Audit VP Resume Samples

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J Brekke

Jordane

Brekke

840 Fatima Stream

Phoenix

+1 (555) 784 9705

840 Fatima Stream

Phoenix

Phone

p +1 (555) 784 9705

Experience Experience

Phoenix, AZ

VP GIM Audit

Phoenix, AZ

Tillman-King

Phoenix, AZ

VP GIM Audit

Perform ongoing monitoring of operational and financial related data to identify patterns/trends with risk and control implications
Monitor key risk indicators, significant change activities and escalation of emerging issues to senior management in a timely fashion
Audit activities include audit planning, performing detailed risk and control assessments and test work, workpaper documentation and finalization of audit findings and report
Continue to strengthen and manage relationships with senior GIM business leaders and related control groups (e.g., Compliance, Risk, Oversight and Controls and Operations)
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
Work with stakeholders in a consulting role to add value and address unresolved issues
Disseminate best practice and lessons learned to colleagues and clients

Chicago, IL

Corp Audit, VP

Chicago, IL

Klocko-Sawayn

Chicago, IL

Corp Audit, VP

Providing advisory services during the development of new businesses and systems
Provide timely and candid feedback and coaching to staff
Management and leading the execution of audits in the aforementioned areas including all aspects of the audit process (e.g. risk assessment; scope determination; test work; reporting)
Direct administrative management responsibilities of audit staff
Performing investigations, special reviews and other ad hoc projects
Assistance in the formation of the annual audit plan
Identification and assessment of current and emerging risks , themes and trends

present

San Francisco, CA

VP, Capital & Liquidity Audit

San Francisco, CA

Schultz, Anderson and Shanahan

present

San Francisco, CA

VP, Capital & Liquidity Audit

present

Developing, implementing and directing the execution of the Department's audit approach and semi-annual audit plan related to capital and liquidity processes and governance
Serving as an authoritative resource to the Department on capital planning and forecasting, capital calculation and optimization, liquidity risk and control frameworks, borrowing facilities, collateral management associated with derivatives/clearing/margining, debt management including leverage ratio controls
Building and maintaining collaborative relationships with audit department executives and staff as well as key executives in both corporate functions and business areas in order to facilitate the execution of the audit plan and the sharing of observations, information and ideas
Partnering with audit teams across the Department to achieve consistent and coordinated coverage of risks and controls
Monitoring issues and trends throughout the year with the goal of developing and communicating a view as to the design and effectiveness of the processes and controls as well as emerging risks and concerns
Helping manage the relationship with supervisory bodies, including Federal Reserve Bank and state-level insurance regulators
Leveraging data analytics in support of risk assessment and audit design & execution

Education Education

Bachelor’s Degree in Familiarity With Effective Risk Appetite Frameworks

Cornell University

Bachelor’s Degree in Familiarity With Effective Risk Appetite Frameworks

Skills Skills

Develops and drives accountability for self and others
Demonstrates professional maturity that represents the organization’s image
Exhibits strong communication (written / verbal) and listening skills
Advanced knowledge of Excel
Proficiency in Microsoft Office Suite (Word, Excel, Outlook)
Takes responsibility for his/her own growth and development
Assist in performing tasks necessary to achieve the group’s mission and help execute staff succession and growth plans
Displays problem assessment / solving that is creative and solution focused
Achieves desired results / outcomes by effectively influencing and managing others
Hyperion Essbase and Oracle Financial Accounting experience considered

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4 Audit VP resume templates

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VP, IT Change Audit Resume Examples & Samples

Bachelors Degree or equivalent work experience
5+ years Financial services industry experience
5+ years experience with new and emerging financial products and services
5+ years Experience leading others during audit assignments
The ability to pass the Series 99 Registration exam within 120 days of start date to retain position, if applicable to the function of this role
Extensive technical knowledge in the relevant specialist field (e.g. IT applications, market modelling)
Relevant professional qualifications (e.g. CIA, MIIA, ACCA, CISA, for audit roles
Currently holds a Series 99 License

Operations Audit VP Resume Examples & Samples

Conduct internal audits of all business areas across the Wholesale Division and Asset Management in EMEA, reporting to the Regional Portfolio Director for Business Infrastructure. The Vice President Business Auditor will take primary responsibility for audit planning, fieldwork, and reporting findings and agreeing action plans with key auditees
Follow-up of issues and action plans raised in reports
Perform risk assessments, at least annually, across the Wholesale Division and Asset Management, using the departmental risk assessment methodology
Strong background and experience of Wholesale business auditing in a major financial institution. A background of auditing Finance, Operations, Human Resources and other support functions would be an advantage. Knowledge of Client Assets and/or Transaction Reporting is particularly desirable
Confident manner and strong communication skills, both oral and written
Experience of running regional projects
Ability to forge strong relationships with the auditees and influence control initiatives

