Auditor Internal Resume Samples

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Z Bins

Zachery

Bins

4615 Goodwin Fords

Chicago

+1 (555) 296 0170

4615 Goodwin Fords

Chicago

Phone

p +1 (555) 296 0170

Experience Experience

Houston, TX

Auditor Internal

Houston, TX

Schuppe-Mayert

Houston, TX

Auditor Internal

Develop an in depth knowledge of the methodology, by attending training sessions and using knowledge gained during audits, use this proactively in executing audit activities
Develop and maintain relationships with key audit contacts on each audit by attending continuous stakeholder meetings. In addition, engage closely with stakeholders during assignments and encourage open discussion and
Develop an in-depth knowledge of the methodology, by attending training sessions and using knowledge gained during audits, use this proactively in executing audit activities
Develop and maintain relationships with key audit contacts on each audit by attending continuous stakeholder meetings. In addition, engage closely with stakeholders during assignments and encourage open discussion and interaction with business on the risks associated in their environment
Ensure all audit observations and planned actions are factually agreed with management as soon as they arise and increase the speed of report issuance
Provide suggestions to stakeholder management on how they can address the control issues identified
Provide feedback to the Audit Manager and audit team with progress and observations raised during the audit by communicating honestly, frequently and effectively

Boston, MA

Associate Internal Auditor

Boston, MA

Greenfelder-Gutkowski

Boston, MA

Associate Internal Auditor

Opportunities to make a positive change and to see the impact of your work
Assist in the interpretation and communication of information to management
Designing and developing work-papers and analysis to meet audit objectives
Assist with the development of risk assessments and audit plans
Assist in establishing common processes, policies, and procedures across a multi-location, international company
Develop a basic knowledge of internal auditing by
Staying current on business trends and practices by reading business periodicals, becoming involved in professional associations and through continuing education

present

Detroit, MI

Principal Internal Auditor

Detroit, MI

Auer Group

present

Detroit, MI

Principal Internal Auditor

present

Take lead role in identifying root causes of business related problems and effectively define issues and propose solutions
Contribute to timely and accurate completion of assigned audit work in a manner consistent with the Standards for the Professional Practice of Internal Auditing and the professional standards of conduct of the Institute of Internal Auditors
Assist the IPM in conducting ongoing audits, identifying critical control issues, and recommending corrective actions
Draft audit programs that include identification of risks, controls and fraud indicators
Prepare draft audit reports with documented background, objectives, findings and recommendations
As team lead, ensure that the work of staff auditors is performed in accordance with professional and organizational standards
Identify team performance issues to IPM

Education Education

Bachelor’s Degree in Accounting

University of California, Berkeley

Bachelor’s Degree in Accounting

Skills Skills

Able to effectively communicate in English, in both written and oral forms
Executes detailed audit procedures by reviewing transactions, documents, records, reports, and policies and procedures
Professional appearance and demeanor
Excellent customer service skills
Skill in planning and project management, and in maintaining composure under pressure while meeting multiple deadlines, and in negotiating issues and resolving conflicts
Knowledge of gaming regulations, terminology, concepts, and practices; the Sarbanes-Oxley Act, Foreign Corrupt Practices Act, and/or anti-money laundering controls, and other laws and regulations, as may be applicable
Collaborates with team members to set audit goals and responsibilities. Contributes ideas/opinions to the audit teams and listens/responds to other team members’ views
Pursues professional development opportunities, including external and internal training and professional association memberships, and shares information gained with co-workers
Possesses excellent verbal and written communication and computer skills
Knowledge of the IIA’s International Standards for the Professional Practice of Internal Auditing and the Code of Ethics

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Institutional Securities, Internal Auditor Resume Examples & Samples

Assisting in the preparation of audit planning memoranda
Appropriately assessing potential findings for significance
Communicating audit findings to the Internal Audit lead auditor and client management; assist with negotiating finalization of issues with senior client management
Experience in financial services is essential, with a preference for those with experience of auditing sales and trading activities
University degree (or equivalent) required, ACA or international equivalent preferred
Motivated and a self-starter
Proven ability to manage projects

Internal Auditor Based Resume Examples & Samples

Assess the control environment of our CIB businesses based in Seoul, with a view to providing recommendations to local management for improvement where weaknesses are identified
Be able to perform audit execution and fieldwork independently and efficiently within defined targets
Be able to identify risks and prioritize audit work as part of a risk based audit program
Flexible and adaptable to dynamically changing work environments, including some travel to other countries as part of regional audit engagements

Statutory Internal Auditor Resume Examples & Samples

Leading and performing qualified audits for WM business, both foreign securities business and Taiwan securities business
Working with business to ensure comply with regulatory requirements and internal policies
Analyzing and assessing the associated risks assumed by the business from front-to-back (account opening, trading, IT systems, , accounting, operational, compliance)
Performing data analysis to facilitate risk assessment and risk control
Reporting findings to senior management
Managing external regulatory audits and internal audits
Supporting in WM projects and regulatory initiatives
University degree with at least 5 years of Auditor experience in CPA firm
Familiar with securities brokerage (preferablly in the Foreign Securities House) or business risk management is a plus
Knowledge of securities regulation is a plus
Willing to take initiative and drive projects independently yet still remain a team player
Excellent communication and interpersonal skill. Has the ability to report the audit results in a professional manner and to communicate effectively with both internal and external auditors
High standard of English literacy is essential
Securities personnel license is a must
Must be SIA qualified (complete SIA training and passed the test)

Internal Auditor Asset Management Resume Examples & Samples

Prefer relevant professional certifications (e.g., CPA, CIA, CISA, CFE)
Good verbal and written skills
Experience with various asset classes such as equities, fixed income, real estate, private equity, alternatives, hedge funds, etc
Experience in operational auditing in asset management, alternative investments or investment products
Bachelor’s degree in Accounting, Finance or other relevant areas of study
Minimum of 2 years of experience in operational or financial auditing

Head of Statutory Internal Auditor Resume Examples & Samples

Leading and performing audit checks
Analyzing and assessing the risks (trading, systems, operational, legal and compliance) assumed by the business
Performing data analysis to facilitate risk assessment and control evaluation
Identifying and evaluating the effectiveness of controls designed to address risks
Providing practical, innovative and value-adding solutions to issues identified
Monitoring results, risk and developments and input into planning decisions
Coordinating regional projects and managing external audits
Supporting COO Management for company-wise initiatives and coordination among business functions
University degree with at least 5 years of relevant audit experience and able to provide recommendations per audit finding
Experience in control/system-based auditing techniques
The ability to influence, lead and drive projects independently
Excellent communication and interpersonal skill; with ability to communicate effectively with external & internal auditors
Senior Broker license and Futures license are must

