and procedures within the department and/or company
Other duties assigned
Good computer skills. Knowledge of Microsoft Windows, Word, and Excel
Confident and professional demeanor and appearance
Willingness and aptitude to learn new tasks
Ability to identify incongruous data efficiently and accurately
Willingness and ability to work in a fast paced environment and to handle a large volume of projects/tasks
Detail oriented and excellent communication and organizational skills – able to communicate results of file reviews to Asset Managers in a clear and concise manner
Self-motivated with independent problem-solving skills
Prior Asset Management experience is preferred
2-3 years Loss Mitigation/Loan Workout experience preferred

Audit Resume Examples & Samples

Plan,execute and document audits with limited supervision in a risk focused manner and to a high standard in accordance with department and professional standards
Evaluate,test and report on the adequacy and effectiveness of the control environment
Travel to overseas business locations as required, approximately 20-30 per cent should be anticipated
Recognized accountancy professional qualification is desirable

Audit Corporate & Investment Bank Auditor Assistant VP Resume Examples & Samples

Participate and lead audit engagements from planning to reporting and deliver quality products within department and professional standards
Partner with colleagues and stakeholders to evaluate, test and report on the adequacy and effectiveness of management controls
Finalise audit findings and use judgment to provide an overall opinion on the control environment
Build and maintain key relationships with stakeholders,establishing a culture of engagement while adding value
Effectively manage teams where required, performing timely review of work performed and providing honest and constructive feedback
Stay up-to-date with evolving industry and regulatory changes impacting the business
Travel to overseas business locations as required. While the amount of travel will vary depending upon business need, approximately 20-30 per cent should be anticipated
Education to degree standard is preferable, as is a relevant professional qualification.All relevant educational, business or accounting qualifications will be taken into account
Knowledge and preferably experience of Investment Banking (M&A, ECM,DCM), Trade Finance and Lending, ideally from an audit or risk perspective
The ability to effectively work within a team
Enthusiastic,self motivated, effective under pressure and willing to take personal risk and accountability

Audit Manager Mortgage Technology Resume Examples & Samples

Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting
Manages audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan
Applies in-depth level of expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams
Proactively advances integrated auditing concepts and use of technology
Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management
Leads the professional development of Internal Audit staff
Develops effective senior line management relationships and has a strong understanding of the businesses
Applies an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach
Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity
Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyzes reporting findings; Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
Serves as lead reviewer for all types of reviews
Reviews and approves Business Monitoring Quarterly Summaries
BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
Senior level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of consumer products, especially those associated with the Mortgage business
Demonstrates experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment
Strong interpersonal skills for interfacing with all levels of internal and external audit and management

Audit Managers Resume Examples & Samples

Secure and enhance relationships with senior client management
Demonstrate professionalism and competence in all interactions with the client
Approve engagement budgets and agree fees, where appropriate
Counsel, coach and mentor staff
Ensure that the engagement partner is informed about important audit or accounting issues on a timely basis
Excellent technical and industry sector expertise –
Demonstrate successful management of a number of

ISA Audit Manager IT Resume Examples & Samples

Maintain a complete, comprehensive and accurate auditable universe for the assigned areas of responsibility within the technology audit to manage and support local product and functional auditing
Work collaboratively on assignments with Internal Audit teams in Citi and keep abreast of evolving German regulations on Risk management and ensure that these are appropriately addressed in Internal Audit’s risk assessment and audit planning processes
Must hold a recognized professional qualification (QiCA) Qualification in Computer Auditing) and/or CISA (Certified Information System Auditor)
Must hold a university degree in finance/mathematics or in a technology related discipline e.g. computer science
Should have well-developed computer audit experience
Must have a good understanding of operational risk management and control best practice across the financial services industry together with extensive knowledge of MaRisk, and a high degree of familiarity with financial sector regulation more generally. Should have a good level of knowledge of liability issues and standard documentation. Competencies
Proficient in auditing and validating models, including the requirements of key regulators
Proficient understanding of what client sector information and fact patterns are leading indicators for changes in overall risk to a business
Good knowledge of understanding and developing risk metrics and reporting
Expert understanding of decision making and approval for key issues and time-sensitive decisions
Well-developed interpersonal and presentation skills; the Candidate will have to interface with local external regulators and should have executive presence
Ability to develop strong relationships with stakeholders and to lead teams of direct reports and in peer/influence models
Should have a demonstrable track record in the financial services industry and in-depth experience in audit
Candidate must have solid career progression within bank/audit institutions; at least 5 year experience in an IT - management position
Experience should have been gained in highly respected diversified institutions with complex and diverse products and customers
Proven experience in understanding, dimensioning and mitigating operational impact on all aspects of an operating business across multiple countries
Candidate must have a very good knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. Must be proficient in risk and control analysis and audit concepts for a range of products and specialized areas and be skilled at analyzing root causes of problems and anticipating ‘horizon’ issues
Must be a strong leader with a proven track record in managing teams
Must have effective negotiation skills, a proactive and 'no surprises' approach in communicating audit results and strength in sustaining independent views. Strong presentation and relationship management skills are essential
Must be an articulate and effective communicator in English and German, both orally and in writing, with an energetic, charismatic and approachable style
Must have effective persuasion skills, the ability to work effectively at a variety of levels in the organization, display highly effective networking and influencing skills and also needs to be comfortable acting as an agent for positive change with agility and flexibility

Operations Risk, Controls & Audit VP Resume Examples & Samples

The successful candidate will work with each of the operational departments, assessing the risk profile of high-risk processes and developing a robust risk framework that pro-actively identifies and mitigates emerging risks
Proven ability to operate at a Senior Business Analytical level and an excellent understanding of end to end operations processes as it relates to Funds
Audit experience (either internal audit or practice) preferably within financial services industry
Minimum of 10 years’ experience in financial services or similar environment
Proven ability to handle complex and sensitive client requests
Strong technical knowledge of Fund Products and regional regulatory requirements
Demonstrable ability to interact with senior management and clients showing in-depth knowledge of Funds Services
Proven ability to meet new challenges, assimilate new information and to influence people through maturity of approach
Excellent written and verbal communication skills and ability to communicate and influence at an appropriate level
Excellent Change and Project Management skills
An advanced Customer Service mind-set with skill to instil a client centric culture across operations
Superior people leadership/management skills with the ability to engage employees and colleagues in relation to the future vision of the organisation

CIB Markets Audit Resume Examples & Samples

Implement an audit program of coverage which involves effective risk assessment and design of a risk prioritized coverage approach
At least 5 to 8 years of audit and business experience in covering investment bank products with detailed knowledge of capital markets products
Minimum Bachelor's degree in Accounting, Finance or related discipline. CPA / CA, CIA, CAMS or equivalent certification preferred
Well versed in Asia laws and banking regulations (e.g. anti-money laundering, sanctions)
Good understanding of internal control concepts
Strong Excel, Access or ACL skills considered a plus

Auditor Mortgage Banking Audit Resume Examples & Samples

3+ years of audit and/or Mortgage Banking Originations experience, including roles as a project lead
Basic knowledge of Information Technology control concepts, preferred
JPMorgan Chase is an equal opportunity and affirmative action employer M/F/Disability/Veteran

Audit Managers, Asset Management Emeia FSO Resume Examples & Samples

Ensure the technical correctness and presentational standard of all client deliverables
Liaise with other service lines and other audit managers to ensure efficient utilisation of knowledge and resources to deliver services
Manage the execution of the Professional Development Plans of his or her people to build their careers
Significant post qualification experience (Big four preferred)
Relevant external audit experience in the Financial Services industry, particularly in Asset Management

Japan Audit Resume Examples & Samples

Be a motivated individual who can implement an audit program of coverage which involves effective risk assessment and design of a risk prioritized coverage approach
Participate actively as a member of the Global CIB Markets audit team, disseminating best practices globally as well as regionally
Good understanding of internal control concept

Audit Manager, Wealth Management Resume Examples & Samples

Leading a workforce that is knowledgeable about our business and specialized within their audit field, understanding the external market, thinking about the efficiency and effectiveness of management and control processes, being seen as highly credible and using their ingenuity to add value
Apply sound judgement in the execution of the assigned work
Ensure open and effective lines of communication are maintained with the client in particular for the work undertaken by the role
Effectively execute sections of the audit as assigned by the Director or SAM
Conduct such projects as may be assigned by Director, Senior Audit Manager
Provide proactive leadership and direction to Audit Analysts and Associates as may be required, supporting performance assessments by the Director/Senior Audit Manager
Solid knowledge of the subject matter of assigned Centre of Competency

Caps & Audit RTB Resume Examples & Samples

Work with run the bank support function and will be responsible for timely delivery of various reports
Data analysis for adhoc queries and create new report for Operations and Technology control, Front Office, Middle Office and Operations managers
Performs effective QA controls and ensure data integrity
Understand end-to-end production process
Participate in regular project reviews with key stakeholders
Improve existing reports/deliverables, both tactical and strategic
Ensures queries are dealt with expeditiously & followed up with a strategic remediation
Participate in meetings with managers and subject matter experts to define and gather requirements and overall objectives
Execute test plans that will ensure business requirements have been met / create test scripts including specific test cases and expected results
Coordinate testing with the managers and subject matter experts to drive acceptance of data – includes providing daily reporting using business objects
Define and build the necessary controls to ensure reporting integrity by comparing data with source platforms
Knowledge of MS Access and MS Excel skills required (e.g. VBA, Vlookup and Advanced Macros)
Expertise in Word, PowerPoint and Sharepoint are essential
Strong in data warehouse and B.I. tools – Business Objects and SQL
Experience in one of the Asset class Equity, FX, Futures, Commodities, OTC Derivatives
Experience in working in new BPO / offshore location will be an advantage
Strong knowledge of Front to back process for one or more asset classes
Good understanding of Project management methodologies and tools
Flexibility to handle multiple tasks and changing priorities
Quickly grasp and master new requirements and related knowledge
Ability to work independently, multi-task and take ownership of various parts of the project
Willingness to ask questions, challenge the process and seek out answers
The following are considered a plus

Senior Analyst, Fcra Audit Resume Examples & Samples

Provide timely response and appropriate documentation to claims, settlement items and questions from Senior Manager, Director, Executive Director and SVP, as necessary
Perform research and detailed analyses for various issues, including whether statement modifications are necessary as a result of audit
Read and understand extracts of legal agreements, related correspondence, and applicable systems used for reporting
Maintain system of organization to monitor audits from fieldwork through to settlement; maintain high-quality audit binders and workpapers; escalate issues to Senior Manager in a timely manner
Perform ad hoc analyses and special projects as assigned
2–3 years of accounting, audit or finance related experience required
Experience working for an Audit firm preferred
Experience in Participations or Residuals desired
Strong planning, organizational and analytical skills
Strong ability to interact professionally with outside auditors and all levels of company personnel and management
Proficient in Microsoft Office applications such as Excel and Word
Proficient in SAP general ledger
Proficient in math and algebra
Strong overall understanding of participations, including the ability to read and understand extracts of legal agreements
Strong time management skills and ability to multi-task
Must be a confident individual, who is a quick learner and a self starter
Must be able to meet tight deadlines in a fast-paced environment and work overtime, as needed
Must be able to maintain confidential information

Forensic Audit Manager Resume Examples & Samples

Perform and lead the Special Reviews team in its digital forensic reviews on computer hard drives (e.g. Windows, MAC, etc.) and other electronic devices to retrieve and analyze evidence (e.g., email, electronic documents, Internet history, etc.) relevant to investigation. Stay current with and determine the team’s forensic needs and be able to share knowledge with leaders and team members
Identify, build, and maintain proactive measures enterprise-wide including fraud risk assessment, fraud data analytics, antipiracy efforts, and special audits
Analyze complex financial data (e.g. transaction reporting within SAP, travel & entertainment expense reports, vendor data, competitive bid information, etc.), personnel files (training records, etc.), and other data sources (e.g., Internet research) to identify evidence relevant to investigations
Interview employees of all levels (e.g., hourly, executive, etc.) in a professional and courteous manner to obtain information
Formulate well-written, concise and clear memorandums to summarize cases and be able to present findings/recommendations to the Senior Manager of Special Reviews. Identify the impact of potential control weaknesses to financial statements and IT security systems based on the results of the investigations
Build effective relationships and work closely with senior personnel in Legal, Human Resources, Finance, IT, and Security, at all business units. Network with other forensic investigators within the Company. Tailor communication style depending on the situation and level of employee being addressed
Maintain database for incident reporting and assist in preparation of reports for executive management on at least a quarterly basis
Minimum 5 years work experience in public accounting, consulting, or in an investigative position, including at least 3 years in a computer/digital forensic role
Computer forensics skills (e.g., EnCase)
Good judgment and high level of ethics and integrity
Ability to handle and be accountable for multiple aspects of several projects simultaneously, provide accurate data, and communicate effectively
Demonstrated forensic investigation skills, including the ability to develop an investigation approach/strategy, effectively interview employees associated with the investigation, obtain and analyze evidence, draw relevant conclusions, and recommend control enhancements
Strong knowledge of PCs, MACs, and mobile devices
Familiarity with Internet protocols, newsgroups, social networking, peer to peer networks, and computer and Internet based investigative tools
Familiarity with forensic tools (e.g., FTK, Cellebrite, Blackbag, etc.)
Strong analytical, interviewing, decision-making and problem-solving skills
Ability to conduct public records checks and internet searches
EnCE or equivalent digital forensic certification
CPA, CFE, CISA, or other relevant professional certifications
Bachelor’s Degree or higher in accounting, finance, business, IT Systems, Computer Science or other relevant degree and be able to demonstrate a fundamental knowledge of accounting principles, internal controls, investigative procedures, and computer/digital forensics

Part Qualified Audit Executives Resume Examples & Samples

Demonstrate an application and solution-based approach to problem solving, referred to for research on delivery of solutions in that field on client assignments
Demonstrate expertise in using GAM to perform an assurance engagement in compliance with auditing standards
Identify areas requiring improvement in the clients' business processes and possible recommendations and prepare and deliver Management Letter to be provided to the client
Degree qualified (1st Class degree)

Manager, Integrated Audit Resume Examples & Samples

Assist in development and execution of the annual plan
Plan, conduct and supervise engagements with a focus on analysis and assessment of the control environment associated with the financial reporting, operational and compliance processes
Identify and maintain leading edge knowledge and audit techniques to improve the audit process and results
Formulate well-written, concise and clear audit reports
Perform a regular, periodic follow-up on significant audit findings and recommendations to evaluate the adequacy of corrective actions
Develop and maintain relationships with external auditors
Coach, train and mentor audit managers and staff in improving audit skills
Investigate and research technical accounting and auditing matters
Participate in various company-wide initiatives, such as system implementations and reviews of policies and procedures
5+ years of integrated financial/IT auditing experience (Big 4 audits experience preferred)
Practical hands-on management experience working with the internal audit function of a reputable public company is highly desired
CPA or equivalent experience required
Strong quantitative and analytical skills combined with solid business and financial acumen
Superior knowledge in technical accounting, internal controls and control environments
General understanding of database-driven financial reporting (Cognos, etc.), accounting systems (SAP preferred) and their associated controls and control environment
Ability to adapt quickly in a fast paced environment
Charismatic, dynamic leader and effective manager, who leads by example and mentors a team to meet high profile and dynamic objectives
Strong relationship building skills and a highly professional “client service orientation”
Excellent team player, who possesses solid interpersonal and organizational skills
Must possess high energy level, decisiveness and strong work ethic
Able to work in a flexible team environment and handle multiple assignment simultaneously
Willingness to travel 25-40% domestically and internationally
7 years of professional experience, with Media and Entertainment industry experience
CIA, CISA or CISSP strongly desired (or in process)
Oracle Database
UNIX & Window operating systems
Bachelor’s degree in Accounting, Finance of Computer Information Systems