Assistant VP of Audit Resume Examples & Samples

3+ years of Financial Service / Banking experience; 3+ years of Internal Auditing experience within the Financial Services industry
Experience of auditing operational process including finance, operations, information risk management etc
Experience in risk based auditing or risk/control activities

Senior VP of Treasury & Liquidity Audit Resume Examples & Samples

7+ years of Financial Services experience
Bachelor’s Degree in a related field
Holds or is actively pursuing CPA, CIA, FRM or other relevant professional designation
Previous Audit (Financial and Operational), Financial Analysis and Foreign Exchange experience

Assistant VP, Valuation & Audit Resume Examples & Samples

Coordinate, prepare and complete the annual financial audits for each of the Lone Star Funds and Hudson Advisors
Manage the dissemination of financial reports related to the Funds
Ensure controls are followed and that substantiating documentation is approved and available such that all valuations of each Investment in each respective Lone Star Fund can be supported to our Investors and Independent Auditors
Gather and analyze investment business plans to assess the risk profile of each investment’s projected cash flows and provide recommendations on the fair value discount rates
Track and analyze the key valuation inputs of each investment
Develops and drives accountability for self and others
Demonstrates professional maturity that represents the organization’s image
Exhibits strong communication (written / verbal) and listening skills
Achieves desired results / outcomes by effectively influencing and managing others
Displays problem assessment / solving that is creative and solution focused
Takes responsibility for his/her own growth and development
Assist in performing tasks necessary to achieve the group’s mission and help execute staff succession and growth plans
Ensure direct reports receive the tools, training and motivation they need to do their jobs effectively as well as the encouragement needed to attain excellence
5-7+ years of Big 4 accounting work experience, preferably in valuation and private equity
Proficiency in Microsoft Office Suite (Word, Excel, Outlook)
Hyperion Essbase and Oracle Financial Accounting experience considered a plus

VP CIB Audit Resume Examples & Samples

Assess the control environment of the banking businesses, with a view to providing recommendations for improvement where emerging issues or weaknesses are identified
Able to lead and execute audits independently and efficiently, including risk assessment, audit planning, testing, control evaluation, report drafting and follow-up and verification of issue closure. Ensure audits are completed timely and within budget
Provide senior audit management and internal stakeholders timely updates and insight on the design and effectiveness of business, risk, operation and technology control practices, and thematic firmwide control and industry developments
Communicate and influence effectively, both verbally and in written form, audit results and issues
Foster a business climate and culture that encourages integrity, respect, diversity, excellence and innovation
At least 8 years of audit and business experience in covering banking products
Minimum Bachelor’s degree in Accounting, Finance or related discipline. CPA/CA, CIA, CAMS or equivalent certification preferred
Good understanding of internal control concepts within wholesale banking businesses
Enthusiastic, self motivated, effective under pressure and willing to be challenged and to take personal responsibility/accountability
Able to read Chinese and fluent in Mandarin is a plus
Strong Excel, Access or automated auditing tool e.g. ACL skills considered a plus
Ability to travel (20-25%)

VP-infrastructure Audit Resume Examples & Samples

A Vice President Infrastructure Auditor will report into the Director - Infrastructure in London, who in turn reports into the Chief IT Auditor
Evaluate the adequacy and effectiveness of internal controls relating to risks involved in the relevant business areas in accordance with group audit methodology and the established risk assessment framework
Contribute to risk assessment profiles / business monitoring and overall implementation of group audit methodology
Lead and successfully deliver technology audits, or participate in integrated business and technology audits both locally and globally
Generate draft audit reports for review by group audit management and to facilitate issue tracking and validate closure of issues
Complete all work assigned to them on a timely basis. This may also include ad hoc projects and special investigations
Develop and maintain professional working relationships with colleagues, the business and respective support areas. You will work in an integrated manner with fellow team members both locally and globally
Understand the client's market place and respond to expectations and will continue to develop technical expertise relevant to the industry
Whilst the majority of the audit work is based in the UK, as part of a global team, some travel may be required

AVP, VP, SVP Markets Audit Resume Examples & Samples

The candidate will be required to evaluate the adequacy and effectiveness of internal controls relating to risks involved in the relevant business areas in accordance with Group Audit Methodology and the established risk assessment framework
The candidate will be a team member and will be required to implement dynamic planning through continuous monitoring of the business and successfully implement risk based audits both locally and globally
Whilst a major part of the audit work is based Singapore, the team is also responsible for regional Structured Finance, Structuring & FICC businesses
Experience working in a Front Office, Operations, Finance, Compliance, Risk or Audit role in relation to Corporate Banking & Securities
The candidate will have markets & trading experience including knowledge of either investment banking regulation and finance, trading, cash management and related infrastructure support functions
In addition, audit experience in a major investment bank or Big 4 accounting firm is a plus
The candidate should have excellent written/verbal communication skills and be able to communicate effectively at all levels within Group Audit and with the client