VP Internal Auditor Resume Examples & Samples

Lead and coach staff on audit assignments
Perform close and continuous business engagements with the ability to influence management on the overall control framework
Sound understanding of global markets, trading risk, trade processing, settlement, valuation and accounting
Solid derivates experience with particular focus on Equities

Internal Auditor San Francisco Pg Resume Examples & Samples

Documenting and preparing audit reports
Developing and implementing business process improvements
Examining and evaluating the integrity of operational and financial information
Reviewing compliance with laws, regulations and corporate policies

Internal Auditor Join This Team Resume Examples & Samples

Conduct financial and operational audits independently
Develop plans, perform procedure tests, document, assess and evaluate internal controls
Prepare detailed reports to encompass complete explanation of your findings
Identify areas to improve, make recommendations
Develop relationships with key players across the company
Supervise team members as needed
Enhance subject matter expertise to become trusted internal advisor
Interface with external auditors, company senior management, etc
Special projects are plentiful, could range from fraud investigation, mergers and acquisitions, policy modification, and much more!
Bachelor’s in Accounting, CPA highly preferred
At least 2 years of experience in a public accounting firm with large complex clients -- ideally publicly held clients; internal audit experience within a corporate setting
Experience with SEC and/or SOX very helpful
Capability to creatively problem solve and resolve issues and thrive in a fast paced company environment where individuals can make an impact!
Excellent written communication, effective interpersonal and leadership skills

Statutory Internal Auditor Resume Examples & Samples

Perform comprehensive risk assessment and audit planning to early identify potentially relevant risks and to ensure these are appropriately factored into the audit approach
Develop audit programs and procedures in line with regulation requirements and company policies
Independent conduct of audit fieldwork in line with the determined standards, identifying and evaluating the effectiveness of controls designed to address those risks identified
Develop and maintain an in-depth understanding of business areas, products and supporting functions
Work cooperatively with, and maintain effective communication and working relationship with co-workers and manager
Communicate effectively with key personnel from audited departments to obtain feedback to the audit findings noted during audits
Recommendations can be developed independently or through a collaborative process with the auditees. Follow-up on open audit issues and their resolution
Prepare and deliver audit working paper and audit reports to ensure high quality and compliance with IA standards
Assume additional duties as they arise, and be responsive to the needs of the department

Rotational Internal Auditor Position Resume Examples & Samples

3 to 8 years of big 4 or audit experience
Bachelors degree in Accounting or finance desired
CPA desired but not required
Manufacturing industry experience a plus
SAP experience a plus

Business Internal Auditor Resume Examples & Samples

Project management / cross functional management of stakeholders across the business to deliver each audit
Business Auditors will be experts in auditing key business process cycles
Delivery of audit testing and audit reports through establishment of cross functional teams across the organisation - this will require performance of risk and control analysis, execution of audit testing and reporting findings back to the Audit Sponsor
Extensive post qualification experience in a large global organisation, FTSE100 or a Big 4 Internal Audit/Business Assurance Service Line, Big 4 audit background, at any stage in career, is a big plus
Extensive experience spent in Internal Audit function
IIA is desirable but not essential

Associate Internal Auditor Resume Examples & Samples

0-2 years of auditing, accounting or other relevant experience
Bachelor's degree in Accounting, Finance or other related discipline
1-2 years of academic or work related experience with Microsoft Office products
Internship experiences a plus
A Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification is a plus
TIAA-CREF does not provide sponsorship for this position

Group Internal Auditor Resume Examples & Samples

Reporting to the Group Internal Auditor, you will assist in the development of the department's audit plans and processes
Preparing for and participating in senior management meetings
Communicating findings and practical recommendations both verbally and in written form with management to reduce risk and add value
Ad hoc projects and accounting as required

Experienced Internal Auditor Resume Examples & Samples

4+ years of experience in internal or external audit, accounting, or related analytical business
Proficiency with Microsoft Office Suite
Bachelor’s Degree from an accredited college or university with major course work in accounting or a related business field with significant quantitative and analytical content
Working knowledge of systems, application controls and IT general controls
Certification in relevant field (CIA, CPA, CFE, CISA, etc) or seeking certification

Internal Auditor Wealth Management Resume Examples & Samples

Take part in or, depending on seniority and experience, lead audits of Wealth Management functions across EMEA in close collaboration with our GIA teams in other locations, covering topics such as KYC, anti-money laundering, fraud, client and product suitability, cross border, and other risks
Identify and assess key risks assumed by the businesses audited, identify mitigating controls and control gaps, and assess the controls' design and operating effectiveness as well as the impact of control deficiencies
Document and communicate audit issues, root causes and risks, and suggest practical solutions to issues identified
Review remediation actions submitted by the business for closure to assess whether these have addressed the relevant original risks

Institutional Securities, Internal Auditor Resume Examples & Samples

Leading walkthrough meetings and discussions with the purpose of developing audit test programs and identifying control
Knowledge of financial products including derivatives
Understanding of sales and trading front to back processes

Internal Credit Auditor Resume Examples & Samples

4 + years of experience in Credit risk review or credit audit experience within large bank/corporate investment bank
Ability to assess credit exposures and credit risks, and to develop an audit approach for testing controls
Ability to work well within a team environment
Ability to organize work to meet deadlines
Good working knowledge of credit risk, commercial lending and structured finance related products and processes with emphasis on corporate and investment banking activities
Good understanding of accounting / financial analysis
Working knowledge of Internal Audit principles, methodologies, and tools
CPA or other relevant certificates
Demonstrates initiative, integrity, creativity

Experienced Internal Auditor Resume Examples & Samples

Inform Director or Senior Auditor of project status and results
3-5 years of internal audit experience, preferably with a large financial institution, or Big 4 assurance experience
Experience evaluating controls associated with complex business processes
Ability to travel domestically and internationally approximately 25%

VP-internal Auditor Liquidity Resume Examples & Samples

Bachelor's Degree in Finance, Accounting, or related field
7+ years of experience in internal auditing or other relevant positions
Experience in auditing, testing or otherwise assessing liquidity risk management frameworks, with a strong control perspective
Experience auditing or assessing general trading processes, risks and controls including treasury/funding activities
Demonstrated initiative, integrity, creativity, and a strong desire to learn
Sound verbal and written communication skills