Audit Manager, IT Infrastructure Audit Resume Examples & Samples

Lead annual planning activities as required
Foster and promote a cohesive team and positive work environment that is consistent with TDBFG’s Guiding Principles and Leadership Profile while encouraging innovation, creativity and collaboration
Job Description continued under additional information

Audit Manager Team Lead Resume Examples & Samples

Lead all aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation, follow up and track management's corrective actions in response to control findings and verification of issue closure
Work with line of business auditors in the early identification of emerging control issues and reporting them to line of business and audit management
Partner with other groups within Audit (Investment Bank, Commercial Bank, Consumer Bank, Asset Management, Technology, etc.) to ensure the delivery of a seamless program of audit coverage across JPMorgan Chase
Bachelor's degree in Accounting, Finance, or a related discipline
At least eight years of experience in a Financial Services firm or in public accounting, with an appropriate level of exposure to and involvement with Risk management. Knowledge of Operational Risk, Credit Risk, Basel and CCAR is considered a plus
Experience in risk analysis, report preparation, risk assessment, issue/impact analysis and executive report preparation required

Audit Manager, Value For Money Resume Examples & Samples

Contributing to the sustainability of a strong internal audit practice, demonstrating a high performance culture which embeds the “Our Way” principles
Providing fair and balanced insights into current, emerging and potential issues, trends and opportunities that will enhance efficiency and effectiveness of management
Execute assigned audit procedures with the recognition of the risks of the client group which encompass the inherent risks, control risks and internal/external environmental and regulatory risks
Ensure open and effective lines of communication are maintained with the client contacts assigned to the role
Support the culture within CAD as it continues to evolve
Assist in advancing the Division’s overall practice through insights on methodologies as may be required
Masters/Graduate degree in Social Sciences and/or Humanities or CMA or equivalent
3-5 years of direct relevant experience in a business/corporate function, management consulting
Background in Project Management or Process Improvement – PMP and/or Six Sigma
Excellent level of interpersonal, relationship management and communication skills
Working level negotiation, influencing and conflict resolution skills

Audit Resume Examples & Samples

Continue to strengthen and manage relationships with senior GIM business leaders and related control groups
Manage relationships and field requests from EMEA and U.S. Regulators such as the FCA and OCC
Present to relevant Committees including Operating Committees and Risk Committees in EMEA
Stay up-to-date with evolving industry and regulatory changes impacting the business
Experience preferably in Asset Management Audit
Professional accountancy qualification and/or other professional certifications, IMC, CFA are a plus

International Audit Manager Resume Examples & Samples

Manage all aspects of risk-based financial, operational, integrated, and compliance audits in TRU international markets including: planning; development of process flows, risk matrices, audit programs, and audit work papers; fieldwork; clear and concise report writing, and presentation to Internal Audit and Senior Business management. Ensure audit management responses are tracked and appropriately implemented per agreed upon timeline
Manage execution of various special projects and corporate initiatives including performing fraud investigations and preparation of Item 13 in TRU’s 10-K
Manage and train a Senior Auditor to complete all assignments within budgeted timeframe and cost
Identify process improvements and cost savings opportunities during completion of audit
Build and maintain relationships and effectively communicate, as key audit partner and consultant, with all levels of management, other members of Internal Audit team, and external auditors
Lead International Global Risk Assessment efforts with International Senior Management
Will have a Senior International Auditor report to them dotted line and work alongside another International Audit Manager. The Manager will be co-responsible for team member development and talent enhancement
Bachelor’s Degree in Accounting or Finance. CPA, CIA, or MBA preferred
6-8 years of experience in financial, operational, integrated, and compliance audits. Experience with international audit and operations in a retail environment is highly desirable
Minimum of 3 years managing financial audits and leading others; ability to effectively foster positive team member engagement, manage performance, and provide coaching to enhance skill development
Ability to partner effectively with other Financial and IT Auditors and work as a team
Excellent communication skills, both oral and written; able to express complex ideas in simple terms; well developed interpersonal skills, including the ability to challenge; very strong analytical and quantitative skills; ability to rapidly assimilate knowledge of retail processes and systems

Audit Manager Cork City Resume Examples & Samples

Leading and coordinating assignments in a highly professional manner
Management and development of a team of accountants
Working closely with clients and playing a support role in advisory and business planning

Audit & Accounting Manager Resume Examples & Samples

Management of key client relationships
Ensuring completion of assignments within appropriate budget and timeframe
Responsibility for development and mentoring of trainees and staff
Due diligence assignments

Credit Audit Manager Resume Examples & Samples

Graduate business degree or at least 10 years of relevant experience in credit risk management, commercial lending and/or workouts
Specific knowledge of all phases of effective credit administration, policies, procedures, commercial lending and analytical practices
In-depth knowledge of internal controls and risk assessment
Strong knowledge of US Banking Regulations
CPA, CIA, CFA or CRC designations are desirable
Working level negotiating and influencing skills

Audit Semi-senior Resume Examples & Samples

Good experience working on audit and audit exempt companies
Exposure to both personal and corporate tax returns
Exposure to Company Secretarial work and annual filing requirements of companies
Ability to work individually and as part of a team
Ability to work concurrently on various assignments
Ability to work to tight deadlines as required
The successful Audit Semi-Senior will thrive in an environment where they will be encouraged to learn and explore career opportunities as they arise

Internal Audit Technology Infrastructure AVP Resume Examples & Samples

3+ Years experience in risk based auditing or risk/control activities
3+ Years Financial services industry experience
3+ Years new and emerging financial products and services experience

Internal Audit Rates Resume Examples & Samples

Act as mentor and coach to less experienced team members and support others in developing themselves
Improve technical knowledge through self-learning or training including mandatory CPE requirements
8+ years Investment Banking experience

Internal Audit Ibd Avp Resume Examples & Samples

3+ years experience in risk based auditing
3+ years experience with Investment Banking products (M&A, Debt and Equity Origination, Leveraged Finance), Research function, relevant regulations and market working practices
Strong audit execution skills and experience in risk based auditing

Internal Audit Securities Division Resume Examples & Samples

Develop and maintain an in-depth understanding of business areas, its products, and supporting functions
Identify risks, assess mitigating controls, and make recommendations on improving the control environment
Highly motivated with the ability to multi-task and remain organized in a fast-paced environment

Assistant VP of Internal Audit Rates Resume Examples & Samples

3-7 years of risk-based experience from an investment bank
Solid Excel skills
Private audit experience

Director of Internal Audit Resume Examples & Samples

15+ years of internal audit experience
Experience building an audit function
Real estate experience

Audit Manager Ccar Resume Examples & Samples

Knowledge of the Federal Reserve Bank requirements for Capital Planning and Stress Testing
Knowledge of Basel rules and Capital regulations
Enterprise risk management experience, particularly with Credit, Capital Markets and Operational Risk principles

Audit Manager Nfp Resume Examples & Samples

6-10 years of public accounting/industry experience with a focus on nonprofit clients
Proven ability to manage client relationships, lead and develop staff, and generate new business
Prior management role in public accounting
Experience with yellow book standards

Director of Internal Audit Resume Examples & Samples

10+ years of audit experience from a public or combo
MBA in Finance
CPA
Experience with healthcare clients
Big 4 background

Audit Manager NFP Group Resume Examples & Samples

7+ years of public audit experience
Significant experience with NFP clientele
Strong command of MS Excel

Audit Partner Resume Examples & Samples

12+ years of public accounting experience with Real Estate
Excellent communication & interpersonal skills
Detail oriented

Avp-ib Audit Resume Examples & Samples

Strong practical knowledge of IT, including applications, and/or infrastructure, risks and controls
Experience in technology systems/solutions supporting the following areas: Investment Banking, in particular Equities
Practical application of analytical skills (e.g. process analysis, construct/validate hypothesis) including appropriate communication/reporting of outcomes (e.g. clear, concise and prioritised)

Head of Audit Resume Examples & Samples

To provide updates to the audit committee and wider risk & compliance teams
Be a regulatory expert able to advise the business on any changes
Degree Qualification in relevant discipline + any post graduate qualifications
Experienced people leader with the ability to develop and engage a large team

Audit Manager, Markets Operations Resume Examples & Samples

Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation as well as business monitoring and governance committee reporting
Manages audit activities for the Markets Operations at the regional level including a portion of the audit annual plan
Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Investment Banking, project/program management or regulatory compliance
Develops effective senior line management relationships and has a strong understanding of the businesses
Uses excellent oral and written communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally often at higher levels on matters which will have a major impact on the area managed
Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyses reporting findings. Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems
Functions as lead reviewer for all types of reviews
Performs effective business monitoring and risk assessment including documentation of the relevant Risk Assessment/ Business Monitoring Quarterly Summaries
Extensive years of relevant audit experience in operations / capital markets. Specific subject matter expertise regarding capital markets and related operational processes
Demonstrates experience in managing integrated internal audit and assurance delivery within a matrix reporting environment
Experience in and familiarity with the financial regulations, governance requirements and regulatory expectations (especially, FCA Client Assets (CASS)) will be a distinct advantage. Product knowledge for cash securities, derivatives, FX and the relevant operations processes is desirable but not essential

Director of Internal Audit Resume Examples & Samples

15+ years experience in financial services, with a focus on treasury and/or risk for a global bank
Demonstrated experience managing a team, and ability to take initiative to influence and drive results within a complex organization
Leadership experience in an internal audit function preferred
Advanced degree and/or professional certifications preferred
Solid understanding of the financial markets
This position requires up to 20% travel

Audit Executives / Assistant Managers Resume Examples & Samples

Demonstrate expertise in primary accounting frameworks (UK GAAP or IFRS) and in related financial reporting matters
Relevant Financial Services industry experience – in particular, significant experience within the Banking industry
External Audit Experience

Audit Manager Treasury Resume Examples & Samples

Understanding of regulatory and financial industry guidance and best practices relevant to the business, including technology implications
Knowledge and experience in control theory and professional auditing practices
Professional Certification (CFA, FRM, CIA)

SVP, Audit Resume Examples & Samples

This position reports into an Audit Director who is responsible for GE Capital businesses
This position is responsible for managing a team of experienced auditors in the areas for GECC globally
These areas are centrally managed out of GECC's executive offices but include activities across the global organization
The audits will cover the assessment of GECC's compliance with regulations, internal policies and procedures
Manage performance and budget of allocated teams through follow-up and reporting of performance metrics
Provide requested information to regulators and work to assess and validate examiner findings
Continuously develop and maintain sector/industry/ technical knowledge and share knowledge with team
Proven experience
Bachelor's degree or High School/GED with relevant experience
Detailed understanding of the relevant regulatory requirements for the subject areas and past experience working with regulatory bodies (e.g., Fed, OCC, etc.)

100

Svp, Audit, Derivatives, Treasury Resume Examples & Samples

Bachelor's Degree required; MBA or equivalent preferred; Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or related certification preferred
Minimum 6 years of relevant experience
Experience working with relevant accounting standards such as FAS 133, FAS 52 and FAS
157
Experience in the valuation of derivatives
Experience working with the new Dodd Frank requirements
Experience working with interest rate and FX hedging activities
Legal authorization to work in the U.S. is required. GE may agree to sponsor an individual for an employment visa now or in the future if there is a shortage of individuals with particular skills
Additional Eligibility Qualifications

101

Svp, Audit Credit / Alll Resume Examples & Samples

Delivery of services in accordance with the Department's policies and procedures
Proactively advance integrated auditing concepts and use of technology. Closely follows latest trends in own field and adapt them for application within own job and the business
Strong understanding of industry leading practices within the subject areas and the ability to apply them within the GEC International organization
Ability to challenge the business and influence positive change in the organization
Ability to build strong trusting relationships with senior business stakeholders
Ability to suggest policy changes to key stakeholders that will improve GE Capital International's overall risk and control framework/program
Ability to develop and deliver internal audit's point-of –view with respect to the subject areas to executive management and the CAE
Ability to develop and execute a short and long term internal audit strategy taking into account industry trends, technology advances, organizational goals and regulatory expectations
Proven ability to lead teams
Strong oral and written communication, presentation and facilitation skills

102

Global Audit Department Resume Examples & Samples

Minimum 4-5 years of audit or relevant business experience
Knowledge and experience of corporate Compliance activities across Corporate and Investment Banking businesses ideally from an audit or risk perspective. Knowledge and experience of auditing Corporate and Investment bank products would be beneficial
Self motivated audit professional who effectively analyses risk and proactively identifies issues
Flexibility to travel as required (up to 25%)

103

Audit Not-for-profit Manager Resume Examples & Samples

Excellent client relationship skills and time management skill
Willingness to take initiative
Working experience with education institutions, Foundations and other not-for-profit organizations preferable
Strong experience and understanding of assurance services
Currently located or willing to relocate to the Fort Wayne area
Preferred not-for-profit industry experience

104

Audit Remediation Senior Operations Specialist Merrill Edge Resume Examples & Samples

Capable of multi tasking and working efficiently under stress and high volume
Strong organizational, time management and teamwork skills
Previous knowledge of client account services is helpful
Strong analytical, negotiation and problem solving skills
Track record of attention to detail and follow through on assignments
Apply sound judgement and enterprise-wide mindset in making decisions
Foster collaborative relationships within and across business units and sectors
Anticipate and understand client needs and concerns
Customer Service and/or call center experience preferred
Working knowledge of Microsoft Office Products; Word & Excel, Access and Power-point

105

Audit Resume Examples & Samples

ACA or ACCA or equivalent CA qualification
Experience in working in medium sized audit teams
Proven track record of establishing and maintaining strong client relationships

106

Audit Resume Examples & Samples

Coach and train other staff; and,
Strong business awareness, sound reporting skills and the ability to work under your own initiative
Must be educated to degree level
Have significant auditing experience
Experience of financial reporting frameworks such as UK GAAP or IFRS and auditing frameworks such as UK ISAs
Extensive experience of the audit from planning to completion, across a diverse range of assignments
Ability to communicate clearly with colleagues and clients at all levels
A proven track record of establishing and maintaining strong relationships and providing exceptional client service
Candidates will also be required to demonstrate the ability to contribute to new initiatives, whether building relationships with target clients or other business development activities
A reasonable degree of flexibility in relation to travel will be expected to serve the regional nature of our client base
Demonstrable strong analytical skills and organisational abilities
Well developed listening and questioning techniques
Action oriented with a strong desire for continuous improvement

107

Audit Resume Examples & Samples

Providing audit and business advice to a variety of our clients from small, fast growing clients to large corporate entities
Your role will be responsible for the on-site co-ordination of audits; including planning the day to day control of the audit team, liaising with clients and completing audit assignments
Building strong relationships with new and established clients
Your role will report directly to a Partner, Director, Senior Manager or Manager
You will have supervisory responsibilities for a team of up to 10 people
The Senior Associates will coach, train and develop junior team members
Http://www.pwc.com/uk/en/careers/experienced/applying-to-pwc.jhtm
Www.pwc.com/uk/diversity

108

Audit Resume Examples & Samples

Provide an on-site co-ordination role for audit clients including planning, day to day control of the audit team,
Liaising with clients and completing audit assignments
Have supervisory responsibility for teams of people

109

Audit Resume Examples & Samples

Experience of working on prestigious accounts and pieces of work
Opportunity to work with multinational clients across all sectors
Exposure to senior management and partners of the firm
Exposure to current thinking in Corporate Governance and Risk Management
Leading implementer for International Accounting Standards
Working as part of a team, liaising with both client and other specialist staff in the practice to provide high quality client services
Supervising teams and reporting directly to senior staff
Working as part of our business development strategy team in the local marketplace

110

Mid Tier Audit Manager Resume Examples & Samples

ACA or equivalent
Able to come up with innovative solutions
A passion for delivering an exceptional client service
Proven ability in leading audit engagements, including planning, controlling and completing a diverse range of assignments
Strong analytical and organisational abilities
Experience of supervising and developing staff through coaching
Strong project management
Knowledge of International Accounting Standards and/or US GAAP would be an advantage
Strong team-working skills
Always wanting to learn
Highly developed listening and questioning techniques

