Audit & Risk Management Resume Samples

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E Schmitt

Elta

Schmitt

662 Stanton Prairie

Los Angeles

+1 (555) 471 6620

662 Stanton Prairie

Los Angeles

Phone

p +1 (555) 471 6620

Experience Experience

Houston, TX

Internal Audit Risk Management

Houston, TX

Bode-Treutel

Houston, TX

Internal Audit Risk Management

Performing risk assessments and planning, executing and leading integrated risk, financial and technology audits
Developing and documenting audit findings for inclusion in the Audit Report and presenting/communicating observations to line management
Mentoring junior audit staff, seeking to develop their expertise in Liquidity Risk Management and Funding
Supervising and mentoring junior staff, and reviewing work papers to ensure they meet internal standards
On-going monitoring of risk exposures regulatory calculations
Holding follow-up meetings with Treasury management and Regulators concerning open audit issues and regulatory findings
Documenting audit findings and recommendations in a clear and concise format in line with internal standards

New York, NY

Internal Audit Operational Risk Management

New York, NY

Schmidt-Williamson

New York, NY

Internal Audit Operational Risk Management

Develop, own and manage internal audit management reporting for the subject areas for external and internal stakeholders; and
Provide requested information to regulators and work to assess and validate examiner findings
Performing both quantitative and qualitative analysis within Operational Risk
Performing risk assessments at the audit entity and process level
Holding follow-up meetings concerning open audit actions with line management quarterly
Provide advice and effective challenge to internal stakeholders
Lead and development of a continuous risk monitoring process relative to the subject areas

present

Chicago, IL

Audit Manager, Operational Risk Management

Chicago, IL

Reichert Inc

present

Chicago, IL

Audit Manager, Operational Risk Management

present

Leads the professional development of Internal Audit staff
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
Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
Proactively advances integrated auditing concepts and use of technology
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
Serves as lead reviewer for all types of reviews
Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity

Education Education

Bachelor’s Degree in Finance

Liberty University

Bachelor’s Degree in Finance

Skills Skills

Knowledge of regulatory capital rules
A strong understanding of the regulatory environment with respect to the Federal Reserve Bank, the SEC, and OCC
A proficient understanding of the financial services industry and the associated regulatory environment
A team player that supports the broader audit functions by leveraging their knowledge to the best use of the Firm
Strong analytical, interpersonal, communication and writing skills
Knowledge of regulatory liquidity rules
Good analytical, interpersonal, and communication skills
A general understanding of the financial services industry and the associated regulatory environment
Three to five years of experience in auditing capital markets or risk management in a bank or broker / dealer regulated environment
Prior experience communicating with Regulators

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Internal Audit Operational Risk Management Resume Examples & Samples

Partnering with the Department's business, product and technology audit teams as needed
Create, manage and maintain a high performing team of domain experts and provide effective coaching and team member development for both in-house and co-sourced resources
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; and
Minimum of 8 years of relevant experience
Experience in Risk Management or Compliance, Application/Database Architecture; experience in audit, governance, compliance, internal controls, public accounting, corporate controls or equivalent. Eligibility Qualifications
MUST BE ABLE TO SATISFY THE REQUIREMENTS OF SECTION 19 OFTHE FEDERAL DEPOSIT INSURANCE ACT
Fluent (speak, read and write) in English. This role is eligible for a Referral bonus award that is 4X the current eligibility amount. The 4X Special Incentive Referral Bonus Program begins as of June 1st and runs through November 30th. Referrals will only be eligible for the 4X special incentive referral bonus payout based on date of referral submission during SPIF program eligibility dates. All other guidelines under the WDYK program are applicable
Strong understanding of industry leading practices within the subject areas and the ability to apply them within the GEC organization
Previous Big 4 or boutique consulting experience desired
Experience in financial services industry and working directly with regulators such as FDIC, Federal Reserve, OTS, and OCC
Detailed understanding of FFIEC guidelines
Detailed understanding of industry accepted risk governance standards
Ability to suggest policy changes to key stakeholders that will improve GEC'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 direct personnel across multiple locations and operations and work in a matrix-type organization
Ability to lead teams
Possess strong project management skills, make sound decisions, and exhibit initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
Excellent analytical/technical skills; and
Strong oral and written communication, presentation and facilitation skill