Global Operations Internal Auditor Resume Examples & Samples

Having a good understanding of risk categories and performing risk assessments at an entity and at a process level
Preparing audit planning memoranda, including identifying and evaluating key risks, setting audit scope, determining budgets and staff assignments
Supervising and mentoring junior staff and reviewing work papers to ensure they meet internal standards
Drafting audit reports including writing clear and concise findings and recommendations
Communicating audit findings to the Internal Audit lead auditor and client management and assisting with negotiating finalization of issues with senior client management
Tracking implementation of recommended processes designed to strengthen internal controls
Experience in financial services is essential, with a preference for those with experience of auditing sales and trading or investment operations activities
Understanding of sales and trading front to back processes, including operations functions

Internal Auditor and Resume Examples & Samples

Audit field work for various clients in various industries
Identify exposures and issues
Recognize deficiencies and opportunities for improvement
Understanding of accounting reporting and standards
Effectively communicate with clients and ask questions
Build working relationship with peers, clients and upper management
Bachelor's Degree in Accounting or Finance
1-3 years working experience
Strong interpersonal skills
CPA, CIA, CFE plus, not required

Treasury Internal Audit Auditor Resume Examples & Samples

Utilize strong written skills to document Corporate Treasury walkthroughs and testing
Execute assignments with a sense of urgency in order to meet required deadlines
Basic understanding of business, industry and regulatory concepts related to banking
Basic understanding of audit concepts related to fieldwork including sampling methodology, executing test steps and drawing conclusions based on results of testing

Entry Level Internal Auditor Resume Examples & Samples

Perform internal auditing work, including financial and compliance audits with domestic and international entities
Perform Sarbanes Oxley testing and assessment of internal controls
Document business processes and procedures including SOX 404 audit planning and testing
Summarize and communicate audit findings to management with written and verbal presentation
Identify areas of risk in the organization and create related development action plans
CPA/CIA or CPA candidate
Internship to 2 years of experience
Audit experience within a public accounting firm or within internal audit at a manufacturing or company
Understanding of audit and internal controls concepts and ability to communicate findings

Group Internal Auditor Resume Examples & Samples

Hold an accountancy or audit qualification
Have a minimum of 3 years post qualification experience
Have a good understanding of the audit process with audit experience being an advantage
Have a high level of computer literacy, a good working knowledge of accounting systems and business processes and controls
Be able to demonstrate a good knowledge / understanding of Risk Management and Risk Based Auditing
Be able to work either on their own or within a team as required, demonstrate initiative and show a willingness to learn and develop their profession
Have good interpersonal and communications skills and an ability to relate to Senior Management
Have excellent written, verbal and presentation skills
Demonstrate a keen interest in improving both themselves and the business

Technology Internal Auditor Resume Examples & Samples

Contribute towards the execution of the Internal Audit plan and identify financial, operational and fraud risks for technology-related processes
Perform operational audits of proprietary payments systems to evaluate internal controls that mitigate identified risks and recommend opportunities for internal control improvement
Facilitate use of technology-based tools or methodologies to enhance audits
Earn credibility with different groups (e.g., engineering, information security, IT, finance) by obtaining a deep understanding of their areas and providing pragmatic recommendations for improvements to controls and processes
Effectively communicate internal audit results and controls testing results to all levels of management and external auditors and clearly explain remediation expectations and timing, and then follow up to ensure effective remediation
Continuously strive to understand Facebook's changing business environment and translate this knowledge into audit planning and execution
Perform technology-related SOX testing for financial systems (e.g. Oracle/ Salesforce) and ensure test results are appropriately documented and communicated
Perform testing of controls related to Anti-Money Laundering regulation and ensure testing and reporting of results are performed in accordance with the AML program
Facilitate and interface with different groups within the company and the external auditors for the SOC certifications process and ensure testing and reporting are completed timely
Research and stay current on new technical literature applicable to the internal control process (e.g., PCAOB and AICPA guidance, SEC, etc.), emerging trends and best practices

Associate Internal Auditor Resume Examples & Samples

Develop a basic knowledge of internal auditing by
Work with a more senior team member to perform assigned audit and advisory work. Analyze and evaluate existing systems, processes and controls to determine the adequacy of operating procedures, effectiveness of internal controls and monitoring, and reliability of financial information reported on the organization's general ledger. Document recommended procedural changes to facilitate the safeguarding of assets, reducing costs and improving operating efficiency
Serve as auditor-in-charge for less complex audit assignments by
Continue developing overall knowledge of auditing. Pursue continuing education and professional certification. Keep abreast of current trends, new developments and practices in the audit profession
Bachelor's degree in accounting, business or related field or equivalent education and related training
Willingness to travel when necessary, including overnight
Basic understanding of risk management and process concepts
Good decision-making skills
PC literate
Inquisitive and willing to learn
Good aptitude for learning analytical, audit and/or facilitation skills

Global Operations Internal Auditor Resume Examples & Samples

Evaluation of inherent risk categories and performing risk assessments at an entity and at a process level
Helping to prepare audit planning memoranda
Identifying and evaluating key risks and contributing to establishing audit scope
Participating in walkthrough meetings and discussions with the purpose of developing audit test programs and identifying control issues
Executing audits in line with audit test programs and within time budgets
Assisting with drafting audit reports including writing clear and concise findings and recommendations
Experience in financial services with a preference for those with experience of auditing sales and trading or investment operations activities
Qualified accountant holding a professional accounting or auditing qualification (ACA, ACCA etc.) preferred
Knowledge of basic financial products including derivatives

Manager Internal Auditor Resume Examples & Samples

5-10 years of Audit experience, preferably inclusive of the Professional Services sector. Possession of a professional certification (e.g., CISA, CIA and/or CPA) is required
Bachelor's Degree in Business Administration, Finance/Accounting or Information Systems is required. MBA or MSA preferred
Extensive knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Sarbanes-Oxley implementation as well as fundamentals of COSO, COBit and financial statement assertions and other regulatory requirements
Solid understanding of Enterprise Resource Planning systems; SAP experience preferred
Proven experience with the integrated audit approach and within operational audits
Experience in collaborating with all levels of an organization's management team. Exceptional interpersonal and presentation abilities. Fully developed written and verbal communication skills are required