111

Mid Tier-audit Resume Examples & Samples

Focussed and initiative driven (required to maximise growth potential)
Experience of working with clients in the Mid-Tier
Proven skills working on a wide range of audit engagements
Good analytical and organisational abilities
An ability to develop junior staff through coaching
Previous experience of working in a UK Audit environment
Strong team-working
Desire for continuous improvement
Good listening

112

Pensions Audit Manager Bristol Resume Examples & Samples

Building and maintaining strong relationships with established and potential clients of the firm, with a key focus on providing insight and understanding opportunities to help with their issues and challenges
Reporting directly to the engagement leader, working with the team of pensions specialist managers and senior managers across the West & Wales region and our national practice (in addition to the other lines of service, e.g. HRS, BRS)
Having overall responsibility for the drafting of Audit Plans and Trustee Board papers, including the agreement of them with key client contacts
Responsibility for the coaching, development and well-being of the team members reporting directly in to you, helping develop the careers of others

113

Se-audit Manager Resume Examples & Samples

Audit and business advice to a variety of clients from small, fast growing clients to large corporate entities
On site co-ordination for audit clients including planning, day to day control, liaising with clients and completing audit assignments
Supervisory responsibility for teams of people
Coaching and training other staff

114

Treasury Audit Manager Banking & Capital Markets Resume Examples & Samples

Qualified accountant – ACA or equivalent
Knowledge of retail banking & IFRS, particularly IAS 39 and hedge accounting
At ease with accounting and business processes as well as auditing concepts and practices
Excellent interpersonal skills, able to interact effectively with staff at all levels
Able to work independently and manage several tasks at one time
High standard of written and oral communication skills
Good IT literacy including Word, Excel, Visio and Powerpoint
Exposure to the Murex system

115

CO OP Audit Technology Resume Examples & Samples

Assist in the day-to-day user support and support of Audit and S&I in-house built, and vendor purchased Office Automation systems for our Canadian-based and International staff
Assist in providing administration and control around network, database and application security management, including logical access and process flows for the reporting applications, databases on the various servers, reports, surveys, and data directories on the servers
Assist in coordinating end user technology support for our staff with IBM, including pre-acquisition consulting on compatibility and infrastructure requirements, and the resulting development and submission of business cases for new equipment as required. This includes the coordination and execution of Hardware, Software and Operating System updates/upgrades/deployments for workstation, network printers and servers, as well as Asset Management
Assist in project work related to the review, assessment and implementation of vendor Office Automation systems. Also, assist in the deployment of workstation updates driven by the Bank and IBM, which will include understanding what will be deployed, determining impact on department PCs and processes, and participating in pilot testing prior to the mass deployment to the department
Strong IT background (Windows 7, XP, NT, Microsoft IIS, SQL Server, Notes R6, VPN etc.)
Programming and database technology (Note: there may be some limited exposure to programming)
Solid experience helping users with MS Word, Excel, PowerPoint, Access, VB; basic knowledge of PC networking
Work effectively in a team environment, have good time management skills, effective listening and communication skills

116

Global Audit Department Resume Examples & Samples

Minimum 4-5 years of audit experience with exposure to asset management and the financial services industry or relevant business experience
Knowledge of Investment Management activities ideally from an audit or risk perspective
In-depth understating of audit practices and methodologies, including risk assessment and understanding of internal control concepts

117

Gf Audit Manager Resume Examples & Samples

Min. 8 years of relevant experience
Bachelor degree holder or equivalent
Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Consumer technology and applications, especially those associated with the ASPAC region

118

Chart Audit Resume Examples & Samples

Interacts with outside insurance agencies, patients, and hospital departments including Business office on audits. disputed charges, and hospital charging problems
Conduct monthly Chart Audit Meeting with hospital department directors
Works with department managers to ensure daily charge reconciliation is being completed
CDM Monitoring – coordinates with departments needing to add to or remove items from the CDM
Ensure implants are being charged and billed
Reviews clinical denials
Coordinates with Case Management and prepares appeal letters
Utilizied CART – Tracks all denials
Monitors, tracks, and assures response to RAC audits

119

Audit Manager, Credit Resume Examples & Samples

Assessment of either or both commercial/retail credit underwriting, credit monitoring, accuracy and completeness of credit and collateral documentation, compliance with Bank policy as well as laws and applicable regulations
Determination that strategic management, policy effectiveness, risk reporting, and risk oversight are adequate
Evaluating line of business performance against all requirements of Basel III Accord as applicable
Supporting team members during audits to ensure the quality and adequacy of team work
Ensuring audit teams adhere to Corporate Audit Department methodology during the course of an engagement
Managing a high quality relationship within the Team, and with executives and other stakeholders
Monitoring credit trends within credit risk portfolios in order to provide insights to line of business management as well as using such information in prioritizing and executing necessary engagements
Ensuring that the Director and Senior Managers are kept informed of all issues relating to risks and controls within portfolios being monitored and audited
Understanding and performing the role in a manner consistent with regulatory and Departmental expectations for maintenance of a recognized ‘Strong’ audit function
Significant prior experience in relevant areas of credit risk management, demonstrated ability to produce quality credit assessments
Experience in commercial lending, credit risk management, loan review, and problem loan workouts
Undergraduate degree, preferably in fields of finance or accounting
Effective analytic, verbal, and writing skills
Ability to work on a team with minimal to average supervision
Ability to work under pressure when necessary and meet specific objectives timely
Masters or other advanced education degrees in business or finance
Relevant professional certification(s) (e.g., CFA, CPA, other)
Knowledge and experience working with the Basel III Accord, related processes, models, and controls

120

Audit Mgr, Audit Resume Examples & Samples

Manage audits to ensure timely completion
Alert the directors of potential major audit findings
Publish clear and concise audit reports
Develop annual audit plans based on risk assessment covering financial and compliance audits
Hire and maintain a highly competent and professional audit staff pursuant to established guidelines
E-business

121

Audit Credit Markets Resume Examples & Samples

Identify and follow up on specific audit issues and ensure appropriate involvement with significant development efforts or projects
Build and maintain key relationships with stakeholders and colleagues, establishing a culture of engagement while adding value
Experience of auditing Markets businesses (preferably Credit products) within IB
Ability to learn quickly and good understanding of internal control and risk concepts
Strong verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner

122

Audit Manager, Wealth Management Resume Examples & Samples

Drive positive change in the Enterprise based upon high quality work, thoughtful in its preparation and direction. Maintain a working knowledge of the industry, of the client group, the regulatory and broad economic environment availing the client of the knowledge as to the development of new strategies and tactical plans and opportunities
Leading a workforce that is knowledgeable about our business and specialized within their audit field, understanding the external market, thinking about the efficiency and effectiveness of management and control processes, being seen as highly credible and using their ingenuity to add value. Maintain regular communication with Director/SAM on Division issues concerning the audit engagement
Continually advance the professional practice. Be seen as knowledgeable within specific technical competency roles aligned to the needs of the Division

123

Head of Audit Resume Examples & Samples

Senior level experience of diversified financial management experience, including experience in audit in the LatAm Region. Additional international experience preferred
Thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. He/She must be proficient in risk and control analysis and audit concepts for a number of products and specialized areas and will be skilled at analyzing root causes of problems and anticipating 'horizon' issues
Good understanding of the regulatory framework and expectations from financial regulators in TTO

124

Mortgage Audit Manager Resume Examples & Samples

Receipt and distribution of audit review reports to appropriate parties
Coordination of remediation, inclusive of assignment / responsibility for research and resolution when applicable
Research and validate findings and observations. Work with vendor to determine root cause, ensure loan level corrections and possible solutions to process breaks
Escalate relevant problems and issues identified to management
Conduct follow-up to ensure responses received timely to meet required deadlines
Ensure responses are valid and appropriate and meet regulatory requirements
Recommend efficient and effective processes for managing risk and to streamline processes
Preparation and submission of timely audit report responses with appropriate parties
Maintain organized structure of all audit documentation received and submitted
Manage and maintain management reporting
Minimum 5+ years’ experience in the mortgage industry
Strong understanding of residential mortgage Originations and Servicing
Knowledge of the regulatory environment relating to Mortgage Originations required
Audit experience preferred
Ability to work both independently and with team members, under tight deadlines
Ability to manage a variety of issues and assignments concurrently and to change priorities as needed
Strong communications skills both verbal and written
Proficient with Microsoft Office Suite of products (Word, Excel, PowerPoint)

125

Audit Semi-senior Resume Examples & Samples

Work directly with client personnel under the guidance and supervision of a Senior or Supervisor
Communicate directly with clients as directed by Supervisor
Ability to effectively present information, listen and respond to questions from clients and team members
Adaptable self-starter with an eagerness to learn

126

Senior Analyst, Fcra Audit Resume Examples & Samples

Read and understand abstracts and long form legal agreements, related correspondence, and applicable systems used for reporting
Maintain system of organization to monitor audits from fieldwork through to settlement; maintain high-quality audit binders and workpapers; escalate issues to in a timely manner
Minimum 2 – 3 years of work experience in accounting, audit or finance environment required
Experience in Participations desired
Strong knowledge in Microsoft Office applications required
Proficient in SAP General Ledger
Strong math and algebra skills
Strong ability to interact professionally with auditors and all levels of company personnel and management
Understanding of Participations reporting, including the ability to read and understand extracts of legal agreements
Must be a confident individual, who is a quick learner who takes initiative and is results-oriented
Must be a team player with high-level of interpersonal skills and customer focus
Must be able to manage multiple tasks effectively, efficiently, with flexibility to changing priorities

127

VP of Audit Resume Examples & Samples

6+ years of related experience
Public accounting and/or private industry experience
Understanding of the relevant regulatory requirements for the subject areas
Past experience working with regulatory bodies (e.g., Fed, OCC, etc.)
Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Public Accountant (CPA)

128

K Ia-audit Manager Resume Examples & Samples

7-10+ years of experience with business process review, improvement and re-engineering theory and procedures in an enterprise level environment
Negotiating skills, pragmatic approach
Self-starter, motivated, wants to make a difference
Wants to be a change agent, make improvements
Creative thinker, generates ideas to drive forward
Ability to collaborate in a global matrix managed organization
Execution of business process review, improvement and re-engineering activities

129

Audit File Preparation Specialist Resume Examples & Samples

Attend audit meetings & execute on document requests from staff and LOB owners
Work from checklists to prepare files for audit or quality reviews; make copies, ensure required documents are included, etc
Responsible for preparation, quality check and delivery of regulatory file submissions in accordance with agency requirements and company standards
Organize and maintain file components associated with a regulatory audit. This may include, but not exclusive to, setting up file templates, scanning, printing and indexing
Responsible for all aspects of the file submission process and/or submission of file components for internal review and signoff, and for submission to regulatory authorities.á This includes all operational tasks including formatting, editing, reviewing, publishing and archiving (paper and electronic) as applicable
Ensure and confirm that all documentation and records are available for review and are in order. This may include but is not limited to the foreclosure and bankruptcy process
Communicate effectively with clients via phone, email and client websites to ensure all information needed is received to expedite the audit process
Random spot checks of files pulled for audit for accuracy. Create inventory list of items delivered to audit requestor; track delivery and receipt
Organize delivery of requested docs, files, etc. to Audit or Quality Teams
Perform random monthly checks of files for accuracy and content of prepared file
Report results of audits, troubled files, etc
Identify gaps of audit process to prepare for next audit
Enter and retrieve data from Central File Room and foreclosure tracking systems as needed
Create and maintain tracking spreadsheets, certification tracking and exception tracking
Pull and certify files for review according to pertinent investor requirements
Retrieve notes from system notes to augment file documentation as requested
Prepare original document for delivery to the collections area so foreclosure proceedings can begin
Prepared documents and files for image processing when necessary
Assist in cataloging documentation for imaging
Operate various office and imaging machines
Perform general housekeeping in the department and in file room
Meet and maintain production standards for File room activities
Perform all work in accordance with established safety procedures
Perform any other duties as assigned

130

Audit Resume Examples & Samples

Need to travel/overnight stays away from home: Yes - minimal but depends on ad hoc projects
Opportunity for flexible working (hours)?: Yes
Opportunity for working from home?: minimal but depends on ad hoc projects
Opportunity for job sharing?: No

131

Audit Manager Asset Management the Bahamas Resume Examples & Samples

Develop and maintain productive relationships with audit client management throughout the year
Establish expectations of value to be delivered
Stay informed of general business/economic developments and their impact to the audit client
Conduct timely performance reviews and provide performance feedback/training
Understand EY and its service lines and actively assess/present ways to apply knowledge and services
Professional accounting certification CPA, CA, ACA, ACCA or equivalent
Approximately 2 years of audit experience with a public accounting firm

132

Audit Manager Specialized Resume Examples & Samples

Deliver value to the client by providing knowledge, ideas and solutions for improving the business and streamline processes
Assign a team that will meet and exceed the clients' expectations in standards of service and client care
Develop and maintain an appropriate external network of business contacts
Your people responsibilities
Counsel and coach staff
Appraise staff in a constructive and timely manner

133

VP of Audit Resume Examples & Samples

6+ years of experience out of the Financial Services industry
Previous experience working within a Broker Dealer
Experience with Derivatives, FX and Swaps

134

Audit Resume Examples & Samples

Deep knowledge of several IS/IT areas, notably: governance, projects, developments and SDLC, production, security, risk management, disaster recovery planning, and technical infrastructure components
Risk oriented knowledge of Infrastructure components, such as: database management systems (e.g., DB2, SQL Server and Oracle), major computing platforms (Windows NT/2000, UNIX operating systems) and client/server architectures, commonly used systems and applications, and web-based technologies, Network components (firewalls, routers, switches, IAPs)
Knowledge of anti-money laundering (AML) systems used for transaction monitoring or sanctions/OFAC screening, and knowledge of payment processing systems
At least 5 years of information systems experience, with a minimum of 2 years in Information Systems / Information Technology auditing, preferably within banking/financial institutions
Experience auditing or working with anti-money laundering (AML) systems used for transaction monitoring or sanctions/OFAC screening, and also payment processing systems (for instance, implementation or configuration of AML/payments related systems)
Bachelor's degree in Computer Science, Information Systems, Information Technology or a business discipline
CISA (or to be obtained quickly after the recruitment)
IS/IT operational experience or IS/IT consulting experience
Master’s degree in a business or IS/IT discipline
ITIL, CISM, CISSP, CIA, PMP, and/or Prince2 certification(s)
CGEIT, CNE, MCSE, MCP, CCSP, CCIE, and/or CCNA certification(s)

135

Gf Audit Manager Gfts Resume Examples & Samples

Drive the coverage of technology risk by applying technical knowledge to all phases of the audit process, and provide coaching to team members during the audit
Design substantive audit tests to determine the effectiveness of controls and apply critical analysis of test results to determine the level of audit assurance
Complete delivery of assigned audits within budgeted timeframes and budgeted costs
Develop knowledge of key regulations that influence audit scope
Define data needs for computer assisted auditing tools and techniques (CAATTs) to increase the efficiency of the audit process; will either develop and implement CAATTs solutions, or specify requirements for development by CAATTs specialists, in the case of more complex CAATTs
Articulate objective, evidence-based conclusions on the operating effectiveness of controls and make practical recommendations for the remediation of issues identified
Mid to Senior level experience in technology audit and/or core IT management processes and related risks and controls, particularly application controls, development, change management, information security and business continuity commensurate experience in business, function and people management, with proven abilities in taking responsibility for executing a succession of high quality deliverables according to strict timetables
Strong interpersonal skills for interfacing with all levels of internal and external stakeholders with a proactive ‘no surprises’ approach in communicating issues