VP-ccar Principal Audit Resume Examples & Samples

7-10 years of experience with a combination of financial services and big 4 accounting firm exposure
Strong understanding of banking and capital markets products
Flexible, proactive, self sufficient and innovative
Excellent written and verbal communication skills and be able to communicate effectively at all levels within Group Audit and with the client

VP-capital Markets Audit Resume Examples & Samples

Prior experience of auditing capital markets (sales and trading) activities in an investment banking environment
Potentially you may be an ex-trader considering a move into a control function. Alternately you may be working in external audit working with investment banking clients and looking for a switch into an internal audit role
Have a basic understanding of legal and compliance concerns within an investment banking environment
Travel requirements for the roles we are currently working on range from 10-30%

VP GIM Audit Resume Examples & Samples

Lead and/or conduct audit activities in accordance with department and professional standards and guidelines
Audit activities include audit planning, performing detailed risk and control assessments and test work, workpaper documentation and finalization of audit findings and report
Support and provide development to team members, including active coaching of less experienced auditors
A minimum of 5+ years of working experience covering fiduciary activities in financial services industry, Chartered Financial Analyst (CFA) or Certified Fiduciary and Investment Risk Specialists (CFIRS)

VP Operational Resilience Audit Resume Examples & Samples

Perform continuous monitoring of relevant areas in technology infrastructure, data management, operational resilience, or information security
Manage the audit coverage for an assigned section of the team portfolio, including proposing an audit plan, scoping audits, managing ongoing monitoring, and maintaining the BIA view of the control environment and management control approach for your area
Support management in identifying resolutions for control issues identified
Proactively contribute to the day to day running and continuous improvement within the infrastructure and information security audit teams
Proven experience in risk based auditing or risk/control activities within operational resilience including technology, people, property and other aspects of process resilience and recovery
Broad experience demonstrating capability in risk assessment of technology control environments
Practical understanding of relevant regulatory environments
Relevant professional qualifications (e.g. CISA, CISM, CISSP, or other relevant technical qualification; and graduate degree)
Financial services industry knowledge, in particular relating to technology infrastructure, Data Management, Information Security or Operational Resilience

VP, Capital & Liquidity Audit Resume Examples & Samples

Developing, implementing and directing the execution of the Department's audit approach and semi-annual audit plan related to capital and liquidity processes and governance
Serving as an authoritative resource to the Department on capital planning and forecasting, capital calculation and optimization, liquidity risk and control frameworks, borrowing facilities, collateral management associated with derivatives/clearing/margining, debt management including leverage ratio controls
Building and maintaining collaborative relationships with audit department executives and staff as well as key executives in both corporate functions and business areas in order to facilitate the execution of the audit plan and the sharing of observations, information and ideas
Partnering with audit teams across the Department to achieve consistent and coordinated coverage of risks and controls
Monitoring issues and trends throughout the year with the goal of developing and communicating a view as to the design and effectiveness of the processes and controls as well as emerging risks and concerns
Helping manage the relationship with supervisory bodies, including Federal Reserve Bank and state-level insurance regulators
Remaining current with industry views, prevailing practices and regulatory requirements on capital and liquidity frameworks for insurance and complex financial institutions in general, so as to adapt the audit methodology and approach as appropriate
Developing focused programs and analyses for use in covering relevant risks globally
Developing a talent strategy for the enterprise risk team that is consistent with Company and Department goals and objectives
Executive level experience as finance/treasury manager, risk/product controller, treasury or risk auditor, risk manager, regulatory stress testing coordinator at large financial institutions
Understanding of insurance company asset & liability management frameworks, sources of risks, sources of funds, capital and liquidity dynamics and constraints
Knowledge of US capital markets and general market and credit risk concepts is required; knowledge of non-US markets is a plus
Knowledge of regulatory capital and model requirements for large financial institutions, including SR 15-18 and Enhance Prudential Standards on Liquidity Risk, as well as STAT and GAAP Rules
Knowledge of liquidity risk and contingent funding frameworks
High degree of familiarity with effective risk appetite frameworks, required capital, balance sheet projections
Knowledge of regulatory stress testing, especially those required to effectively assess and manage capital and liquidity needs for large financial institutions
Knowledge of financial assets and derivatives pricing and valuation
Knowledge of main modeling techniques to monitor and manage financial and behavioral risks, with prevalent focus on interest rate, foreign exchange, and credit products
Strong track record of providing value-added insights to business leaders and serving as a trusted advisor to both business and corporate function leaders
Superior communication skills, both oral and written, and the ability to partner effectively with multiple business groups, corporate areas and independent auditors
Undergraduate degree in economics, finance or other quantitative field of study is required; MBA or Masters in finance and/or the CFA designation is highly desired
Some audit experience is a plus, though not a requirement