Internal Audit Operational Risk Management Resume Examples & Samples

Developing a comprehensive in-depth understanding of GE Capital's operational risk framework including
Operational risk Policies,
Process Risk Self Assessments,
Internal Loss events/data,
Key Risk Indicators and trends,
New product operational risks,
Control deficiencies assessment,
Basel risk aggregation,
Risk monitoring and reporting, and
Other operational risk related areas on a global basis (collectively the "subject areas")
Understanding the key current and emerging risks within the subject areas
Servicing as the resident subject matter expert on the subject areas
Development of a comprehensive global audit testing plan that is in line with the CAE's and regulatory expectations
Ensure timely completion, maintenance and execution of the annual testing plan
Provide advice and effective challenge to internal stakeholders
Identification of meaningful recommendations and serving as a change agent that will make an immediate impact in the subject areas. Expected to negotiate with Senior Management on matters which will have significant impacts on the area managed
Providing a global point-of-view to the CAE and the SLT on GE Capital's compliance with internal policies and procedures and the regulatory expectations with respect to the subject areas
Develop, own and manage internal audit management reporting for the subject areas for external and internal stakeholders; and
Lead and development of a continuous risk monitoring process relative to the subject areas
Bachelor's degree and minimum of 6 years of relevant experience or High School/GED and 10 years relevant experience in Risk Management or Compliance, Application/Database Architecture; experience in audit, governance, compliance, internal controls, public accounting, corporate controls or equivalent

Audit Manager, Operational Risk Management Resume Examples & Samples

BA/BS or equivalent. Related certifications ( CFA, PRMIA, GARP or similar) are a plus
Specific subject matter expertise and a solid understanding of Operational Risk Management concepts, especially those associated with the Operational Risk Management function, Basel III Frameworks, Advanced Measurement Approach (AMA), and Manager Control Assessment activities
Specific and detailed understanding of the ORM function within a complex, global financial services company
Understanding of the regulatory environment for Operational Risk Management within the banking industry

Audit Manager Market Risk Management Resume Examples & Samples

Perform/lead audits in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions. This includes those audits that are the most complex and subject to the fast changing state of regulatory requirements as set out in the annual plan
Drive the coverage of market risk by applying technical knowledge to all phases of the audit process, and provide coaching to team members during the audit
Senior level experience in a related role 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
Bachelor’s degree in Finance, Business, Accounting or Math. Master degree preferred but not required
Experience as a Market Risk Manager is preferred
Knowledge of MS Office functions with advanced Excel, Access and Visio skills to perform data analysis/test automated controls. Knowledge of audit software (IDEA, ACL, SQL) is also beneficial
Good interpersonal, judgment and decision making skills

Internal Audit Risk Management Resume Examples & Samples

Building credible relationships with Senior Management in the Risk function
Managing portions of risk management audit reviews that he/she is assigned responsibility for
Documenting audit findings and recommendations in a clear and concise format in line with internal standards
Managing multiple audit engagements within established budgets and the time frames for audit completion
Communicating effectively both orally and in written form with Senior Management, the Board Audit Committee, and Regulators
A strong understanding of market risk and product knowledge, preferably having worked in the risk/valuation functions in a major bank /financial institution
Knowledge of regulatory capital rules
Seven to ten years of experience in financial services with a preference for those with at least five years auditing capital markets or risk management in a bank or broker / dealer regulated environment
A strong understanding of the regulatory environment with respect to the Federal Reserve Bank, the SEC, and OCC
Proficient understanding of internal audit processes including identifying and evaluating key risks, setting the audit scope, developing audit testing, and managing staff assignments