136

Audit Manager, IT Infrastructure Audit Resume Examples & Samples

Support the team in the achievement of individual, divisional and team goals
Proactively identify/lead opportunities for continuous improvement and work with the team/management on their realization
Represent Audit Division on committees and provide specialized subject matter expertise to clients, Audit Division and regulators
Develop and maintain in-depth understanding of current technology risks to adequately assess their likelihood and impact
Keep abreast of emerging risks, trends and issues in information technology
Conduct research to identify benchmarks and best practices for the management of IT risk & audit practice

137

Big Banking & Capital Markets Audit Resume Examples & Samples

Provide on site delivery and supervision of audit assignments
Responsible for completing the audits from the planning stage right through to the final client meeting
Produce high quality work, keeping within budget and timescales
There may also be the opportunity to become involved in pitches, proposals and project work

138

Audit Account Manager Resume Examples & Samples

Manage day to day delivery of client scope of work, including communication with local EY team and Primary Team
Track progress around completion of client scope of work, and ensure resources are applied to ensure completion
Experience auditing global multi-nationals
Manage the day to day delivery of client scope of work, including communication with local EY teams and Primary Team
Ensure client engagement economics are monitored in a weekly basis with weekly updates provided to team engagement manager
Monitor other Audit teams being charged to client accounts to ensure all remain within agreed budgets
Ensure client platforms are updated for all relevant and required information, on an ongoing basis, and then information held within is accurate and reliable
Ensure COE process for capturing technology platform content is followed on a day to day basis and drive through any changes to same
Previous or current experience of auditing client accounts desirable
Project Management - Ability to manage all aspects of Client account
Ability to ensure all key deliverables are meet
Ability to motivate team to meet team and wider COE goals
Strong delegation skills
Manage client economics, monitor progress, highlight areas of concern and provide regular reporting to COE leadership
Report on client deliverable matrix to client relationship manager and COE leadership
Previous experience of managing audit engagements
Additional languages desirable but not essential

139

Director of Internal Audit Resume Examples & Samples

10+ years of Banking / Audit experience
In depth knowledge of FBO and CCAR rules
Understanding of Risk Management and Governance
Familiarity with key global regulatory reform and impact on foreign financial institutions
Current working knowledge of Internal Audit Services practices, policies, procedures and systems
Proficient in auditing principles and techniques
Project Management skills a must

140

Audit Manager Anti Money Laundering Resume Examples & Samples

Execute audit procedures conducted in full recognition of the risks of the client group which encompass the internal risks, control risks and internal/external environments and regulatory risks
Demonstrate good judgement in application of audit procedures
Effectively execute sections of the audit as assigned by the SAM or Director
Conduct such projects as may be assigned by Senior Audit Manager or Director
Working level interpersonal, relationship management and communication skills

141

Audit IT Resume Examples & Samples

This role will execute advisory & audit responsibilities for the firms HIPPA compliance program
Coordinate firms SOC2 engagements with external auditors
Identify risks, assess controls design, and conduct testing
Test restricted access and maintain access rules within automated monitoring tool
Assist and provide electronic audit evidence

142

International Audit Manager Resume Examples & Samples

The position is responsible for coordination and communication with external auditors and internal clients, including senior management, and serves as a resource on current and expected internal control topics
The Audit Manager has responsibilities for management and coaching of multiple audit teams throughout the year and serves as the direct developmental manager for designated audit staff associates
The position will also lead and/or participate in departmental and/or cross-functional projects and initiatives as identified
Review and adjust audit schedule based on changes in audit timing, senior management requests, and resource availability
Inspect overall internal control processes to determine accuracy of financial statement account balances and compliance with laws and regulations, company policies and procedures, and GAAP
Review internal control processes to evaluate efficiency and effectiveness of processes, procedures, and internal control systems
Delegate accountability to team members, empowering them and giving them latitude to make independent judgments, within broad parameters, including desired business outcome
Financial Policies and Procedures: Knowledge of the Company's financial policies and procedures including Standard Practices and Procedures, Standard Accounting Codes, Reporting And Budgeting, Code of Business Conduct, Global Anti-bribery Policy, as well as internal policies and procedures specific to area of responsibility (e.g., Coca-Cola International, Global Business Services)
Audit Interviewing: Ability to question individuals in order to gather and understand facts about processes, events, or transactions
Professional Skepticism: Ability and inclination to tactfully yet forcefully pursue understanding and verification to the point of reasonable assurance
Objectivity: Ability to remain independent and objective when performing audits. This includes adhering to the facts and standards (e.g., GAAP, Standards, Practices, and Procedures) and not being unduly influenced by operating management
Project Management: Ability to effectively manage projects via detailed actions plans as well as collaborate and follow-up with team members and clients to deliver projects on time and within budget
Multi-tasking: Ability to process multiple types of information, perform multiple tasks simultaneously, and/or make judgments about moving from one task to another based on their importance
Network/Resources: Ability to develop diverse network/resources to leverage ‘best in class’ knowledge, approaches and processes

143

Operational Audit Manager Tigard Resume Examples & Samples

10+ years of audit experience, preferably within a medium to large bank or financial services company internal audit department. Experience working in a Big 4 CPA firm or bank risk management or compliance function is also desirable
5 + years in management/leadership roles, overseeing audit/project/consulting teams, evaluating the work and performance of others, and serving as a trusted advisor to senior managers and executives
Experience simultaneously leading multiple audits/projects covering areas such as core banking functions, back-office operations, systems and processes, financial and/or regulatory reporting, enterprise risk management and regulatory compliance activities, and key projects
Must have solid general knowledge of banking/financial services business functions, systems, products, and regulatory requirements. Should have specific or advanced knowledge of key banking enterprise risk management areas, such as: operational risk, model risk, credit risk, liquidity risk, reputational risk, etc
Experience auditing or working on projects relating to key banking requirements, such as DFAST, consumer regulations (e.g., UDAAP, GLBA, etc.), capital planning, etc. also strongly desirable
Must hold a bachelor's degree in accounting, finance, or a related business discipline or have equivalent work experience. MBA or other advanced degree considered a plus
Candidate should hold at least one accounting, auditing, risk management, or compliance professional designation, such as CPA, CIA, CFE, CISA, CAMS, etc
Working knowledge of common auditing and risk management approaches and frameworks, such as GAAP, COSO, Sarbanes Oxley requirements, and regulatory (FDIC, FRB, OCC) expectations of an effective Internal Audit function
Adept at delivering concise and informative presentations to and interacting with senior executives, regulatory examiners, and boards of directors

144

Audit File Preparation Specialist Resume Examples & Samples

High school diploma or equivalent. (Some college preferred)
Strong organization skills and attention to detail with the ability to prioritize
Prior PC experience to include moderate to advanced Excel, Word and Access
Ability to work under moderate supervision; self-motivated
1-2 year relevant experience; familiarity with mortgage servicing documents
Must be able to work efficiently in DokTrak, Ace, Mortgage Serv, UniFi, and Nautilus
Good verbal and written communication, spelling, grammar and typing skills
A general expertise of all documents that would be requested by internal and external agencies for compliance reviews

145

Audit Resume Examples & Samples

Lead and participate in audit projects from planning to reporting and deliver a quality product in line with department standards and expectations
Monitor and analyze key performance indicators to identify trends
Develop and maintain business relationships to monitor changes in the control environment
The position may require up to 15% travel
Extensive previous experience in auditing and/or technology

146

Audit Manager Consumer Cards Resume Examples & Samples

Performs independent testing of business data extractions and segmentations for accuracy and applicability to internal audit testing and regulatory requirements
Develops and supports management information for project management tracking and governance reporting to committees and regulators
Serves as lead analyst for all types of reviews and leads time based project teams as required
5+ years of development experience with SAS Enterprise Guide
Senior level experience in a related role with experience in providing scheduled and ad-hoc reporting, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables

147

Audit Quality Review Assistant Resume Examples & Samples

Support delivery of the UK content of the AQR checklist to ensure compliance with UK auditing standards and regulations
Support the development of briefing material for reviewers
Work with the AQR team leader, UKI PPD, EMEIA and EYG to agree final ratings for the RIs
Work with the AQR team leaders to prepare the office Quality Improvement plans (‘QUIPs’) and consolidate these to complete the UK&I QUIP
Support the delivery of the practice and work with the talent team to communicate those messages
Support the assembly of all final documentation which is then made available to our regulators for their review
Help draft the overall report to the Board on the AQR process
Support the QAD review process
Knowledge of auditing standards
Proven ability to familiarise yourself quickly with new methodologies or deep knowledge of “GAM”
Project management and report writing skills

148

Audit Quality Review Manager Resume Examples & Samples

Developing your technical skills by doing research to respond to technical queries and consultations over a wide range of areas, including going concern and modified audit reports
Independence – practical implementation of independence standards and policies within the audit service line (eg audit documentation, independence communication to clients)
Implementation of Global policies within the UK related to the Assurance Practice Manual and the Global Reporting Manual
Developing, updating and maintaining audit reports and engagement letters for changes arising from global policies and UK regulation/standards
Regulatory developments – assist in drafting the Firm’s response to consultation papers issued by various professional bodies
Thought leadership – Based on regulatory developments affecting the Firm and the profession, help develop thought leadership and publications for use by clients and audit teams on various topical issues
A challenging mind-set,
Ability to quickly assess the practical consequences of different strategies,
Ability to deliver difficult messages in a clear and constructive manner,
Ability to influence others, excellent written skills,
Strong technical knowledge,

149

Audit Manager, Technology Resume Examples & Samples

Bachelors degree in Finance / Accounting
3-6 years of experience
3-6 years in public accounting, internal audit or related financial services field
May also require 3-6 years experience in Technology Audits, MIS or a combination of Audit experience with Technology skills
Experience leading small to mid-sized projects

150

Audit Team Manager Resume Examples & Samples

Bachelors degree in Accounting, Finance, Business or Management Information Systems or equivalent degree required
Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA) or related certifications preferred. Normal office environment
Responsible for effectively managing staff to achieve performance team metrics, develop and motivate staff to achieve personal effectiveness; mentor, train and share high level knowledge
Assist in the building of strategic partnerships with assigned business lines, AEGON domestic and international units, and third party organizations to help achieve department goals
Participate in project oversight group meeting as directed by the Assistant Director for projects within the respective business lines
Ensure staff demonstrates appropriate customer service and sense of urgency
Working closely with the various Audit Project Managers, maintain an effective team schedule which ensures the full and proper use of business lines resources
Look for opportunities to improve existing conditions and processes, implement solutions, and measure impact
Assist the Audit Project Managers with the planning, execution, and reporting of specific projects under his/her direction as directed by the Assistant Audit Director
Embrace and effectively drive the concepts of a strengths-based organization

151

Svp Gfa Audit Resume Examples & Samples

Minimum of fifteen years proven and progressive audit and/or accounting experience or equivalent
Minimum of a bachelor’s degree in business, accounting, finance, related field or equivalent experience, and a MBA or professional certification
Extensive knowledge of the Company, Group, and financial services industry, businesses supported and the regulatory framework they operate in
Strong managerial, communication, analytical, problem-solving, organizational, lateral thinking and interpersonal skills

152

Zpa Product Audit Resume Examples & Samples

Highlighting the quality situation for the respective areas concerned clearly
Presentation of the problems and analysis
At least 3 years job related experience with automotive painting processes
Technician/Mechanic certification or apprenticeship
Familiar with the painting layers and its surface effects on the car
Knowledge of paint-shop sealing process
Presentation and computer skills (MS Office package)

153

Audit Manager, Administration Resume Examples & Samples

Provide on-the-job training, technical advice and counselling to junior staff
Identify and suggest opportunities to improve Audit process and the operations
Knowledge of auditing practices, procedures, and principles sufficient to analyze client operations. Ability to select the most suitable audit approach, and adapt to the requirements of the audit situation. Apply audit methodology in non-traditional ways including data analytics
Should have Bachelors or equivalent degree in Business, Accounting, or designation (CIA, C.A, C.M.A., C.G.A., C.P.A., C.F.A.), or related field
Developed working knowledge of the regulatory environment that governs the Bank, specifically the Bank Act, OSFI guidelines, IIROC regulations, and in-depth knowledge of Canadian Anti-Money Laundering regulations. Certified Anti-Money Laundering Specialist (CAMS) designation would be an asset
Successful candidates must exhibit CIBCs values of trust, team work, and accountability
International travel may be required (up to 20%)
May be required to work outside of standard hours to meet deadlines

154

Domestic Audit Manager Resume Examples & Samples

Function Specific Knowledge and Skills
Audit Interviewing. Ability to question individuals in order to gather and understand facts about processes, events, or transactions
Objectivity. Ability to remain independent and objective when performing audits. This includes adhering to the facts and standards (e.g., GAAP, Standards, Practices, and Procedures) and not being unduly influenced by operating management
Schedule and allocate resources according to the audit plan based on team members' calendar, preference, and skill level

155

Audit Manager With SOX Experience Resume Examples & Samples

Competitive salary
Prepare audit reports on the condition/adequacy of the company’s control environment
Supervise audit staff and providing regular performance feedback
Minimum 8 years of experience

156

Audit Resume Examples & Samples

Lead and participate in audit projects from planning to reporting with limited supervision and deliver a quality product in line with department standards and expectations
Stay up to date with the global and regional regulatory and market environment, especially as it pertains to Asset Management and Finance
Professional accountancy qualification and/or other professional certifications
Relevant experience in financial services in public accounting or in internal audit
Well versed in GAAP including recent accounting pronouncements. Working understanding of UK, EU, US SEC and Regulatory Reporting
Previous experience in one or more of the following areas preferred: finance and accounting, regulatory compliance, and asset management

157

Infosec Audit Resume Examples & Samples

Support Audit, Compliance, and Regulatory programs for Information Security and its Technology organization internal business partners
Participate in a primary capacity for audits, compliance, and regulatory activities, including, but not limited to: FFIEC, GLBA, SSAE16, PCI, Sarbanes-Oxley (SOX), Internal Audit, & Customer/Client Inquiry
Possess knowledge of the information security, financial, and/or technology regulatory environment and risk management practices
Provide oversight and align resources for program activities across a global security organization
Work collaboratively with corporate compliance, internal audit, enterprise risk management and various technical teams in the design and implementation of audit, regulatory, and compliance practices for Information Security
Promote proactive readiness activities and enhancement of Information Security-based internal controls to support future internal and external reviews
Develop data points into Information Security risk management reporting activities, including dashboards, metrics, and executive reporting content
Advises Information Security leadership on the status of technology risk and compliance issues based on assessment results and information from various monitoring and control systems
Must have 7+ years of work experience in Information Security, Audit, Risk, and/or Compliance. Open to experience in other relevant fields (i.e., finance, business administration, information technology, etc.) as along as candidate can demonstrate relevancy to this Information Security based role
Must have 3+ years direct participation and experience across common industry security policy areas, including, but not limited to ISO, NIST, COSO, COBIT, PCI, FFIEC, SOX, SSAE16, and others
Bachelors Degree in Business, Information Systems Management (or related field) or equivalent work experience
Proven experience working with multiple individuals on internal and external delivery and communication initiatives
Ability to synthesize a variety of data points into comprehensive and effective execution and risk mitigation plans
Strong executive presence and communication skills - experience in Audit/Compliance/Regulatory discussions and proactive readiness activities with internal partners and external customers/clients
Delivers effective and strong documentation to support compliance and certification audits
Must be extremely flexible and able to manage multiple tasks and priorities on very tight deadlines
CISSP, CISA Certifications preferred

158

VP of Audit Resume Examples & Samples

5+ years of Financial Service / Banking experience; 5+ years of Internal Auditing experience in the Financial Services industry
Experience of key Regulations impacting Investment Banking Industry
Experience with auditing Global Financial Crime Regulations, including KYC, AML, and Sanctions