Internal Auditor IT Resume Examples & Samples

Assess risks and internal controls by identifying areas of non-compliance, evaluating manual and automated processes, identifying process weaknesses and inefficiencies
Verbally communicates findings to senior management and draft comprehensive and complete report of audit area
Minimum of 2 years Internal Audit experience, prefer someone with IT Audit experience in the Financial Services space
Bachelor’s degree in Accounting, Finance, Business Admin or other relevant areas of study
Prefer relevant professional certification (e.g. CPA, CIA, CISA, and CFE)
Experience in auditing, The candidate will also ideally have experience working in the insurance and/or financial industry segment
Knowledge of the Institute of Internal Auditor’s (IIA) International Professional Practices Framework (IPPF) to which the Internal Audit Division’s methodology is aligned
Skill in using Word, Excel, TeamMate and other business software

Experience Internal Auditor for IT Systems Resume Examples & Samples

BS in Accounting, Finance or other similar discipline
2+ years of relevant work experience in the areas of financial audit, IT audit, internal controls, internal audits, finance and/or SOX compliance
Strong reasoning, analytical and communication skills
Project management skills and the ability to prioritize
Strong work ethic and ability to work independently or in a team project, depending upon what needs to be addressed
CPA, CISA or CIA a plus

Manager Internal Auditor Resume Examples & Samples

Build and maintain relationships with senior divisional accounting, finance and operational management
Write and/or edit audit reports
Manage and develop senior auditors through hands on management of various audits
Provide regular oral and periodic written feedback to senior auditors
Facilitate validation and closing meetings with divisional personnel

Internal Auditor Jobs Resume Examples & Samples

Handling full-cycle audit, beginning with the planning stage
Testing Sarbanes-Oxley (SOX), financial and operational controls
CPA, CIA or public accounting experience preferred

Internal Auditor, Bloomington, MN Resume Examples & Samples

Identify risks, controls and process improvements while performing financial & operational audits
Communicate business issues and control remediation recommendations to business partners
Participate in risk assessment process to review and assess company risks
Provide input on Internal Audit strategy and participate in strategic business projects
Develop strong relationships and work with all levels of Finance and business unit leadership
2-3 years audit/accounting experience
CPA, CIA or CISA preferred
20% domestic & international travel

Manager Internal Auditor Resume Examples & Samples

Continuously improve best practice in accordance with appropriate Internal Audit standards
Prepare and complete a risk-based audit program through the assessment and ranking of the risks identified through audit work
Prepare the audit reports and report in a timely matter
Manage audit engagements primary in the US with operational financial and sox audits
BS/BA required with Accounting or Finance Concentration is a must
Must have 2+ years of management experience

Regional Internal Auditor Resume Examples & Samples

Bachelor degree in Accounting or Finance related disciplines
Qualified accountant of HKICPA / ACCA / CPA Australia
3 years of professional experience gained from leading external auditors (Big 10)
Excellent communication skills in English and Mandarin
Flexibility to accommodate extensive travelling schedule (50%)

AML Internal Auditor Resume Examples & Samples

2+ years of Audit and Compliance Anti-Money Laundering / Know Your Customer experience
ACAMS certified with recent experience (i
Previous Public Accounting and/or Financial Services experience
Experience with FINRA NFA MAS HKSC AML/ABC Regulations and Extraterritorial Jurisdiction

Principal Internal Auditor Resume Examples & Samples

A minimum of 6-8 years of experience is required; 7+ years of experience is preferred
Professional designation such as CPA or CIA or other Internal Audit designation desirable
Up 25% travel may be required
A Bachelor of Accounting or Finance Degree, or equivalent is required
Demonstrated ability to complete multiple high priority, complex technical projects

AVP Internal Auditor Resume Examples & Samples

Finalise audit findings and use judgment to provide an overall opinion on the control environment
Implement and execute an effective program of continuous auditing 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
Education to degree standard (or equivalent)
Recognized Accounting qualification desirable although not essential
Experience of auditing Markets businesses (preferably FX/Rates) within IB

VP Internal Auditor Resume Examples & Samples

Exceptional analytical and critical thinking abilities; able to develop and convey a point of view
Highly motivated self-starter with ability to multitask and complete assignments within time constraints and deadlines. Individual with desire to learn and teach others, high energy, positive attitude
Knowledge of Global Market Sales and Trading control processes
Desire to learn and develop process and product knowledge
Ability to quickly assimilate knowledge and analyse processes

Internal Controls Manager / Auditor Resume Examples & Samples

Must demonstrate 100% responsibility
Must have a technical aptitude with a willingness to learn machine operation
Must produce World Class Results through teamwork, selflessly developing and training others for success
Must have a positive attitude
Must thrive within a changing organization requiring the need to multi-task
Must listen for understanding and communicate using the Who, What, When, Where and How model
Must Resolve conflicts directly and be committed to team decisions

Xerox Internal Auditor Resume Examples & Samples

Good Financial & System Audit Experience
Ability to Plan ,Manage the Risk & Compliance programs , Audit Schedules and Provide the MIS as necessary
Ability to work in a matrix organization, virtual teams ,clients and teams globally
Participates/leads , liaison cross-functional teams focused on Risk & Compliance programs SSAE 16 Audits , PCI Requirements, Assessments , regulatory filings, certifications and related programs ( Internal & Client and 3rd Party programs)
Develop and implement financial systems to support compliance and internal control activities
Maintain , Create and Extract various data source and analyze information to identify trends and provide the areas for improvement / dash boards – Operations / Management
Strategically review information and draw summary conclusions
Responsibilities include the overall planning, organizing, directing, controlling and delivery of all Risk Management, Compliance programs and Audit projects in alignment with the Regulatory, legal and Business expectations and needs
Keep abreast of the developments in the applicable US Laws , regulations and Industry standards and advise the management appropriately
Responsible for broad internal control activities including, development and training on policies, and significant coordination with internal and external auditors
Communicate professionally and effectively with senior management, internal and external partners
Work with other global teams supporting overall compliance and corporate governance
Understand relevant business risks, perform appropriate risk assessment, and recommend mitigation plans

Internal Auditor, Principal Resume Examples & Samples

Minimum of ten years of job related experience in internal auditing or other applicable areas
Thorough knowledge of analyzing and developing risk assessment processes and assessing risk within a process or business function
Demonstrated knowledge and experience in
Developing and communicating risk based audit plans with staff auditors
Defining expectations for each audit project including objectives, scope, timing, key contacts, and deliverables
Communicating expectations to staff auditors and tracking time budgets for assignments
Working with clients and your audit team to ensure the successful development of risk assessments, design of audit programs, and completion of integrated audits to produce high quality reports. These reports are used by the business to enhance risk management and the Board Audit Committee to ensure strong corporate governance
Providing expertise on the design of controls into new and existing business processes
Identifying control gaps, assisting management in creating action plans to address risks and ensuring that action plans are completed
Influencing process improvements with business owners
Participation in creating annual audit plan
Providing feedback to staff auditors on audit performance and mentoring new members of the Internal Auditing Department