Audit Manager, Market Risk Management Resume Examples & Samples

Assist as auditor on market risk audits and other audits as required,
Participate in the execution and reporting of audits performed through pro-active engagement with stakeholders
Ensure that potential issues are raised promptly and collaboratively to IA and business management with a view to identifying the most viable, pragmatic and sustainable conclusion to mitigate the risk
Working with the Lead Auditor and Audit Controller, develop training on market risk to share with Internal Audit team
Knowledge of MS Office functions with advanced Excel, Access & Visio skills to perform data analysis/test automated controls. Knowledge of audit software (IDEA, ACL, SQL) is also beneficial

Risk Management Group Head of Internal Audit Resume Examples & Samples

Framework and processes for risk management and compliance
Develop and maintain a thorough understanding of the relevant business divisions. This includes structures, business activities, market and regulatory developments, key current and emerging risks, reported issues and relevant external events
Establish and maintain effective, constructive, forward looking and professional relationships with Senior Management. This inherently includes gaining the respect of management, empathising and giving effect to their needs, while clearly positioning (and maintaining acceptance for) the role of Internal Audit
Graduate and potentially post graduate qualifications in Accounting/Finance or equivalent field
4 years in Senior manager/leadership role
Possibly Internal Audit Qualification (eg. CIA, CISA)
CA preferred, but CPA considered
Experience auditing capital markets, trading businesses
Able to effectively manage many concurrent activities
Other members of Internal Audit team
External - External Auditors (PWC)
Other IAD functions and related communities of practice
Co-sourced suppliers

Internal Audit Risk Management Resume Examples & Samples

Assess inherent business risks and determine if key controls exist to mitigate those risks
Perform both quantitative and qualitative analysis in the areas of Market Risk and Treasury
Evaluate the adequacy of design and effectiveness of key controls and potential business concerns
Three to five years of experience in auditing capital markets or risk management in a bank or broker / dealer regulated environment
A good understanding of internal audit processes including identifying and evaluating key risks; developing and conducting audit testing; documenting work performed; and presenting findings identified

Internal Audit / Risk Management, Sydney Resume Examples & Samples

Oversee the Firm’s membership obligations to comply with limitation of liability schemes under professional standards legislation
Deliver RM presentations
Work closely with other RM and General Counsel Team members
Minimum of 5 years’ experience in either RM/ project/business support or internal audit role
The ability to manage projects independently
Well-developed analytical skills
The ability to develop effective relationships with stakeholders throughout the firm

Audit Manager Credit & Enterprise Risk Management Resume Examples & Samples

5+ years in the banking industry within an enterprise and credit risk management function and/or internal audit function
Extensive background in financial risk management and consumer finance
Ability to identify problems and recommend solutions to complex control, financial, or technical issues
Effectively works independently and within a team construct, while supporting teamwork and achievement of team objectives
Advanced degree in Risk, Finance, Business, or related field
Professional Certification (CFA, FRM, CIA) or ability to obtain within one year

Audit Manager, Risk Management Resume Examples & Samples

Work with Senior Audit Manager/Audit Director and other team members to plan/conduct risk-focused audits, by identifying potential control weaknesses that may prevent a business from meeting its objectives
Plan and manage small or medium sized audits or sections of moderately complex assignments. Medium sized audit will typically involve auditing several business processes within a larger business line or several business processes or business lines operating at a single location
Identify and fully understand the key business processes, their risks and the control environment
Complete audit working papers to ensure high quality and that the documentation meets division's standards and adequately supports the conclusions
Prepare audit findings and reports in a concise and coherent fashion
Identify business control deficiencies and assess their materiality and potential impact on the business
Assist with the preparation of audit reports in accordance with IA Division standards for review and discussion with business management
Assist with follow up of outstanding audit and regulatory deficiencies for timely completion of management's action plans