159

Director of Internal Audit Resume Examples & Samples

Understanding of risk management and governance
Proficient in auditing principles and technique
Proficient in Risk Management and Audit expertise

160

Gf Audit Manager Resume Examples & Samples

Develops and executes a robust audit plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
Delivers on time high quality audit reports, Internal Audit and regulatory issue validation and where appropriate, branch examinations, as well as business monitoring and governance committee reporting
Recruits staffs, develops talent, builds effective teams, and manages a budget
Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations
Applies a broad and comprehensive knowledge of high risk areas including: consumer or investment banking, technology management; project/program management; regulatory compliance or supplier management
Analyzes reported findings

161

Audit Manager Data Resume Examples & Samples

Contribute specialist expertise in areas of scope (product, technology and data) and provide coaching to team members in all phases of the audit process
Develop strong understanding in one or several of the Enterprise Data Management processes, institutional banking businesses and global functions audited and the role of technology to support the business processes
Articulate objective, evidence-based conclusions on the operating effectiveness of controls supported by clear and concise rational, and make practical recommendations for the remediation of issues identified
Participate in strategic Internal Audit projects and initiatives
Consult with and provide guidance to local and regional audit teams seeking subject matter expertise
Working knowledge of financial products (Equities, Fixed Income, Derivatives, Funds, etc)
Working knowledge of data management disciplines (Data Governance, Master Data Management, Big Data, ETL)
Understanding of regulatory requirements for privacy and market data, Dodd-Frank, Volcker Rule, GLBA, etc
Extensive experience in an Audit/Compliance or IT management and related risks and controls with exposure to application development, change management, operations, information security
CAATTs experience or uderstanding of data sciences and architecture are strongly preferred
Relevant professional qualifications such as CISA, CISSP, CIA, CFA, Securities Licenses

162

CIB Audit Resume Examples & Samples

Work experience and/or academic coursework in financial accounting, financial statement analysis and corporate finance
High proficiency in Microsoft Excel, Word, and PowerPoint. Knowledge of Bloomberg a plus
Data management
Independent research skills, particularly via web-based applications
Commitment to continuous learning and skill development
Flexibility, strong time management and multi-tasking skills

163

Audit Manager Cardiff Resume Examples & Samples

Building and maintaining strong relationships with existing clients of the firm, understanding opportunities to assist with their issues
Reporting directly to the Assurance Partner and Director and having a number of direct team members report to you
Responsibility for the coaching and development of the team members reporting directly into you taking responsibility for the career development of others
Assisting with managing the staffing of the job, the financial performance and ensuring that key deadlines are met
Have ACA or similarly qualified
Experience of management of the audit from planning to supervision and review of the process
Flexibility in your approach to meeting goals as part of the team

164

Audit Accountant Senior Resume Examples & Samples

Drafting financial statements and reports in accordance with standards
Preparing and indexing work papers
Assuming responsibility for efficiently supervisor both audit and non-audit engagements
Performing various procedures established under GAAP to verify accuracy of client’s financial matters
Minimal travel required within the state of NC

165

Regional Audit Resume Examples & Samples

Governance: provide governance function (including structure, processes) to ensure that Audit, SOX and MICOS related items are delivered appropriately, working with and across RDO, GPS, TRM, internal audit and business stakeholders
Support: provide (from a regulatory perspective) guidance and support on audit project scope, commitments, deliverables, milestones, and co-ordinate inspections and our responses across RDO
Compliance: Review all audit point and control issues to check that the solutions provided ensure that the identified risk is addressed and remains addressed going forward – ensure that the documents and approvals provided can standalone as evidence on tasks performed / to be performed
Reporting: Develop KPIs, metrics and reporting appropriate for management of audit and controls environment that increases capability while reducing risk. Communicate effectively with all levels involved to ensure consistency and clarity of the message

166

Audit Manager Atlantic Trust Resume Examples & Samples

Plan, execute and manage audit assignments of U.S. Wealth Management businesses (Atlantic Trust) including identifying controls, designing audit steps and performing audit testing. These audits will typically involve several business processes or business lines operating at a single location or multiple locations
Work effectively with audit management and other team members to identify significant risks, control or operational weaknesses which may prevent Atlantic Trust from meeting its objectives
Advise Audit management and clients of best practices and promote compliance with CIBC/AT policies and procedures, accounting standards, control policies and relevant regulations and legislation
Contribute to developing the annual audit plan by identifying the planning needs, assessment of risk and to provide coverage for the assigned business clients. The plan may cut across CIBC/AT business lines and processes, and will consider interdependencies using an end-to-end approach
Provide advice to clients on the design and implementation of internal controls at the business process or managerial level, while recognizing Internal Auditors need to remain independent
Maintain regular contact with peers and business line management to share information and to provide clarification on issues, policies or relevant standards. Also maintain contact with Legal, Compliance and Business Risk Management to stay current with policies and regulations
Keep abreast of process, product and structural changes in CIBC/AT; changes in industry practice, regulations and information technology which may affect the control practices which are appropriate for CIBC/AT; current developments in auditing standards and guidelines
Developed business knowledge and working experience in the financial services sector with a focus on the Wealth Management, Asset Management, Trust businesses and the related regulations
Comprehensive knowledge of auditing practices, processes, standards, techniques, procedures and principles with an ability to interpret complex concepts, apply them and explain them to others. Typically this knowledge is acquired through obtaining a professional designation (e.g. CPA, CIA, CFIRS, CTA) or an equivalent extensive business experience
Refined relationship management and negotiation skills with the ability to influence others to resolve differences of opinion
Well-developed verbal and written communication skills
Ability to clearly and concisely document test results, conclusions and recommendations
Ability to gather, synthesize, organize and interpret data or information and formulate appropriate conclusions and insights is necessary
Excellent organizational and time management skills: ability to simultaneously manage multiple tasks and conflicting demands within time constraints with minimal supervision
The ideal candidate will have 4-5 years of relevant experience in the Investment Management Industry including Trust operations

167

Manager, Fcra Audit Resume Examples & Samples

Responsible for the management of all matters relating to audit fieldwork and claims analyses
Supervise Senior Analysts in the execution of fieldwork tasks and activities, including, contract and financial analysis, relevant interactions with auditors, legal and business units
Review Senior Analysts’ work to ensure high quality of output
Monitor staff schedules and workload and help prioritize tasks and assign work accordingly
Proactively resolve problems by identifying bottlenecks and escalating issues
Train, evaluate and provide feedback to staff on performance and growth opportunities
Support settlement discussions and perform ad hoc analyses and special projects as assigned

168

Corp Audit Resume Examples & Samples

Minimum of 3 yrs of financial analysis experience, preferably in the Financial Services industry
Comprehensive knowledge of Microsoft Office products, primarily Excel and Access
Advanced skills in Excel and Essbase
Working knowledge of SAP, CDGL, GLW and EMPORT preferred
Bachelor's degree (preferably emphasis in finance, economics, or accounting) Excellent verbal and written communication skills
Ability to work independently and prioritize responsibilities
Excellent analytical skills
Knowledge of finance concepts
Understanding of accounting principles and processes
Possesses the ability to work with a sense of urgency

169

Audit Semi Senior Resume Examples & Samples

Member of the team on audit assignments for the firm's enviable client base
Perform substantive and controls testing on different areas of the accounts
Produce sets of accounts
Support the senior members of staff and deliver on the job training where necessary to new trainees

170

CIB Audit Resume Examples & Samples

Minimum 6 - 8 years experience in public accounting or financial services firm
Plan, execute and document audit reports for audits conducted within the IS business, including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure
Ensure audits are completed timely and within budget
Partner with business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence
Proven ability to be able to multi task as well as asses and change priorities
Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness

171

Audit Manager Treasury Resume Examples & Samples

5+ years in the Banking industry within a Treasury or Credit Risk Management function and/or Internal Audit function
Understanding of Regulatory and Financial industry guidance and best practices relevant to the business, including technology implications
Knowledge and experience in Control Theory and Professional Auditing practices

172

Short Stay Audit Resume Examples & Samples

Registered Nurse with 3 years of experience in an inpatient setting
Extensive knowledge of multiple types of Current Procedural Terminology (CPT) and Healthcare Common Procedure Coding System (HCPCS) information systems
Comprehensive knowledge of Microsoft Word, Excel and Access
Experience with or knowledge of common coding or HIM systems
Coding certification(s)
Experience auditing or reviewing codes and medical records

173

Audit Team Manager Resume Examples & Samples

Lead and develop business unit Internal Controls staff
Develop and maintain effective working relationships with appropriate corporate and business unit management
Knowledgeable of risk framework and relevant tools
Assist in development and evaluation of divisions; guidance materials for all financial compliance risk program components (e.g. risk assessment, controls evaluations and testing, root cause analysis, and remediation plans)
Develop subject matter expertise on specific financial processes within the organization and share knowledge to enhance best practices
Keeps Internal Controls senior management informed of status. Progress, issues, and concerns
Assist in quarterly / periodic reporting for SOX program components
Ten or more years of audit experience or equivalent experience required. Five or more years of managerial experience preferred. Strong knowledge of audit process or related work experience preferred. Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA) or related certifications preferred

174

Audit Administrator Resume Examples & Samples

Following up post-audit requirements
Direct customer liaison
Directing customer enquiries to the appropriate function
Managing diary systems and utilisation of the audit team
Storing, retrieving and archiving information
Researching and reporting information
Other additional administrative duties as required

175

Audit & Exam Prep Manager Resume Examples & Samples

Develop and Implement standardized Audit and Exam management protocols
Maintain awareness of emerging issues form internal audit and external examination activity that may impact the Preparation process
Develop appropriate MIS to track the progress Audit and Exam Prep initiatives to ensure completion within stated timeframes and to keep management informed. Provide strategic, clear, and regular updates and advice to management regarding significant matters, including issues requiring timely escalation and resolution
Actively partner with functional support teams (i.e. IT Risk, Risk, Compliance, and Internal Audit) to develop positive working relationships and maintain an open environment for collaboration and remediation
Strong organizational, project management, and multi-tasking skills
Intermediate to strong knowledge of Microsoft Office (Excel, PowerPoint, Access and Word)
Strong decision making, analytical and creative thinking skills and awareness and understanding of deadlines
10+ years of experience in Audit, Exam Management, Controls or Operational Risk
Experience with interacting and managing Regulatory Exams
Understanding of systematic processes for identifying and escalating risk and control weaknesses
Effective communication and negotiation skills at the Senior Management Level and all levels
Strong decision making, analytical and creative thinking skills
Action-oriented and effective listening skill
Ability to handle multiple priorities

176

Administrative Assistant Audit Resume Examples & Samples

Provide general administrative and secretarial support to Regional managers and the team
Co-ordination of business travel - flights/hotels/cars/visas
Arrange meetings/conference calls across different time zones
Onboarding/Offboarding (involving laptop/arranging systems access as required/arranging access to the office etc)
Expense processing and reconciliation (via Oracle)
Diary management
Preparation of meeting documents using Word, Excel (Pivot) and PowerPoint
Preparation of monthly expense spreadsheet and MIS
Ordering stationery via ePurchase
Manage Absence Tracking Database
Request systems access as required via EURC
Provide back up support for other regional administrative assistants when necessary to provide adequate coverage
Co-ordination of department meetings, training and visitor schedules
Support of ad hoc projects, and preparation of presentation materials
3 - 5 years experience in secretarial/administrative duties
Strong team player, independent and mature
Strong computer skills (proficient knowledge of MS Word, Excel (Pivot) and PowerPoint and Outlook)
Ability to prioritize workload, multi-task, work well under pressure and be pro-active
Committed in approach, flexible attitude towards working hours
Ability to build both internal and external relationships
Ability to demonstrate utmost discretion and professionalism at all times

177

Audit Managers Resume Examples & Samples

Financial Services particularly Banking experience
Major clients/projects (eg sizeable PLC's)
Salary - Competitive
Hours of Work - 35 per week Monday - Friday
Location: London
Opening Date: 26th June 2015
Closing Date: 27th July 2015

178

Audit Manager, Consumer / Mortgage Resume Examples & Samples

Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation as well as business monitoring
Manages audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan, specifically Consumer Banking Global Mortgage functions associated with the Mortgage Default Servicing businesses
Applies in-depth level of expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams. Proactively advances integrated auditing concepts and use of technology
Manages, during audits, a small to medium sized team of Internal Audit professionals. Develops talent, builds effective teams, and manages a budget
Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas primarily linked to Consumer Banking Global Mortgage functions associated with the Mortgage Default Servicing businesses, as well as regulatory compliance and supplier management risks associated with these functions
Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally often at higher levels on matters which will have a major impact on the area managed
Independently completes assigned audits within budgeted timeframes and budgeted costs which may include intermittent travel
Recommends appropriate and pragmatic solutions to risk and control issues. Identifies inconsistencies in data or results and defines business issues. Challenges policies, procedures or practices and formulates recommendations as necessary
Audit Manager or Lead Auditor experience with experience in business and functional people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
Specific subject matter expertise regarding solid business understanding of Consumer Banking Global Mortgage products, specifically those associated with the Mortgage Default Servicing businesses
Demonstrates experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment. Ability to multi-task and maintain timely delivery and success of critical assignments and deliverables
Must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style
Must be able to work in a dynamic and collaborative team environment and take feedback from peers and seniors to be leveraged in future assignments
Must be able to independently research assignments, apply learnings, and provide peers and seniors with relevant assessments and conclusions or opinions
Should be eager to learn, demonstrate increased understanding of competencies, and anticipate progressive increases in responsibilities

179

Audit & Accounts Semi Semior Resume Examples & Samples

Complete whole sections of the audit pack
Resolve simple queries and refer more complex issues to more senior members of staff
Complete all substantive tests with minimal supervision, ensuring that all jobs are completed within budget and timescales
Complete sets of accounts, working from source documents to final accounts for review by the appropriate manager / senior

180

Audit Managers Resume Examples & Samples

Demonstrate expertise in primary accounting frameworks (UK GAAP or IFRS) and related financial reporting matters
Identify areas requiring improvement in the clients' business processes
ACA / ACCA / CPA / CA (ICAEW, ICAS or equivalent international awarding body) - preferably first time passes
Extensive external audit experience in a Big 4 / top tier firm
In depth experience in a particular industry sector (manufacturing, telecoms, consumer goods etc.) an advantage but not essential

181

Audit Executives Resume Examples & Samples

Honours degree (or equivalent)
ACA/CA/ACCA qualified or equivalent
Excellent technical expertise with proven industry knowledge – UK GAAP/IFRS
Proven experience in delivering external audit and assurance engagements in the Financial Services industry
Ability to coach and develop more junior members of staff

182

Basel, Audit Manager Resume Examples & Samples

5+ years in the banking industry within a public accounting, risk management, finance and/or internal audit function
BA, BS, or equivalent degree in accounting or finance relevant field
Experience executing audits or processes involving consumer / corporate credit risk, operational risk, capital adequacy
Proficiency in spreadsheets, dynamic tables and designing queries for large data bases
Advanced degree in Accounting, Finance, Business, or related field
Basel II implementation (Credit, Operational, Pillar 2) or auditing experience in the US
Professional Certification (CIA, CFSA, CPA, or equivalent)