Assistant VP Enterprisetechnology Audit Resume Examples & Samples

Attention to details to ensure accuracy and completeness of audit coverage
Build and manage relationships with key technology stakeholders in the location
Bachelor’s degree in Technology, Accounting, Finance or related discipline with at least 6 years of internal or external auditing experience
Strong understanding of technology processes (e.g. change management, security operations, business resiliency, etc.), application and infrastructure controls. Strong technical knowledge (e.g. network, web services, databases, operating systems).s
Good knowledge of system development life cycle concepts with an ability to quickly learn a complex, distributed computing environment
Team player who works well individually and in teams, shares information and collaborates with colleagues during execution of audit plan
Proactive, enthusiastic, self-motivated, strong interest in learning, effective under pressure and willing to take personal responsibility and accountability

Corp Audit, VP Resume Examples & Samples

Management and leading the execution of audits in the aforementioned areas including all aspects of the audit process (e.g. risk assessment; scope determination; test work; reporting)
Primary Internal Audit business engagement responsibilities for one or more lines of business
Identification and assessment of current and emerging risks , themes and trends
Direct administrative management responsibilities of audit staff
Undergraduate or graduate degree in finance, economics, accounting, business management is preferred. BA/BS is required
Professionals with strong and broad exposure to investment management, risk management, operations, finance and compliance in the Asset Management industry
Strong project management, organizational and presentation skills
Excellent communication (verbal, written, and listening) and interpersonal skills; strong writing skills
Strong quantitative skills

Audit Quality & Methodology, VP Resume Examples & Samples

Structure and execute an efficient and effective approach to managing the internal audit department’s Operations, Practices and Strategy
Maintain knowledge of audit operations and methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations
Effectively manage relationships (internally and externally) to a mutually accountable, productive, respectful, and trusted level
Bachelor’s Degree, preferably in accounting, finance, or related business discipline, at an accredited college or university
Deep knowledge of risk assessment, audit methodology, and audit practices
Proven track record in project management and coordination / integration efforts across multiple groups

VP / AVP, Audit Resume Examples & Samples

Complete audit assurance work for Global Transaction Services (GTS) business, product and the related operations to provide independent opinion to the Board and Executive Management on the overall control environment of the Bank
Lead and support audit assignments in accordance with audit methodology and The Institute of Internal Auditors (IIA)’s standards
Promote and improve the organization’s risk management, control, and governance processes
Manage effective working relationships with key stakeholders

Assistant VP Wealth UK Audit Resume Examples & Samples

Extensive experience in risk based auditing or risk/control activities
Practical understanding of relevant regulatory environment within UK, Offshore Islands and Europe
Team player; strong communication skills; and good attention to detail
Proven track record of high performance in previous role(s)

Assistant VP of Ccar Audit Resume Examples & Samples

4+ years of experience in a Market or Credit Risk role
Previous experience with Auditing of Financial Risk processes
Experience in an Investment Banking setting
Master's Degree in a Finance and/or Quantitative-related discipline
Knowledge about new and emerging Financial products and services Practical knowledge of Finance, Risk, and/or Statistics
Practical understanding of relevant Regulatory environment

VP Operations Audit & Controls Resume Examples & Samples

Bachelor’s degree in business or related field
Operational and risk and control mindset. Ability to identify control weaknesses in an operational environment
Candidate must have 5+ years of successful operations experience, with demonstrated knowledge of risk and controls
Project Management and Change Management experience
Knowledge of compliance, regulatory, and Citi policies
Leadership, Motivation and Influence Skills
Strong attention to detail and relationship management skills
Adaptable and delivers on commitments
Technological Proficiency. Strong Excel and PowerPoint skills

Assistant VP / VP of Ccar Audit Resume Examples & Samples

4+ years of working experience with a combination of Financial Services and Big 4 Accounting firm exposure
CCAR background
Previous Audit experience (Financial, Operational, Products)
Experience with Basel 2, Internal Controls, and Regulatory Reporting
Experience in the Banking industry
Working knowledge of key Financial and Regulatory Reporting Risks
Strong understanding of banking and capital markets products, key banking regulations e.g. Basel II/III, CCAR, regulatory reports e.g. Call Reports, FRY-9C or FFIEC 101 considered a plus

Wholesale Credit Audit VP Resume Examples & Samples

Write high quality audit observations and reports
Experience of wholesale credit risk management and/or counterparty credit risk management either through a risk analyst or risk manager role in a major bank
Strong understanding of the end-to-end credit lifecycle with experience of managing/ executing related audits/ reviews
Excellent communication skills, ability to communicate effectively to senior risk management (both technical and non-technical)
Displays willingness and initiative to learn and share knowledge
Relevant professional qualification (e.g. FRM, CFA, ACA, ACCA or relevant post graduate degree)

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