Internal Audit Operational Risk Management Resume Examples & Samples

Assessing inherent business risks and determining if key controls exist to mitigate those risks
Performing risk assessments at the audit entity and process level
Performing both quantitative and qualitative analysis within Operational Risk
Evaluating the adequacy of design and effectiveness of key controls and potential business concerns by analyzing available documentation and asking insightful questions to identify root causes and draw the appropriate conclusions
Preparing audit planning documentation, conducts walkthroughs, and assesses the internal control environment through control and substantive testing
Documenting the results of work performed in the Department's automated workpaper system according to Departmental methodologies and documentation standards. The extent of documentation would include proper cross-referencing, checklists, indexing, documentation maintenance, documented exception follow-up procedures, etc
Developing and documenting audit findings in a clear and concise manner; communicating observations to line management; documenting business concerns, risks and root causes; and securing formal management responses to audit recommendations for inclusion in the Audit Report
A general understanding of the financial services industry and the associated regulatory environment
A solid understanding of internal audit processes including identifying and evaluating key risks; developing and conducting audit testing; documenting work performed; and presenting findings identified
CPA, CIA, and /or FRM qualifications a plus

Internal Audit Risk Management Resume Examples & Samples

Review valuation methodologies and processes to ensure products are correctly priced
The person will work within Global Risk Management Audit to complete the annual audit plan. This will include communicating to senior management those areas requiring control enhancements and providing recommendations for improvements
Other areas of responsibility are
Risk Management’s reviews cover all aspects of the firm's market, treasury, credit and operational risk processes, including but not limited to
Adequacy of and adherence to risk policies and procedures
Accuracy of internal models,
Quality of market data and risk data, and
On-going monitoring of risk exposures regulatory calculations

Audit / Risk Management Associate Resume Examples & Samples

2+ years of related Audit experience in a Financial setting
Bachelor's Degree in a related
Knowledge of Market and Credit Risk Management framework, policies and procedures

Audit Manager Credit Risk Management Private Bank-internal Audit Resume Examples & Samples

Challenging position for an experienced Audit Manager with the responsibility to conduct audits, mainly in the area of Credit Risk Management for our Private Banking business: Corporate Lending, Standard and non-Standard Lombard Lending, Mortgages, Commodity and Trade Finance, Specialties Lending (Ship and Aircraft Finance), Banks and Financial Institutions
Supervision and management of a portfolio of audits in close collaboration with the relevant stakeholders to ensure high quality and timely delivery
Leadership and coaching role in audit teams, providing necessary guidance, oversight and feedbacks to ensure achievement of clear objectives
Development of a Bank wide Continuous Risk Monitoring program, together with the Head of Audit for Credit Risk
Highly motivating working environment applying state of the art audit tools and methodologies
Exposure to a large bandwidth of businesses and projects across the Credit Suisse Group
Attractive networking and career opportunities, direct contacts with the Bank’s senior management and an outstanding platform for career progression

Audit Manager Market Risk Management Resume Examples & Samples

Assist as auditor on market risk audits and other audits as required
Bachelors degree in Finance, Business, Accounting or Math. Master degree preferred but not required
Knowledge of MS Office functions with advanced Excel, Access & Viseo skills to to perform data analysis/test automated controls. Knowledge of audit software (IDEA, ACL, SQL) is also beneficial

Audit Manager Credit Risk Management Private Bank-internal Audit Resume Examples & Samples

A degree-level education (or equivalent), as well as post graduate / professional qualifications (e.g. CIA, CPA, FRM, …)
8+ years of experience in an auditing function, whereof at least 5 years related to Credit Risk Management
Proficiency in risk-based audit methodologies within Financial Services
Strong communication skills and experience in liaising across departments and teams
Leadership skills and experience
Ability to operate autonomously, to drive a project / task forward and deliver end state products that can be presented to senior management with minimal required revision
Excellent written and oral communication skills in English and German