183

Internl Audit Resume Examples & Samples

Investment Management - covers the firm’s Private Wealth Management, Asset Management and Merchant Banking businesses. Investment Banking and Global Investment Research businesses
Corporate - covers the firm’s Risk Management, Corporate Governance, Finance, Legal, Compliance and Regulatory Reporting areas. covers Human Capital Management, Services and the Executive Office
Technology – Covers Application Technology, Technology Infrastructure and Data Analytics
Regular interaction with Senior Management of within Goldman Sachs across the globe
Ability to handle and maintain confidential data
Prioritize time-sensitive tasks
Ability to multi-task efficiently and meet tight deadlines
Understanding of firm policies and the potential to handle certain issues independently
Manage calendars; organize meetings, luncheons, dinners and conference calls
Co-ordinate itineraries and appropriate room reservations
Preparation of expense claims including reconciliations
Prepare Travel & Expense reports
Co-ordinate all travel arrangements including flight, hotel bookings and itineraries
Candidate should be a Graduate
Candidate currently handling a similar role/working in an MNC will be preferred
Effective team player with exceptional organizational and communication skills
Strong organizational skills with the ability to handle multiple, high priority projects simultaneously whilst maintaining attention to detail
Ability to handle highly sensitive, confidential and non-routine info
Strong interpersonal, leadership and proactive problem solving abilities
Ability to maintain a positive attitude and professional demeanor at all times
Ability to work well under pressure, adapt to unexpected events, prioritize and multitask in a deadline driven environment
Strong Client service orientation
Must be adept in the use of MS Office 2000 or later, particularly Outlook, Excel, Word and Power Point

184

Audit Manager IT Infrastructure Resume Examples & Samples

Approximately 4-6 years of experience preferably in the area of IT audit and / or related control functions
Plan and execute collaborative risk-based IT audits of low to moderate complexity and conclude whether risks are appropriately managed through the existence of effective control or other techniques
For those audits where the auditor assumes responsibility, the auditor is expected to develop a comprehensive audit plan clearly outlining the objective, scope, deliverables, approach and schedule. Planning must also consider Fraud Risk scenarios as per PCAOB guidelines
Ensure that audit conclusions and recommendations are properly supported by an orderly accumulation and analysis of documented audit evidence, and that the audit report content is clear, concise and supported by the audit work completed
Perform accountabilities with minimal supervision and provide audit management with regular status updates of the assignment. The incumbent is expected to seek and obtain direction, perspective and resources as required in order to complete the assigned audit on time and within budget
Working knowledge of primary Bank business areas (eg. retail banking, wealth management)

185

Audit Manager, Treasury & Trade Solutions Resume Examples & Samples

Specific subject matter expertise regarding technology application control disciplines. Solid business understanding of ICG/TTS products, especially those associated with Cash, Trade, and Cards businesses
Understanding of or experience working in a TTS Regional Processing Center servicing multi regional businesses is preferred
Bilingual (English/Spanish or English/Portuguese) is highly preferred
Continuous Quality Improvement mind-set

186

Card Services Audit Resume Examples & Samples

Finalize audit findings and use judgment to provide an overall opinion on the control environment
Bachelor's degree in Accounting/Finance, Economics or related discipline
Working knowledge of Regulatory Compliance

187

Audit CIB Treasury Services Auditor AVP Resume Examples & Samples

Disseminate best practice and regulatory requirements. Critically assess the impact of evolving industry and regulatory changes on the business and its control environment
Travel to overseas business locations as required. While the amount of travel will vary depending upon business need, approximately 10-15 per cent should be anticipated
Significant relevant experience, ideally from an audit or control perspective
Strong analytical skills particularly in regard to assessing the probability and impact of control weaknesses
Proven ability to multi-task

188

Audit Managers Resume Examples & Samples

Identify, anticipate and resolve technical issues within your clients
Contribute to engagement to meet engagement project objectives and budget
Explain to staff members how their work contributes to the engagement and their career development
Lead by example, showing a commitment to quality and integrity and motivating and enthusing others
Start to develop deeper working relationships with the client
Be responsible for the quality of your team’s work meeting compliance and risk management requirements

189

Audit Resume Examples & Samples

Flexible and adaptable to dynamic and changing work environments, including travel to other countries as part of regional audit engagements
Educated to degree level, preferably ACA/ACCA or similar certification
Significant audit or relevant business experience, within a financial services organisation or major accounting firm
Ability to travel within the EMEA region (up to 30%)

190

Markets Audit AVP Resume Examples & Samples

Supporting Heads of Audit on varied Audits where applicable
Building effective relationships and identifying and resolving risk and control issues
Either Internal or External Audit Experience
Good understanding of FICC products

191

SOX Audit Manager Resume Examples & Samples

Knowledge of SOX regulation with an emphasis on 404 testing requirements, auditing in the financial services industry and specifically auditing SOX 404 and/or SOC 1, and basic accounting principles
Professional certifications (e.g., CPA, CIA) and/or an MBA along with demonstrated technical abilities in select areas (e.g., accounting, regulatory compliance, etc.) are preferred
Strong project and people management skills
Proven advanced experience with MS Office Suite (i.e. Word, Excel, Access, Powerpoint) including Visio, Project, etc
Candidates should 10-12+ years previous management experience

192

Audit Resume Examples & Samples

Understand the design, implementation and use of models or quantitative methods across the firm, including the adequacy of developmental evidence and demonstration of effective independent challenge where warranted
Lead all aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation and follow‑up and verification of issue closure
Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of management controls in accordance with department and professional standards
Ensure the delivery of a seamless program of audit coverage in partnership with other audit teams
Identify emerging control issues and report them to line of business and audit management
Perform periodic monitoring of operational and financial data to recognize patterns and trends with risk and control implications
Stay up to date with evolving regulatory and market events impacting the firm's risk organization
Master’s or Ph.D. with a quantitative focus, e.g. math, science, engineering
Exposure to Quantitative Finance, Model Risk Management and/or Valuation or two years of relevant work experience
A mindset capable of forming and supporting independent views on risks associated with using a model or quantitative method
Good programming skills, e.g. C/C++, R/S+, Matlab
Excellent communication and interpersonal skills, including strong technical writing and the ability to present complex and sensitive issues to senior management
Enthusiastic, self-motivated, and effective under pressure facing multiple deadlines

193

SOX / SOC Audit Manager Resume Examples & Samples

Strong leadership, analytical, and organizational skills are needed
Strong communication (both verbal and written) skills
A College or University degree and seasoned auditing experience in a financial institution, or similar public accounting experience in the financial services industry. Experience in SOC 1/SOX 404 work is preferred
Candidates should have previous management experience

194

IT SOX Audit Resume Examples & Samples

Provide advice to IT application owners on the implementation of strong IT general computer controls (GCC) over applications in-scope for control verification
Perform design effectiveness testing (DET) and detailed operational effectiveness testing (OET) of IT GCC
Perform deep-dive testing for non-standard/complex IT controls
Perform Quality Assurance Reviews of control documentation and DET and OET testing performed by the IT Line
Advise IT Line on appropriate remediation of control matters/issues identified during DET and OET testing
Perform risk analysis for control matters/issues identified during DET and OET testing
Monitoring and Management reporting on the status of IT control documentation and testing and issue remediation
Provide training and support for IT Line regulatory coordinators and control owners
Degree in Information Technology Management, Management Information Systems, Accounting, Business,
Experience working in the financial services industry
Familiarity with IT Risk and Security functions
Relevant certifications (e.g. CISA, CISM, CRISC, PMP)
Experience working on a global, multi-cultural team

195

Audit Manager, Wealth Management Resume Examples & Samples

Ability to prioritize increasing and sometimes conflicting demands from multiple stakeholders
Ability to travel for audit purposes, sometimes for consecutive weeks, a few times a year
Familiarity with audit principles/practices and methodology

196

Audit & Accounts Manager Resume Examples & Samples

Maintaining the highest standards of auditing and directing your team to co-ordinate resources effectively
Reviewing and monitoring performance indicators on all assignments
Supporting more junior team members and addressing any instances of under performance
Preparing for and conducting effectively personal development meetings for others
Nurturing client relationships whilst identifying opportunities to increase the client base

197

Technology Operations Audit Resume Examples & Samples

Ensure their department is compliant with all technology-related regulatory requirements, in partnership with country & function leads and IT Risk
Take accountability of proactive risk and operational controls and escalation point for their department
Monitor ongoing operational effectiveness of key technology-related regulatory controls and associated remediation activities and drive compliance
Primary contact point (SPOC) to manage timely collection of information requests from regulatory (surveys, questionnaires, inspections and related preparation work ) and internal/external audit engagements (Internal and external including but not limited to financial year-end audit)
SPOC will be responsible to work with information owners / SMEs to ensure validity and accuracy of information for submission
Representation in regional governance boards (e.g. Regional Data Confidentiality Board)
Co-ordinate ad hoc “read-across” reviews / impact assessments for areas of heightened regulatory awareness
Compliant on all risk related requirements
Proactive measurement of Capacity (overhead room) and Security (i.e. IDS stats)
Deliverables by due date, achieve metrics and hit KPIs
Timely escalation and reporting to CIO APAC and respective department APAC Head
Operational Vendor Governance Support
Overlook the Vendor engagement for Tech Ops with Strategic and non strategic vendors
Regular review of Vendor KPIs
Identify scope for saves through vendor contract renegotiation and other programs like Service Harmonization, Work Driver Elimination, Vendor Sourcing etc
LI-CSJOB*
Demonstrated thought leadership and the ability to craft and execute against the strategy
Excellent organizational, problem solving, interpersonal and operating skills to effectively drive the agenda with the TS APAC management team and CIO APAC team
Have strong influencing skills and professional judgment, be solution-oriented and demonstrate a genuine desire to seek out the issues and challenge the status quo
Ability to develop meaningful, lasting senior relationships and assume the role of trusted advisor with credibility and authority with proficiency in leading by influence within complex organizations, developing an environment of cooperation and partnership
Outstanding communication skills and the ability to relate to staff at all levels
Encourages critical and innovative thinking, challenges existing norms and supports change

198

Regional Audit Resume Examples & Samples

Governance: provide governance function (including structure, processes) to ensure that Audit, SOX and MICOS related items are delivered appropriately, working with and across TS, TRM, internal audit and business stakeholders
Support: provide (from a regulatory perspective) guidance and support on audit project scope, commitments, deliverables, milestones, and co-ordinate inspections and our responses across TS Infrastructure
Reporting: Work with IT Risk and other regional compliance officers to create dashboards, metrics and reporting appropriate for management of audit, conducting proactive self-assessments and reviewing controls in the end environment that increases capability while reducing risk. Communicate effectively with all levels involved to ensure consistency and clarity of the message

199

Corp-audit Resume Examples & Samples

Participate in audit engagements covering the JPMC Banking, Investor Services and Compliance primarily including audit planning, audit field work and control evaluation and follow-up and verification of issue closure
Support the team to identify risks, evaluate, test and report on the adequacy and effectiveness of management controls
Support the team on validating of audit issues and contribute to provide an overall opinion on the control environment
Document audit results and support the team to communicate issues to management, identifying opportunities for improvement in the design and effectiveness of key controls
Support the Audit team to build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
Stay up to date with the global regulatory and market environment, especially as it pertains to Banking, Investor Services and Compliance (attending internal trainings)
Studying or recently graduated in Economics, Business Administration, International Relations, Accounting or related discipline with a background on audit or control area (previous job with six months or a year in audit or control area, i.e.: big four companies, financial institutions or JPM intern or employee with experience in control areas)
Fluent in English (verbal and written)
Ability to manage multiple tasks concurrently in an efficient and effective way with supervision
Excellent communication (i.e. verbal and written)
Teams work to manage its own tasks or well individually and in teams, shares information and collaborates with colleagues during execution of the audit
Self motivated and self learned

200

Principal Audit Manager Resume Examples & Samples

Solid SME and leadership skills
Strong understanding of the Sourcing lifecycle, including contractual arrangements and third party vendor governance activities
Banking expertise

201

Audit Manager / Operations Resume Examples & Samples

Completing internal audit reviews of the operational audit function
Making sure all recommendations are acted on by management or reported to Board level
Contributing to the continuing development of the internal audit team

202

Head of Audit Resume Examples & Samples

Ensure CA Risk risk assessments, and risk assessments of other CA areas, adequately reflect regional risk factors and risk themes within the region
Ensure that the Risk plan, and audit plans for other CA areas, provides adequate coverage of the specific risk factors within the region
Responsibilities may extend to include ownership of global risk assessments in CA Risk and in conjunction with CA and HoAs within CA Risk, ensure global risk assessments and audit plans adequately covers the relevant risk factors
Audit signing responsibility for audits within CA Risk plan (in close cooperation with the relevant global HoA)
Audit input and challenge for global and other audits within CA Risk plan with significant APAC dependencies or impact, in cooperation with the relevant Global Risk HoA
Full participation in Risk Quarterly Business Reviews (QBR); full participation in APAC LE QBR; participation as required in other CA QBRs
Delivering continuous risk monitoring for CA Risk in APAC, fully integrated within the global Continuous Risk Monitoring (CRM) for CA Risk
Stakeholder management responsibility for key regional heads (regional stakeholders) in close liaison with CA and HoAs within CA Risk
Supporting the APAC LE IA leadership in discharging the APAC LE audit mandate for Risk
Ensuring/securing an adequate regional talent pool for CA Risk including development of regional CA Risk talent

203

Specialist, Audit Analysis, ILS Resume Examples & Samples

Manage information pertaining to other program standards that are recognized by Disney, ensure that relevant program materials and supporting documents are well organized and accessible by ILS teams
Plan, coordinate and conduct the re-evaluation of existing recognized programs as well as that of potential candidates per ILS Program policies; track details and report on progress as appropriate; document results and provide recommendations to leadership
Assess potential use of other available industry tools that may further improve the program evaluation and related processes; communicate findings, manage progress and provide recommendations
Engage with Audit Analysis team members, other ILS teams as well as internal and external stakeholders as necessary to complete the required program evaluations, applicable re-evaluations and related processes
Manage the facility reinstatement process including the review of submitted requests and the assessment of supporting documents; track cases and report on progress, engage with Audit Analysis team members to ensure efficient workflow and proper documentation; provide recommendations to leadership and follow through to complete the process in the ILS database
Contribute to the review of ILS policies and standards; conduct the necessary research and analysis of data to support leadership discussions on relevant ILS Program policies and related audit standards
Assist in the implementation of new and refined approaches of the ILS Program; contribute toward defining operational procedures in support of implementation
Serve as an internal resource to the Audit Analysis team and the broader ILS global teams for inquiries and discussions related to the assessment of submitted audits and related program standards
Stay up-to-date with industry development in the social compliance field and provide insights on relevant trends that may affect the ILS Program
Other responsibilities may include supporting the leadership team on research projects as needed as well as additional tasks when requested
5 years of relevant experience in managing a social compliance program or setting program standards in an international corporate setting
Proven effective project management skills and prioritization
Organized and methodical in approach
Strong business acumen; superior attention-to-detail
Highly effective communicator - across all levels and with different cultures
Balanced critical-thinking
Proficient in MS Office Suite, SharePoint, Excel and PowerPoint
At a minimum 6 years of relevant experience and advanced working knowledge in managing a social compliance program, industry program or multi-stakeholder initiative program
In-depth practical knowledge of social compliance standards and auditing methodology in general
Expertise in social compliance programs and related corporate social responsibility issues
Relevant work experience in overseeing manufacturing operations or industrial engineering experience
Proven ability to manage from a strategic perspective as well as carry out related tactical operations
Fluency in a second language
Bachelor’s degree in any field

204

Audit & Accounts Semi Senior Resume Examples & Samples

Complete whole sections of audits in accordance with the company's procedures
On small jobs, act as a senior, delegate to juniors and complete the whole audit
Provide guidance to more junior members of staff and assess their work
Planning audits on small jobs
Carry out work on a wide range of accounts
Analyse and settle VAT returns

205

Audit Resume Examples & Samples

Supervises junior auditors assigned to engagements providing guidance and overall review of deliverables
BS/BA in accounting or finance and an active CPA is required
3 years of progressive experience within a public accounting firm
Multiple industry experience a huge plus