Internal Securities Auditor, AVP Resume Examples & Samples

Completes risk-based activities associated with internal audit engagements, with limited to no supervision in support of execution of the annual audit plan
Manages engagement-related efforts and assignments of staff with varying degrees of expertise and experience when conducting engagements as the Auditor-in-Charge (AIC)
Performs (and at times, prepares, reviews and leads) special reviews, investigations, monitoring activities, and work for external auditors and/or regulators. Ensures engagements are completed objectively, professionally, and in accordance with corporate and industry audit standards
Utilizes various business systems, applications, and audit tools and may create queries and ad hoc reports
Reviews, analyzes, and interprets data collected from multiple sources to ensure valid conclusions are drawn. Conducts fact finding interviews with client management
Identifies control weaknesses and opportunities for improvement in the current operating environment and develops recommendations for corrective action

Bank Internal Auditor Resume Examples & Samples

Perform individual audit activities to ensure quality, efficiency, and effectiveness
Perform complex financial and operational audits, confidential special projects, on-site field audits and support fraud investigations
Develop and demonstrate visionary skills in the performance of assigned audit activities
Provide assistance to regulators and external auditors
Enhance professional/business relationships and the communication and transparency of Internal Audit activities and results
Develop audit recommendations that are relevant, complete, and accurate for complex audit assignments
Effectively communicate audit results by preparing accurate, clear, concise, constructive, complete and timely audit reports
Enhance business acumen and professional skills
Apply skills, including audit software capabilities, to the performance of key job responsibilities
Assist in training and development of other staff auditors
Exhibit engagement and accountability
Exhibit professionalism and commitment to the IIA professional standards and code of ethics
Exhibit uncompromising integrity and commitment to Mutual of Omaha's corporate values, human resource principles and business conduct policies
This position requires up to 15% travel, which may include flying and/or driving and some over night stays
Extensive educational background and experience in accounting and auditing and a general background in information systems and technology
Sound judgment, inquisitiveness, and strong analytical ability, and strong written and verbal communication skills
Seasoned knowledge of auditing techniques, accounting principles, insurance operations, regulation and information technology fundamentals
Excellent project management skills and ability to work independently on multiple projects and to be flexible with project assignments
Ability to independently analyze information and determine significant audit issues
Ensure project risk assessments are complete and accurate and align with the ERM risk assessment
Act with a senses of urgency in completing work and meeting deadlines
Perform high quality, accurate and timely work for regulators and external auditors
Perform timely follow up of audit recommendations
Perform financial reporting compliance efforts and ongoing testing in a timely and effective manner
Able to travel up to 15% of the work period
Working knowledge of the NAIC Model Audit Rule
Experience using Audit Command Language (ACL) software and other data analytics software
Knowledge of Bank's operations, financial processes and business units. Knowledge of major products and services offered by the Bank, and the respective distribution channels
Working knowledge of internal controls over financial reporting requirements/SOX
Familiarity with IT audit concepts
Banking designations (CFSA, CBA, CRCM, etc.)
Knowledge of enterprise risk management fundamentals
Sound understanding of banking laws and regulations

Brokerage Internal Auditor Resume Examples & Samples

Perform audits and projects at the direction of audit seniors and management, including documenting processes and key controls, creating audit procedures to test the design and operating effectiveness of the key controls and reporting issues identified
Communicate to appropriate audience the audit protocol, status, issues, risks and recommendations via written reports and oral presentations
Develop productive and collaborative relationships with designated audit customers and other key stakeholders
Support and assist with creating and successfully delivering the Scottrade Annual Audit Plan and with the overall strengthening of the “Risk and Control” environment
Assist with performing audit engagement variance analysis and budget tracking
Perform special projects, investigations, and other duties as assigned
Strong understanding of control principles as it relates to regulatory issues and requirements (Banking, Broker Dealer, Sarbanes-Oxley)
Experience and understanding of risk management principles as they relate to audit practices and an knowledge of the principles of regulatory guidance relative to “Strong Risk Management and Controls” expectations within the Banking/Financial services sector
Ability to provide creative thought and understanding for both strategic and tactical assignments
Self-starter with strong decision making abilities
Intermediate level proficiency with Microsoft Word, Excel, PowerPoint and Outlook
Foster company success through a professional appearance, being courteous to customers and all Scottrade associates and by having a positive attitude
2+ years internal or external auditing, accounting, risk management, financial analysis, information systems or compliance/regulatory experience required
1+ year experience working in brokerage and/or financial services industry preferred
Experience in performing audits and/or experience, either in accounting, risk management, or line of business function, at a medium sized or large bank or financial services organization preferred

Treasury & Markets Internal Auditor Resume Examples & Samples

Plan, lead and perform risk-based audits in Singapore and overseas locations with DBS Bank’s presence, with primary focus of coverage in Treasury and Markets, secondary focus in Securities Business (Vickers) and Capital Market
Evaluate internal controls design for its effectiveness and identify gaps from the review of business processes in accordance with the annual audit plan, audit methodology and IIA standards
Analyzing and validating red flags and exceptions generated from Trading Analytics tool or scripts as part of Continuous Auditing
Drive/Execute Audit automation and implementation of the projects initiatives
Pro-actively contributes in developing automated routines to help focus the audit testing and the development of audit process improvements
Develop effective communication and relationship with the key stakeholders by understanding the businesses, providing value-added controls assessments and fostering on-going interaction with the business
Provide concise audit findings, presented reports on a timely basis, and deliver the audits to completion within established timelines

Internal Audit Tech Auditor Resume Examples & Samples

Analyze the design of controls around the underlying system architecture and its impact on the business
Analyze the business and technology processes to evaluate the design and effectiveness of the relevant technology controls by designing and executing tests to validate identified system control features, which may require data analysis, code inspection and re-performance of system processes
1 - 6 years of relevant experience in application technology audit, application development, quality assurance, information security, technology consulting or other relevant industry experience
Experience in online retail deposits or lending business preferred
Strong interpersonal, written and verbal communication skills
Databases (Sybase, Oracle etc.)
Operating Systems (Linux etc.)
Infrastructure Controls(Networks, Voice, Backups, Storage, data center’s etc. )
BE/B Tech/MCA/MBA in Systems/MSc or equivalent University degrees in technology