Internal Audit Risk Management Resume Examples & Samples

Providing technical expertise to Internal Audit teams on liquidity risk management, including liquidity stress testing and liquidity reporting and on unsecured funding, including plain vanilla debt and structured note issuance
Building credible relationships with clients in the Treasury and Risk Management functions and interacting with the Heads of Liquidity Management and Liquidity Risk Department and Treasury COO
Evaluating the adequacy of the control environment for liquidity risk management and unsecured funding processes and compliance with internal policies and procedures, external rules and regulations
Managing assigned portions of Corporate Treasury audits within established budgets and the time frames for audit completion, including conducting walkthroughs, reviewing documentation, and performing control and substantive testing
Holding follow-up meetings with Treasury management and Regulators concerning open audit issues and regulatory findings
Performing quarterly risk assessments of Treasury processes
Mentoring junior audit staff, seeking to develop their expertise in Liquidity Risk Management and Funding
A strong understanding of liquidity risk management and knowledge of unsecured funding processes, preferably through prior experience in the Treasury/Risk function of a major bank/financial institution
Knowledge of regulatory liquidity rules
Financial services experience with a preference for those with a number of years’ experience in either Treasury or Risk Management in a bank or broker / dealer regulated environment
A general understanding of internal audit processes including key risks identification and evaluation, audit scope and audit test plan development, and test plan execution
Prior experience with Capital Planning a plus
Prior experience with communicating with Regulators a plus

Audit & Risk Management Resume Examples & Samples

Oversight and management of internal and external audits
Management of compliance remediation activity
Support the Compliance Lead in the management and direction of all Compliance related activity with particular focus on compliance self-assessment, SOX, and NSA and data privacy
Ensuring that all services delivered are client satisfying and cost effective and are in line with DXC’s contractual commitments
Assist in the management and escalations of all compliance activities in relation to SOX, compliance, audits, self-assessment, National Security Agreement compliance, Data Privacy
Reviewing responses & evidence for compliance assessments, SOX audit, & non-SOX audits
Review of current compliance management processes and provide recommendations for improvements
Liaise with counterparts to track and manage assessments and evidence
Liaise with internal stakeholders to ensure compliance deadlines are fulfilled within agreed timeframes
Provide advice and guidance to internal stakeholders on compliance process, requirements and remediation plans
Bachelor’s degree in Computer Science, Engineering, Business, or related field or equivalent work experience in IT Audit and Security Compliance in Information Security standards such as COBIT, SOX, ISO 27001
Typically 5+ years of relevant experience
May have Master's degree in related field
Often holds intermediate-level certification(s) in work field such as CISA, CISM, CISSP and ISO 27001 LA

Audit Management IT Risk Resume Examples & Samples

Experience in Technology Risk Management, and/ or Audit Management, an advantage
Be a strong agent for change. Be able to facilitate new processes and standards that could impact working environment / culture
Strong interpersonal, problem solving, organizational and time management skills
Managing (internal) client relationships and working as part of a distributed team
Highly motivated; ability to drive project deliverable(s) to delivery/ lead meetings with cross functional and cross level participation
Previous experience within Technology with prior risk project/program management
MS Office suite skills; ability to draft succinct and impactful PowerPoint decks (with appropriate level of detail for a given audience), ability to extract, aggregate, and report on data in Excel (charts/ visually impactful messaging)
Ability to articulate key points clearly and succinctly in meetings
Ability to work within an open, consensus based organization
Ability to manage and interact in a matrix ed organization is essential
Individual must be able to multi-task effectively

Audit / Risk Management Director Resume Examples & Samples

Oversees financial, operational, and IT audits and provides guidance to those conducting personal interviews with their representatives
Coordinates internal Sarbanes-Oxley testing, SSAE 16 SOC reviews, and external client audits
Coordinates work of internal staff and external consultants in performance of audits and writing of work papers
Participates in and contributes to development of the Enterprise Risk Management program
Reviews internal audit reports of findings and recommendations for delivery to management
Leads meetings to drive audits and present audit findings and recommendations
Works to influence management decisions to ensure the organization maintains a strong control environment
May serve as backup in Vice President’s absence
Performs other functions as assigned
Knowledge of healthcare regulations, policies, claims processing, servicing, audit and reimbursement principles and procedures
Experience auditing financial statements of health insurers or companies that process healthcare claims
Solid technical audit skills
Intellectual ability/innovation capability
Working knowledge of HIPAA Privacy and Security Rules and CMS security requirements
Professional designation (CIA, CPA, CISA, CISSP, CFE, CMA, FRM, ARM, etc.) preferred
10+ years with healthcare auditing, settlement, and reimbursement
3+ years successful project management experience
Experience in fraud auditing and investigations
Preferred supervisory experience directing audit