206

Audit Manager, ICG Market Operations Resume Examples & Samples

Manages audit activities for the ICG Operations at the regional level including a portion of the audit annual plan
Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Investment Banking, project /program management or regulatory compliance
Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
Degree equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
Extensive years of relevant audit experience in operations and capital markets. Specific subject matter expertise regarding capital markets and related operational processes
Experience in and familiarity with the financial regulations, governance requirements and regulatory expectations (especially, FCA Client Assets (CASS) and Transaction Reporting) will be a distinct advantage. Product knowledge for cash securities, FX, Commodities and the relevant operations processes is desirable but not essential

207

CIB Markets & CIO & Treasury Audit Resume Examples & Samples

Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of the control environment. Analyze risks and proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified
Provide senior audit management and internal stakeholder timely updates and insight on the design and effectiveness of business, risk, operation and technology control practices, and thematic firm-wide control and industry developments
At least 4 years of audit and business experience in covering investment bank products with detailed knowledge of capital markets products
Well versed in Asia laws and banking regulations (e.g. liquidity, derivatives)
Effective communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
Flexible and adaptable to dynamically changing work environments, including travel to other countries as part of regional audit engagements

208

Ia-audit Manager Resume Examples & Samples

Manages budget
Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyzes reporting findings; Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems
Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues

209

Audit Manager, Operations Resume Examples & Samples

Contribute to the definition, shaping and delivery of Audit's strategic vision
Drive the development of leading edge capability in our people and processes
Build powerful relationships with senior stakeholders, in Operations and across the Company, to influence business strategy and policy, working practices and standards by providing insight, challenge and thought leadership
Plan and lead a portfolio of audit projects ensuring delivery within defined time, cost and quality parameters
Work with a co-source arrangement, from a professional services firm to provide IT audits, ensuring leading edge expertise, continuity of knowledge and consistency of standard
Lead, motivate, develop and appraise team members so that their individual and collective performance supports Audit in delivering against its strategy
Support the Director of Audit Operations in ensuring that all other responsibilities are fully met

210

Audit Asset Management Resume Examples & Samples

Effectively manage audit engagement teams, performing timely review and providing honest and constructive feedback
Stay up to date with the global and regional regulatory and market environment, especially as it pertains to Investment Management
Although it’s not mandatory, a relevant accounting, auditing or industry-related certification is desirable
Working understanding of key regulations impacting investment management

211

Director of Internal Audit Resume Examples & Samples

Ensure that internal controls over financial reporting are designed and operating effectively
Provide written reports and make presentations to the Board of Directors regarding Financial audits as well as other corporate governance initiatives
Develop the annual audit plan and Sarbanes- Oxley Legislation compliance initiative
Financial reporting risks must be identified in each business process and an internal control identified to mitigate each risk
Establish and maintain controls to ensure the integrity of audit processes
Responsible for the hiring, training and review of work performed by the internal audit staff
Coordinate with external auditors regarding the documentation and testing of internal controls over financial reporting and information technology general controls
Counsel management on the control and risk aspects of business processes, systems, policies and procedures

212

SVP Technology Infrastructure Audit Resume Examples & Samples

This role directs the timely delivery of complex high quality, value added assurance and audit reports for a portfolio of business activities, which meet the requirements of the Board, their affiliates and of respective regulators, globally
This role is responsible for the management of risk assessment and audit delivery covering the full spectrum of Technology Infrastructure, including Data Center, Network, Customer and Employee processes, operations, systems platforms and devices, as well as enterprise/cross-sector processes such as information security, risk management and disaster recovery
This encompasses providing objective risk based independent assurance with respect to the design and operating effectiveness of controls associated with Technology Infrastructure that support critical business systems and processes across the group

213

Audit Manager, Markets & Securities Services Resume Examples & Samples

Participate in and lead audits of Capital Markets and Securities Services businesses with particular focus on Prime Finance and Futures in accordance with Internal Audit methodology and regulatory requirements in the assessment of control issues, formulation of corrective actions and preparation of audit reports
Assist in the maintenance of the “auditable entity” universe to reflect changes in business structure and organization as these occur
Broad knowledge and experience of auditing capital markets products with specific detailed knowledge of equity markets sales and trading activities including equity derivatives. A detailed knowledge of electronic and algorithmic trading processes would be advantageous
Experience auditing capital markets and broking activities
Knowledge of advanced Excel and Access functions to perform data analysis/test automated controls
Good interpersonal, judgement and decision making skills

214

Head of Audit Resume Examples & Samples

Intermediate level experience in a related audit role with experience in business and functional and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables
Thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. He/She must be talented in risk and control analysis and audit concepts and skilled at analyzing root causes of problems and anticipating emerging issues
Good understanding of the regulatory framework and expectations from financial regulators in Paraguay

215

Audit Principal Resume Examples & Samples

Identify and evaluate key risks and controls within assigned ‘management-structure-based’ auditable entities of the Bank, provide key input to the development of the annual Audit Plan, including execution of quarterly risk assessments that contribute to the quarterly refresh of the Audit Plan
Manage and/or participate in operational, financial and credit consumer compliance internal audit engagements and advisory projects of various complexities from planning to communication of results, working alone or supervising teams of varying sizes
Execute audit engagements leveraging ‘risk-based’ methodology and perform audit procedures including developing criteria and creative auditing techniques, reviewing and analyzing evidence, documenting and analyzing client processes, key risks and controls, systems and procedures, conducting interviews, reviewing documents, identifying and defining control design and operating execution weaknesses, developing and administering surveys, composing summary memos, and preparing and reviewing work papers
Identify, develop, and document operational and/or compliance audit issues and collaborate with the business to develop corrective actions for improvement using good judgment, while maintaining independence and objectivity
Communicate the results of audit and consulting projects via written reports and oral presentations to management and the Board of Directors
Assist in providing training, coaching, and guidance in governance, risk and control to Nordstrom fsb management when conducting audits and other audit-related projects
Bachelor’s degree from an accredited college or university. Equivalent experience may be substituted for this requirement
Minimum of 5 years of full-time experience in legal, audit or advisory roles in credit consumer auditing is required. Experience in auditing credit cards operations is desired. Individuals without an audit or advisory background may substitute experience in credit consumer compliance or other relevant business operations obtained at Nordstrom or at other large multichannel, international organizations
Minimum of 2 years of supervisory or project management experience is required
Considerable computer skills, including word processing, spreadsheet, audit and data analysis packages, and other business software to prepare work papers, reports, memos, summaries, and analyses to support the logical conclusions drawn from the audit or project
Considerable skill in planning and project management, and in maintaining composure under pressure while meeting multiple deadlines
Strong knowledge of credit consumer compliance laws such as Truth in Lending, the Fair Credit Reporting Act, and Equal Opportunity Act highly desirable
Strong verbal and written communication skills as well as the ability to develop collaborative working relationships with both internal and external contacts

216

Audit Manager Canadian Banking Resume Examples & Samples

Executes, tests and documents audit results and findings
May assist in the development of Audit Profiles, plans, programs and reports in consultation with IAS team members and Executive
MBA or CFA desirable or Financial designation (CA, CGA, CIA or equivalent). Professional designation (CIA, CRMA, CGA) to be obtained within 24 months of joining RBC. Professional designation (CIA, CRMA, CGA) to be obtained within 24 months of joining RBC

217

CIB / Audit Resume Examples & Samples

Drive all aspects of audit activities including risk assessments, annual planning and execution of individual audits
Ensure that the audit program meets with French regulatory requirements
Being able to partner with colleagues within the Audit team across the region
Implement and execute an effective program of continuous monitoring activities, including analysis of key metrics to identify control issues and adverse trends, and keeping abreast of key initiatives and pertinent industry and regulatory developments
Stay up-to-date with evolving industry and regulatory changes impacting the Paris activities and its control environment
Education to degree standard (or equivalent) in an Accounting, Finance, Economics or related discipline is preferred
Preferably with previous audit experience in CIB and Asset Management businesses
Knowledge of applicable French and European regulatory requirements
Recognized accounting qualification is desirable although not mandatory
Excellent verbal and written communication skills in English and French, with the ability to present complex and sensitive issues to senior management in a persuasive manner

218

AVP / Audit Manager Resume Examples & Samples

University Degree
Post-graduate / professional qualifications within a relevant field (e.g. CPA, CA, CFA)
Experience working in an Operational Risk function or within Internal Audit focused on Operational Risk framework implementation
5-8 years' experience in planning, scoping and managing internal audits, compliance or risk reviews related to the financial services industry
Ability to lead projects and groups
Excellent understanding of risk/audit issues and control frameworks and sense of commerciality in addressing risk areas
Effective communication skills and experience in maintaining effective working relationships with stakeholders across a number of levels
Strong track record of presenting risk concepts and issues in a simple and concise way to diverse groups and obtaining consensus on difficult topics
Proven track record of excellent collaboration across diverse teams

219

Internal Operations Audit Manager Resume Examples & Samples

Connect the dots across business priorities, processes and systems, providing management with new insights
Maintain technical expertise and apply leading practices in advanced audit techniques (e.g. risk assessments, analytical review procedures, and process maturity assessments)
Thought Leadership – Demonstrates a passion for technology and initiative in using creative approaches to analyze business risk. Interprets data to evaluate root cause and solve problems at a macro level. Open to non-traditional ways of providing risk assurance and seeking solutions in areas outside of your comfort zones
Personal Leadership – Maintains productive customer partnerships, turning around difficult relationships (particularly with people not traditionally used to interacting with Internal Audit). Actively responds to changes in customer’s priorities and/or environment, delivering timely and innovative services. Builds credibility with global stakeholders through awareness of VMware’s cultural and business drivers
Demonstrated experience successfully managing internal audit projects, conducting risk assessments and operational auditing

220

Audit Resume Examples & Samples

A BS/BA degree, preferably in Finance, Accounting, Business, Mathematics and/or MIS/CIS (all majors are welcome to apply)
Ideally on track for 2:1 or above
A Spring 2016 graduation date and availability to start July/August 2016
Excellent analytical, problem solving, and communication skills
A positive attitude and a keen attention to detail

221

Audit Resume Examples & Samples

Drive all aspects of audit activities including risk assessments, plan development and execution
Ensure that audit program meets with Turkish regulatory requirements
Participate in, and manage audit engagements from planning to reporting, and deliver quality products within department and professional standards
Being able to partner with colleagues within the Audit team in the UK
Risk based audit approach, independently evaluating, testing and reporting on the adequacy and effectiveness of controls, as well as identifying the root cause of issues
Finalise and communicate audit findings in a clear and concise manner to management and identify opportunities for improvement in the design and effectiveness of key controls. Use judgment to provide an overall opinion on the control environment
Present the results of audit work to local management and risk and control governance forums
Confident in interaction with regulators as and when the need may arise
Stay up-to-date with evolving industry and regulatory changes impacting the Istanbul based activities and its control environment
Applicants must have a minimum of seven years experience in banking
Applications must have a Technology Audit certificate
Applicants must have excellent Turkish language skills and have completed military service
Applicants must be able to communicate confidently, both verbally and in writing, in the English Language
Education to degree standard (or equivalent) in an Accounting, Finance, or related discipline is preferred although not mandatory
Capital Markets Level 3 license is preferred although not mandatory

222

Audit Resume Examples & Samples

Build and maintain key relationships with LOB stakeholders and colleagues, establishing a culture of engagement while adding value, effective teamwork and innovative thinking
[Travel to overseas business locations as required.]
Recognized accounting qualification desirable

223

Audit Manager Mortgage Resume Examples & Samples

Lead audit projects from planning to reporting and direct the implementation and completion of the project plan to deliver a quality product in line with department standards and expectations
Identify risks, evaluate, test and report on the adequacy and effectiveness of management controls
Finalize audit findings and employ excellent judgment to provide an overall opinion on the control environment
Effectively manage audit engagement teams, performing timely review and providing honest and constructive feedback
Document audit results and communicate issues to management, identifying opportunities for improvement in the design and effectiveness of key controls
Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
Bachelor’s degree in Accounting, Finance or related discipline
Minimum of seven years professional experience, preferably within Audit or Risk Management
· Experience in operational and financial statement auditing
· Experience and strong competency in project management, relationship management, analytical and audit skills
Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change
Enthusiastic, self-motivated, strong interest in learning, effective under pressure and willing to take personal responsibility/accountability
Experience coaching, mentoring and developing professional skills of audit team members
Advanced degree, CPA, CIA or similar certification preferred
Previous experience in one or more of the following areas preferred: mortgage banking, risk management, regulatory compliance, finance and accounting

224

Franchise Audit Business Manager Resume Examples & Samples

Contributes to the strategic direction of Franchise Audit, partnering with the Franchise Chief Auditors in maintaining the Franchise plan of work, including reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance
Directs and owns the resourcing strategy for the Global IA FA team, establishing relationships with both IA and non-IA partners and talent development programs and by interacting with senior IA and other colleagues at Managing Director and Director level, maintains a structured program for IA and guest reviewer participation in franchise audits
Leads the continuous improvement of the guest auditor programme. Establishes a mechanism to collect guest reviewer feedback to identify opportunities for improvement, and implements improvement initiatives to ensure that the FA Guest Audit programme delivers on its development objectives for IA and business guests
Works with the Regional Franchise Chief Auditors and Audit Lead Directors to organise and provide logistical support for guest auditors assigned to each franchise audit
Responsible for co-ordinating audit planning including entity structure development, risk assessment, and quarterly and annual planning across the Franchise Audit team
Responsible with the Regional Franchise Chief Auditors for capacity planning and resource scheduling for Franchise Audit globally
Partners and supports the Franchise Audit Chief Auditors in driving Franchise performance and effectively managing the function. Works closely with the global MIS team to develop and cascade relevant performance reporting including (but not limited to) audit plan status, issue validation, business monitoring and time reporting
Supports the Franchise Audit Chief Auditors in their interaction with Regulators and coordinates information deliverables to Regulators and Business stakeholders to ensure consistency across the regions
Coordinates and oversees the Franchise Audit budget, working closely with IA Operations to develop the annual budget and allocation of Franchise Audit costs to the business. Ensures full transparency of Franchise Audit expenses, thereby promoting ownership and accountability by the Franchise Audit Chief Auditors. Leads productivity and efficiency initiatives within Franchise Audit in support of Execution 2.0
Prepares Franchise Audit board level/audit committee reporting regarding issues, trends, root causes and impacts, working closely with the global MIS and Quality Assurance teams
Responsible for maintaining and evolving Franchise Audit Methodology Training materials and ensures the Franchise Audit global team fully complies with mandatory training requirements
In consultation with the Franchise Audit Chief Auditors, assesses IA Franchise learning requirements and skills gaps, and works closely with the IA L&D team to leverage Citi and Internal Audit learning programmes and/or develop bespoke training to meet these requirements
Professional qualification (Chartered Accountant or equivalent certification) preferred
Significant experience and management responsibility in Internal Audit and large scale Financial Services companies. Previous experience in an operational or management reporting role would be an advantage
Strong communication skills, both verbal and written, to be able to interact confidently with IA peers, stakeholders and regulators; active listening skills
Ability to manage conflict, work under time pressure, and work proactively without close supervision
Strong presentation (MS Powerpoint) skills
Experience working in a global, matrixed environment; sensitivity to cultural differences