Club Internal Auditor Resume Examples & Samples

Client Engagements: Under the direction of a Senior Club Auditor, participate in client engagements to help establish audit project objectives
Strong understanding of program guidelines of WVO Vacation Clubs (CWP, WBW, or Shell) preferred
Detail oriented and focused on specific outcomes of compliance / audit processes
Ability to keep sensitive information confidential
Advanced written skills including the ability to develop effective reports (drafting audit reports and executive summaries)
Advanced oral communication including excellent presentation skills
Strong time management skills (deadline conscious with strong drive and initiative)
Ability to establish and maintain strong working relationship with team and internal partners
Proficient in Microsoft Office applications including Word, PowerPoint, Visio, with an intermediate to advance level of skill in Excel
Experience with CDC spell out incident tracking system (preferred)
1-2 years experience in evaluating and testing operational and financial controls
1-2 years of operational or financial auditing experience
1-2 years of Hospitality experience (operations and /or accounting)

Regional Internal Auditor, AXA Asia Resume Examples & Samples

To perform internal audit assignments in the region (90%). Up to 50% travel in Asia may be required
To support the Head of Internal Audit or his/ her delegate in handling the administrative issues of the internal audit function, includes following up of audit issues and providing status updates, preparing Group/Regional reporting, coordinating audit committee papers and handling of ad hoc projects (10%)
University degree with recognized accounting (CPA, CA, CMA) or auditing (CIA, CISA) designation
Minimum 3 years audit related working experience, preferably in Big Four accounting firms and in life insurance or financial services industry, general insurance experience would be a plus
Independent, analytical and positive mind, excellent interpersonal and communication skills
Excellent English presentation and good report writing skill
Good in spoken Mandarin and written Chinese is a plus
Ability to deal with people of all levels and background
Good time management skill

Bank Internal Auditor Resume Examples & Samples

Identifies, reviews, assesses and documents risk management and control issues in assigned business processes
Recommends process improvements for internal audit processes and procedures
Benchmarks industry best practices and maintains currency in audit processes and procedures
Fundamental concepts, practices and procedures of auditing and risk assessment
Gather information, identify linkages and trends and apply findings to assignments
Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment

Internal Auditor M / F-vie Moscow Resume Examples & Samples

Verify the compliance of bank practices with internal instructions and procedures, legal requirements and regulations
Control the quality of accounting and financial information
Assesses the security of transactions and IT systems
Identify and assess the operational, counterpart and markets risks
Assess the quality of the risk portfolio and the credit risk management
Assess the robustness and efficiency of permanent control framework
Prepare work papers, formalizes audit findings and brings any suspicious transactions or practices to the Head of Assignment’s attention
Make recommendations to reduces risks and improve operations
Contribute to the preparation of the final audit report and participating in the related exit meetings
Contribute actively to the continuous development of audit methodologies

Enterprise Services Internal Auditor Resume Examples & Samples

Communicate with appropriate audience about the audit protocols, status, issues, risks and recommendations via written reports and oral presentations
Design and document effective audit procedures
Assess and identify risks by applying business/technical/industry knowledge and escalate to appropriate management, as necessary
Strong understanding of the Institute of Internal Audit Standards for the Professional Practice of Auditing, control frameworks such as COSO/COBIT, transactional accounting, and Generally Accepted Accounting Principles (GAAP)
Strong understanding of control principles as they relate to regulatory issues and requirements (Banking, Broker Dealer, Sarbanes-Oxley)
Experience with and understanding of risk management principles as they relate to audit practices and knowledge of the principles of regulatory guidance relative to “Strong Risk Management and Controls” expectations within the Banking/Financial services sector
Ability to provide creative thought and understanding to strategic and tactical assignments
Strong interpersonal and self-management skills with the ability to multi-task
Bachelor’s degree Accounting, Finance, Economics, or Business Administration, or equivalent combination of education and experience required. Master’s degree preferred
1+ year experience working in brokerage, banking and/or financial services industry preferred
Experience with use of ACL (Audit Command Language), PeopleSoft and/or Thomson Reuters GRC preferred

Auditor, Internal Resume Examples & Samples

Strong interpersonal and communication skills, including ability to articulate briefly and concisely
BA/BS in accounting, business administration, computer science, criminal justice or a related field
CPA, CA, CIA, CISA and/or CFE is a plus

Forensic Internal Auditor Resume Examples & Samples

Perform investigations involving allegations of irregularities, fraud, corruption, and other violations of the Company's Guide to Ethical Conduct
Carry out investigations in a fair, objective, thorough and timely manner and in compliance with relevant policies and regulations
Develop audit procedures for the prevention, identification and detection of fraud; ensure all observations, findings and conclusions are supported with evidence
Review and evaluate the adequacy and effectiveness of internal controls; identify and communicate the results of investigations, including control deficiencies, fraud matters, root causes, and recommendations to Operational, Legal, and HR management
Provide concise and timely updates to Forensic Audit management and/or the Vice President of Internal Audit on the progress of investigations, compliance issues and deficiencies identified
Promote the vision and mission of Internal Audit to implement a systematic and disciplined approach to assessing risks and exposures
Champion a control environment that reduces the risk of fraud or noncompliance with the Company's Guide to Ethical Conduct
Travel extensively (up to 50%) to international locations within the Americas (primarily Mexico) and Europe, but also to Asia Pacific, as needed
Bachelor degree in Accounting, Finance, IT or other business oriented curriculum; Master’s degree preferred but not required
Professional certification (e.g. CPA, CIA, CFE, and/ or CISA, etc.) is required
Advanced computer and computer forensic skills (e.g., MS Office, DTSearch, Encase, Clearwell, Tableau, and/ or ACL) and IT analytic skills are preferred. Experience with SAP is a plus
International work experience is preferred
Strong analytical and problem solving skills; capable of working in a fast moving, global and complex organization
Proactive and able to think strategically; capable of identifying and resolving issues; effective and efficient in a multitasking environment
Over 5 years of experience in Forensic Accounting, Fraud Investigation, External / Internal / IT Audit, Finance, Accounting or equivalent with the Big Four accounting firms
Highly developed interviewing skills
Command of written and verbal communication in English and Spanish is a must
Strong business acumen and understanding of functional linkages
Ability to interact, influence, negotiate and challenge management when necessary
Self-motivated and strong work ethic with the ability to perform job functions independently and with minimum supervision in a dynamic environment