225

Specialist, Post Audit Resume Examples & Samples

Participates as a specialized knowledge resource in established processes
Suggests improvements to business processes and Independently completes small sub-projects within a defined course of action
Will organize specialized and defined information for review
Tends to reference documented process and practices and learnings from previous experience to address challenges. May handle more common complex challenges but escalates situations that have not been encountered previously
Most decisions are based on prescribed and dictated guidelines. Knowledge of theory and practice will assist with the ability to interpret and determine next course of action that may deviate from the norm
Understands and accommodates established process and project timing. Deviates only if provided direction
Relies on general direction to understand importance and urgency of work content
50%: Analyze a wide variety of vendor programs to verify their accurate execution by various departments of Sports Authority (advertising, marketing, logistics, accounts payable, inventory, etc.)
15%: Create valid supportable claims when overpayments are detected followed by submitting the claims to the internal owner for approval; providing verbal or written enhancement as necessary to supply the owner a complete understanding of the claim
10%: Professionally correspond with our vendor community to obtain approval and/or defend claims
10%: Work with Manager of Report and Database to create queries and tools internally to replace external software and fill audit needs
10%: Work with SR. Analyst to understand the requirements of the audit as well as assisting with creating an audit plan. This position will also assist the Sr. Analyst in leading a number of process improvement and re-engineering projects throughout the year, both inter and intra-departmental
5%: Maintain communication with Sr. Post Audit Analyst and Group Manager Trade Payables regarding projects and complex issues
B.S. or B.A. in related field or related experience preferred
Required 1-3 years of experience in Corporate Retail, Manufacturing, Finance, Auditing, Marketing or related job experience. Post Audit experience a plus
A high-level of proficiency with Microsoft Office applications (e.g. Advanced Excel, Advanced Access, Power Point)
Highly effective interpersonal and communication skills, to include written and verbal communication with internal and external partners
High energy and self-motivated with the ability to work in a fast-paced, high-volume environment
Proven experience and ability in prioritizing goals and objectives with little to no direction
Ability to develop, implement, follow, maintain and improve processes practices and standards
Able to prioritize in alignment with Company objectives while still getting the necessary day-to-day tasks done
Ability to work in a team environment and maintain a positive work attitude under pressure

226

Audit Manger Resume Examples & Samples

2-4 years relevant experience
Exceptional financial auditing skills
MBA, CPA, CFA or related certifications
4-8 years relevant experience, including experience in audit or relevant specialty area

227

Ccar Data Audit SME Resume Examples & Samples

Develop and executes a robust CCAR Data Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations, and Credit Suisse policies
Responsible for assessing the quality of the data attributes used for CCAR modeling. This requires hands-on data analytics and/or model development experience, and the ability to interact with the model developers, model validation, technology, and the risk and finance units
Ensure delivery of consistent and standardized methodology for risk data quality, risk data governance, risk data quality lifecycle, mitigating actions, including the application and compliance with the Bank's policies, processes, controls, standards, methodologies and framework
Review data work done for the activities of the CCAR work streams to ensure the functions are organized, efficient, and produce accurate financial actuals
Provide systemic and thematic issues and raise cross-functional topics as a result of data audits related to CCAR/DFAST sections of Capital Planning
Works closely and collegially within IA (with Risk, Finance and Technology audit teams) and with line management and control functions to ensure efficient and effective provision of independent audit assurance

228

Audit Semi Senior Resume Examples & Samples

Plan, execute and complete audit/audit and accounts, to include the preparation of reports to management on issues identified during the audit
Liaise with clients (within the financial services sector) and relevant stakeholders to obtain relevant information
Research (where required) and resolve queries from clients
Liaise with colleagues as appropriate
Carry out relevant ad hoc duties as and when required
Part qualified ACA/ACCA accountant with a minimum of 1 - 2 years' experience in an accounting practice
Proven strong academic record including a minimum of a 2:2 degree
Prior financial services audit experience advantageous but not mandatory
Proven team player but also works very well on own initiative
Excellent logic and problem solving competencies
Ability to work to tight deadlines and to multi-task

229

Audit Manager, Analytics Resume Examples & Samples

Develops audit analytics in support of a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
Delivers on time high quality analytics for audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting
Manages audit analytics activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan
Applies in-depth level of analytics expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams
Applies sophisticated analytics techniques to gain an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach
Frequently involved in matters that require complex analytics development and solutions based on sophisticated analytical thought such as identifying analytics enabled solutions for a variety of complex and novel audit control issues. Analyzes reporting findings; Recommends appropriate audit analytics where needed. Proposes creative and pragmatic analytics solutions for risk and control problems. Partners with Directors and Managing Directors to develop audit analytics approaches for addressing broader corporate emerging issues
Drives the innovative use of audit analytics through direct participation in all phases of audits (i.e., business monitoring, planning, fieldwork, reporting)
Defines data needs, designs and executes audit analytics during audits in accordance with the audit methodology and professional standards
BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CFE, CAMS, CIA, CISA or similar) are a plus
Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of various financial services products

230

Audit Account Manager Resume Examples & Samples

Effectively manage teams and actively coach and develop team members
Responsible for planning and managing international assignments for compliance with all technical requirements
Responsible for handling various assignments concurrently, including
Qualified Accountant - e.g. ACA, ACCA, CPA qualified
Minimum of 5 years relevant experience
Ability and willingness to work primarily on challenging and complex projects
An ability to pro-actively manage projects and teams
High level of understanding of international audit and accounting standards (including US GAAP)
Excellent commercial, management and organizational skills
As a Manager in the Global Reporting Center of Excellence you will have a proven track record of outstanding performance within a Big 4 Accountancy Practice and display strong people and business skills. In Addition to this you will have worked on Large public/ multinational clients within the Industrial, Commercial & Technology sector. You will also be expected to have shown an on-going commitment to your personal and professional development through continuing education and development

231

Gf-audit Manager Resume Examples & Samples

Participate in and lead audits of Treasury businesses with particular focus on interest rate risk management in banking books, liquidity risk management and Funds Transfer Pricing management in accordance with Internal Audit methodology and regulatory requirements in the assessment of control issues, formulation of corrective actions and preparation of audit reports
Work collaboratively with IA teams in other locations, sharing issues and concerns identified to evaluate and identify potential global themes
Consulted often by others for advice and opinions
Broad knowledge and experience gained within a Front Office Treasury, Market Risk or Treasury Audit role
Demonstrable knowledge of key controls operated by support functions associated with Treasury activities
Experience of managing team members and leading projects

232

Gf-audit Manager Resume Examples & Samples

Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting)
Manages a complex and critical unit within Internal Audit including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget; possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including Consumer or Investment Banking, Technology Management, Project/Program Management, Regulatory Compliance or Supplier Management
BA/BS or equivalent; related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
Specific subject matter expertise regarding technology application control disciplines and a solid business understanding Direct Custody and Clearing, Investor and Issuer Services products

233

Audit Manager, Wealth Management Resume Examples & Samples

Plan, execute and manage audit assignments of 70% Wholesale Brokerage Operations businesses and 30% Wealth Management businesses including identifying controls, designing audit steps and performing their testing. These audits will typically involve several business processes or business lines operating at a single location or multiple locations
Work effectively with audit management and other team members to identify significant risks, control or operational weaknesses which may prevent CIBC or one of its subsidiaries from meeting its objectives
Drive audit reporting by identifying significant business control weaknesses, and objectively assess the severity and materiality of the issues and their potential impact on the business. Work with business management to develop action plans to ensure recommendations provide realistic and workable solutions that mitigate risk and long term exposure
Contribute to developing the annual audit plan by identifying the planning needs, assessment of risk and to provide coverage for the assigned clients. The plan may cut across CIBC business lines and processes, and will consider interdependencies using an end-to-end approach
Provide advice to clients on the design and implementation of internal controls at the business process or managerial level, while recognizing IA’s need to remain independent
Ability to clearly and concisely document test results, conclusions, and recommendations
Ability to prepare and communicate audit reports dealing with facts and concepts for presentations to client management and external auditors. Specifically, being able to draft audit reports that reflect a clear understanding of the client's business and provide realistic solutions for audit findings

234

Director of Internal Audit Resume Examples & Samples

Develop and maintain efficient and effective audit programs including appropriate scope and metrics
Act as lead auditor for internal audits, collecting and analyzing data and drawing conclusions with regards to compliance status
Prepare and present reports that reflect the audit’s results and document process
Identify areas of risk and provide appropriate recommendations for new policies and procedures
Act as an objective source of independent advice to ensure validity, legality and goal achievement
Continue and develop knowledge regarding rules, regulations, best practices, trends, tools, techniques and performance standards
Interface with senior management and external auditors
Minimum 10 yrs experience with a combination of public accounting and private industry accounting
Minimum 5 years as a Sr Internal Auditor or Manager
Minimum 5 years working with ERP systems (Oracle, SAP, NetSuite) from basic user function to controls
Advanced level MS Office (Excel, Word, Powerpoint)
Minimum 5 years supervisory experience
Communication skills effective for various levels of employees
Ability to work independently as well as in teams
Bachelor’s Degree in Accounting Required with continuation to Master’s Degree in Accounting or MBA helpful
CPA or CIA designation

235

Audit Manager, Treasury Resume Examples & Samples

Keep abreast of industry developments, new laws, rules, products, technologies and applications and consider implications for the business and audit universe and plan
Familiarity with Basel III, Liquidity Coverage Ratio (LCR) and Interest Rate Risk for accrual portfolios
Demonstrable knowledge of data analysis and/or technical skills to analyze data utilizing automated tools
Knowledge of advanced Excel & Access functions to perform data analysis/test automated controls is highly advantageous

236

Forensic Audit Manager Resume Examples & Samples

Participate in the execution of the company-wide fraud risk assessment and the reporting of anti-fraud opportunities where appropriate
Assist in the execution of fraud detection activities
Develop and maintain effective relationships with relevant management, including Audit Services Directors, the Corporate Compliance Officer, opco General Counsels and others relevant individuals
Five years audit experience in a Big Four and/or large, complex company environment with three plus years prior forensic experience
Demonstrated forensic investigation skills, including the ability to develop an investigation approach/strategy, effectively interview personnel associated with the investigation, obtain and analyze evidence, and draw relevant conclusions
Demonstrated ability to understand and evaluate anti-fraud controls and to deploy fraud detection activities in areas of higher fraud risk
Strong skills in Microsoft products including PowerPoint, Word and Excel, as well as forensic accounting tools
CPA or CFE preferred

237

Gf-audit Manager Resume Examples & Samples

Independent Price Verification and Fair Value Adjustments
Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate) branch examinations, as well as business monitoring and governance committee reporting
Manages a complex and critical unit within Internal Audit including a small to medium sized team of Internal Audit professionals
Manages the completion of an audit within the allotted a budget
Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including Consumer or Investment Banking, Technology Management, Project/Program Management, Regulatory Compliance or Supplier Management
Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues, analyzes reporting findings, and recommends appropriate interventions where needed; proposes creative and pragmatic solutions for risk and control problems; partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
Expertise on Valuation of financial instruments and key controls associated with the independent price verification and fair value adjustments process

238

Audit Semi Senior Resume Examples & Samples

Preparation of full statutory accounts
Preparation of management accounts
Building and maintaining excellent relationships with clients and seeking to provide a value added service
VAT and Tax returns
Ad hoc and project work

239

Team Lead, Audit Resume Examples & Samples

Assigns SOX body of work to auditors and monitors execution
Provides technical expertise to staff and is able to manage, measure, and monitor status of work and deliverables in accordance with agreed upon timeframes
Reviews, evaluates and approves SOX workpaper documentation, including results of walk-throughs, test of design and operating effectiveness, validation results, and auditor rationale and conclusions, in accordance with departmental procedures, standards and protocols
Reviews internal audit reports issued for any SOX implications
Actively communicates with SOX team within Finance and external auditor and understands the SOX project from end-to-end perspective
Ability to concisely report and prepare metrics/reporting for the status of SOX testing
Responsible for staying current on regulatory rules and changes within the industry, with specific attention on SOX, and communicating changes/developments to the department
Participates in meetings with business unit to discuss audit results
Communicates exceptions to related audit team managers as needed
Conducts the performance management process for direct reports. Oversees the performance management process and ensures that Audit Managers are identifying training and development needs for their respective audit teams
Communicates with partners at all levels, developing and presenting recommendations on operations and controls for the business unit

240

Director of Internal Audit Resume Examples & Samples

Oversee and manage the effectiveness and efficiency of the audit team, including using kaizen techniques
Advise the Bank’s Executive Management and other personnel of emerging audit trends and issues and consult and guide the Bank in the establishment of controls to ensure compliance and risk mitigation
Being a resource and providing leadership and engagement at a team level and across Risk & the wider Bank

241

CO OP Audit Technology Resume Examples & Samples

Strong IT background (Windows 7, XP, NT, AD, Microsoft IIS, SQL Server, Outlook 2010, Notes R8, VPN etc.)
Programming and database technology (noting there may/may not be some limited exposure to programming over the course of the Co-op term)
Solid experience helping users with the MS Office Suite (WORD, Excel, PowerPoint, Access), VB
Basic knowledge of PC networking and communication
The successful candidate will be able to work effectively in a team environment, have good time management skills, effective listening and communication skills

242

Audit Resume Examples & Samples

Bachelor’s Degree in accounting, finance, technology or the equivalent combination of Education, training, and work experience
3+ years of audit experience in both Information Technology and Finance areas
Solid listening skills
Strong organization and follow-up skills
Ability to give and follow instructions accurately and efficiently
1 or more relevant professional certifications, with preference given to a CISA

243

Audit Resume Examples & Samples

Auditing of accounts to accomplish the yearly audit plan
Document business controls and processes,
Be able to spot and document any potential issues, and discuss this with the management in Audit and Business unit
Maintain updated knowledge on any new regulations or the industry as a whole
Contribute to initiative to improve the team as a whole
Strong experience in Internal/External Auditing or Consulting, or
Alternatively someone with strong experience in Financial Institutions with a drive to move into auditing
Have management skills to lead projects and manage team members
Self motivated and committed

244

Gf-audit Manager Resume Examples & Samples

Develops and executes a robust audit plan, by reviewable entity, for assigned businesses in accordance with internal audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high-risk areas including: consumer or investment banking, technology management; project/program management; regulatory compliance or supplier management
Analyzes reporting findings
Recommends appropriate interventions where needed
Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Market risk products, especially those associated with market risk

245

Audit Manager, Analytics Resume Examples & Samples

BCAR reporting
Compliance Surveillance
Advance Proficient in SAS
Proficiency in MS Excel and MS Access
Strong problem solving and conflict resolution skills with the ability to exercise mature judgment

246

Gf-audit Manager Resume Examples & Samples

Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate,) branch examinations, as well as business monitoring and governance committee reporting
Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget; possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management
Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues; analyzes reporting findings; Recommends appropriate interventions where needed; proposes creative and pragmatic solutions for risk and control problems; partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
BA/BS or equivalent; related certifications (CISA, CISSP, CIA or similar) are a plus
Specific subject matter expertise regarding technology control disciplines and a strong technology infrastructure knowledge with a sound understanding of the financial services provided by Citi, especially those associated with the ASPAC region

247

Assistant Audit Manager Resume Examples & Samples

Direct reporting to the IT Audit Manager and working in a team environment
Perform system audits and risk assessments
Engage in developing audit plans and evaluate specific issues

248

Director of Internal Audit Resume Examples & Samples

Assessment and testing of financial, operational, compliance, and information technology risks
Analysis of company's systems, processes, methodologies, data, internal controls and governance practices
Review and approval of audit programs and time budgets
Implementation of policies and procedures
Process improvement
Mentoring and professional development of staff
Bachelor's degree in Accounting required; Master’s degree preferred
CPA or CIA strongly preferred
Public accounting experience strongly preferred
Internal audit management experience required

249

Audit Resume Examples & Samples

Analyse risks and proactively identify the root-cause of issues
Education to degree standard is preferable, as is a relevant professional qualification
Recognized Accounting qualification is desirable although not essential. All relevant educational, business or accounting qualifications will be taken into account

250

Audit Resume Examples & Samples

Execute and document audits with limited supervision in a risk focused manner and to a high standard in accordance with department and professional standards
Finalise audit findings and use judgment to provide an opinion on control effectiveness
Communicate audit issues in a clear and concise manner, both verbally and in writing
Execute continuous monitoring for assigned areas. This includes monitoring of key metrics to identify control issues and adverse trends in the control environment and keeping abreast of key initiatives and pertinent industry and regulatory developments
Recognised Accounting qualification is desirable although not essential. All relevant educational, business or accounting qualifications will be taken into account

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