Advanced Internal Auditor Resume Examples & Samples

Performs risk-based audit procedures on scheduled audit projects in accordance with approved risk-based audit programs and in a timely, efficient and professional manner, demonstrating a working knowledge of internal control concepts for each audit project
For assigned audit projects, clearly documents and evaluates the internal controls present in the manual and automated systems being reviewed, identifying internal control strengths and weaknesses
Prepares audit work papers that accurately and sufficiently document audit tests performed, in accordance with departmental guidelines, i.e., Audit Procedures Manual (APM)
Consistently provides timely information to the Audit Director during the audit project regarding weaknesses noted and recommendations for corrective action
Prepares summary memoranda, closing conference agenda, planning meeting memos, etc., that accurately describe results of tests performed, the nature of control weaknesses and exposures, and identify practical recommendations for improvements
Completes the Internal Audit self-study program in order to gain the required knowledge of internal control concepts, audit testing techniques, data processing knowledge and financial, systems and operational audit knowledge
Serves as the lead in-charge auditor on small- to medium-size audit projects that have a low to medium level of difficulty and risk
As lead in-charge auditor of a project, supervises assigned resources, general interns and staff internal auditors
Performs other duties and projects as assigned by management
Working knowledge of internal control concepts and risk-based audit techniques
Thorough knowledge of accounting
Proven ability to develop or adapt programs/procedures on an as-needed basis
Experience coordinating multiple projects/assignments (2 to 3) simultaneously and completing assigned tasks accurately and on a timely basis. Possesses strong attention to detail with excellent organizational skills. Solid project management with proven experience successfully planning, executing and maintaining a project from start to finish
Proven strong analytical skills, including demonstrated experience identifying, defining and resolving problems, and collecting or intepreting data to establish facts and draw valid conclusions
Strong verbal and written communication skills with demonstrated success interpreting and communicating business needs between internal groups and external vendors in a clear, accurate, focused and concise manner. Demonstrated ability to document procedures and activities in a manner that is understandable to others and prepared using a prescribed format. Verbal and written communications are to conform to proper rules of punctuation, grammar, diction and style. Will be expected to provide examples of written audit reports
Demonstrated progressive risk-based integrated auditing experience in a “Big Four” public accounting firm or a Fortune 500-type company
Proficiency in the use of Microsoft Office (Word, Excel, Access, Visio)
Exposure to automated systems, including mainframes and Local Area Network- and Wide Area Network-based applications
Exposure to automated auditing tools, including ACL, Easytrieve Plus, etc

Auditor Internal Resume Examples & Samples

Advises senior auditor and/or supervisor of problems encountered in a timely manner with accuracy and completeness
Skill in collecting and analyzing complex data, evaluating information and systems, and drawing logical conclusions
Skill in planning and project management, and in maintaining composure under pressure while meeting multiple deadlines, and in negotiating issues and resolving conflicts
Bachelor’s degree from an accredited college or university
Able to effectively communicate in English, in both written and oral forms

SOX Internal Auditor Resume Examples & Samples

2-10 years of audit experience
Prior internal audit experience out of financial services or insurance industry
Prior SOX experience
Big 4 Public accounting experience

Brokerage Internal Auditor Resume Examples & Samples

Assist/lead, plan and perform audits and projects, including performing risk assessments, documenting processes and key controls, creating audit procedures to test the design and operating effectiveness of the key controls and reporting issues identified
Communicate the audit scope, protocol, status, issues, risks and recommendations via written reports and oral presentations to appropriate audience
Assist with the design and documentation of effective audit procedures
Develop and manage productive and collaborative relationships with designated audit customers and other key stakeholders
Assist with audit engagement variance analysis and budget tracking
Bachelor’s degree in Accounting, Finance, Economics, or Business Administration, or equivalent combination of education and experience required. Master’s degree preferred
4+ years of internal or external auditing, accounting, risk management, financial analysis, information systems or compliance/regulatory experience required
2+ years of experience leading audits and performing in the role of auditor-in-charge preferred
2+ years of experience working in brokerage, banking and/or financial services industry preferred
Experience in performing audits of technical nature and/or experience, either in audit, risk management, or line of business function, at a medium sized or large bank or financial services organization preferred

Auditor Internal Resume Examples & Samples

Develop an in depth knowledge of the methodology, by attending training sessions and using knowledge gained during audits, use this proactively in executing audit activities
Deliver assigned by the Audit Manager / Head of Audit work to a high quality and in accordance with the requirements of the Quality Assurance scorecard
Assist the Audit Manager with planning and execution of Design Effectiveness and Operationing Effectives Testing, uniformly applying the methodology and quality standards, focusing the work on key risks, with minimum supervision from the audit manager
Develop and maintain relationships with key audit contacts on each audit by attending continuous stakeholder meetings. In addition, engage closely with stakeholders during assignments and encourage open discussion and

Internal Auditor Olympia Resume Examples & Samples

Generally Accepted Accounting Principles (GAAP)
Generally Accepted Auditing Standards (GAAS), Generally Accepted Governmental Auditing Standards (GAGAS) or the International Professional Practices Framework
Government Accounting Standards Board (GASB)
Current professional control framework, theory, and techniques, such as: COSO – Internal Control Framework or Standards for Internal Control in the Federal Government (Green Book)
Three (3) years' of full-time professional auditing experience
Master's in public administration, business administration or closely related field
Certification as a Certified Public Account, Certified Internal Auditor, Certified Governmental Auditing Professional, Certified Fraud Examiner, and/or Certified Management Accountant
Experience working with state and federal statutes and regulations, particularly Office of Management and Budget Circulars

Auditor Internal Resume Examples & Samples

Develop an in-depth knowledge of the methodology, by attending training sessions and using knowledge gained during audits, use this proactively in executing audit activities
Deliver audits assigned by the Audit Manager / Head of Audit work to a high quality and in accordance with the requirements of the Quality Assurance scorecard
Assist the Audit Manager with planning and execution of Design Effectiveness and Operational Effectiveness Testing, uniformly applying the methodology and quality standards, focusing the work on key risks, with minimum supervision from the Audit Manager
Develop and maintain relationships with key audit contacts on each audit by attending continuous stakeholder meetings. In addition, engage closely with stakeholders during assignments and encourage open discussion and interaction with business on the risks associated in their environment
Ensure all audit observations and planned actions are factually agreed with management as soon as they arise and increase the speed of report issuance
Provide suggestions to stakeholder management on how they can address the control issues identified
Document all working papers in line with methodology requirements. The working papers must be accurate, reflective of work performed and support conclusions drawn
Provide feedback to the Audit Manager and audit team with progress and observations raised during the audit by communicating honestly, frequently and effectively
Build and maintain good working relationships with fellow auditors
Prepare audit observations and make sure that they are concise, factually accurate and cover all of the significant issues
The observations must be insightful, address the root causes, and have agreed actions that fully mitigate the risk

Internal Auditor Closing Date Resume Examples & Samples

Conduct and manage less complex to moderately complex audits of key risk areas in the Association to ensure integrity of financial data, safeguarding of assets, and compliance with policies and procedures. Evaluate the adequacy and effectiveness of internal controls and recommend improvements in processes, procedures, and controls. Perform additional special projects as needed maintaining professional objectivity and obtaining approval if necessary from the Audit Committee. Execute all engagements in a collaborative manner, maintaining effective communication with the audit customers, leadership and co-sourcing partners
Responsible for certain aspects of project management for each engagement (for less complex to moderately complex audits), including
Provide project management oversight to our co-sourcing partners for audits, projects or ICOFR compliance testing as necessary
Maintain a current status of developments related to matters of interest to the internal audit profession such as evolving audit techniques and practices, and pronouncements by the FASB, IIA, FCA, PCAOB and other regulatory bodies
Coordinate, perform or delegate follow up procedures on audit recommendations to determine that corrective action has been taken by the audit customer teams
Assist in identifying and evaluating the Association’s risk areas and provide key input to the Vice President – Internal Audit for the development of the annual risk assessment and audit plan
Pursue professional development opportunities, including external and internal training and professional association memberships, and share information gained with teammates
Perform other activities designated by the Vice President - Internal Audit, Board of Directors, Audit Committee, or the Chief Executive Officer
Strong Knowledge of the International Professional Practices Framework developed by the Institute of Internal Auditors
Strong Knowledge of audit concepts and techniques, accounting principles, and regulatory agency (such as the Farm Credit Administration) guidelines, regulations and standards
Skill in assessing the effectiveness of internal controls over key risks, identifying significant exposures, analyzing transactions and information, and detecting changes in key risks and/or control effectiveness
Excellent written and oral communication skills; to include the ability to articulate the values of a recommendation to audit customers to ensure implementation occurs; and the ability to express concerns, ideas, suggestions, and criticism clearly and succinctly to the Audit Committee and Association leaders
Ability to work effectively in a team environment and effectively demonstrate team building attitude and skills
Ability to use various audit tools, such as electronic workpapers, risk assessment tools, process mapping, internal control questionnaires, financial estimation, analytical reviews, visual observation and statistical sampling to perform audit procedures
Proficient in a Windows environment using various Microsoft Office products such as Word, Excel, Access, Internet Explorer, and other business software to prepare reports, memos, summaries, and analyses

Internal Investments Auditor Resume Examples & Samples

Leading audit projects involving two or more staff members
Coordinating and directing the work of other project members on leadership assignments
This role offers responsibility for running audit engagements on a rotational basis as the in-charge of the audit engagement and the opportunity to supervise staff
Travel requirements are minimal (10%)
4+ years of experience in investment audit role(s) or relevant Allstate experience working directly in a business with Investment knowledge
CPA, CIA, CISA or insurance-related certification or study is a plus
Demonstrate and maintain a strong understanding of product specific (e.g., security, derivative) valuation methodology and processes
Detailed knowledge and understanding of key credit & market risk exposures, measurement techniques, accounting and financial controls, and regulatory and financial market developments
Monitor regional Market Risk, Valuation and Finance related metrics with an ability to recognize emerging issues with risk and control implications
Exposure to fixed income securities, structured products and asset management
Exposure to virtually all aspects of the asset management and security transaction operations of an Investments group, including reviews of portfolio management and trading across various asset classes including derivatives
Knowledge of and ability to audit core asset classes (Derivatives, Real Assets, Mortgage Loans, Municipal Bonds, Corporate Bonds, Foreign Government Securities, RMBS, CMBS, and ABS)
Ability to run multiple audits, manage projects and participate in audit assignments in a team environment
Knowledge of Bloomberg and working knowledge of other market tools are a benefit
Established contacts in key business areas and ability to establish new contacts
Ability to effectively and professionally communicate complex business topics to Management via reports, memos, and verbal communication
Excellent project and time management skills
Solid understanding of risks and controls

Auditor Internal Process, Oceania Resume Examples & Samples

Conducting audits of assigned chapter in a timely manner, highlighting issues and recommendations to assist the existence and effectiveness of internal controls, integrity of information, compliance to Nestlé policies, instructions & guidelines, as well as local laws, and efficient use of company resources & assets
Building effective relationships and managing stakeholders throughout the end to end audit process
Documenting audit work in an organized, accurate and concise manner, clearly supporting the conclusions reached in the audits performed
Assisting the Audit Team Leader in reviewing various information (eg previous audit reports, operational performance reports, KPI's, and stakeholder interviews) to complete perform risk based audit planning
Involvement in non-audit projects within the business and ad-hoc reviews tailored to market specific business needs

Associate Internal Auditor Resume Examples & Samples

Execute operational, financial and compliance audits of Home Office and field operations
Participate on audit project teams to complete risk assessments and control evaluations for areas under review
Bachelor's degree with a minimum 3.0 cumulative GPA. Additional requirements might apply
Bachelor’s degree in Finance and/or Accounting
Attention to detail in a fast-paced work environment, and the ability to manage and prioritize multiple projects simultaneously
Experience with technical programs including MS Office Suite and a strong working knowledge of Excel

Internal Auditor, / II Resume Examples & Samples

Holds discussions with management regarding business process and noted control weaknesses. Prepare draft reports to management to communicate final results including recommendations to improve operational, financial and information system practices and controls
Understands and prioritizes work according to client time and resource constraints
Works with Internal Audit and client management and staff to identify feasible resolutions to control weaknesses and opportunities for improvement

Associate Internal Auditor Resume Examples & Samples

Bachelor's degree in accounting, finance, business administration, or economics, or equivalent training
Minimum cumulative GPA of 3.3
0-12 months related internship or work experience
Excellent communication and analytical skills

Global Internal Auditor H/F Resume Examples & Samples

1/ When leading the audit mission, you will be called “Team Leader” and will be in charge of
Managing the project and the relationship with the auditees (defining the working program, organizing the field work, delivering the final report, following-up the action plans,..)
Delivering on time the project
2/ When member of an audit, you will be called “Team Member” and be in charge of
Conducting interviews, tests, data analysis in order to identify root causes, assess the efficiency and effectiveness of the processes
Proposing recommendations to auditees in order to correct inefficiencies or to further improve efficiency
Presenting those recommendations to local management and Senior Management

Internal Auditor Professional Practices Group Resume Examples & Samples

Strong understanding of the effective utilization of data analytics and computer assisted auditing techniques (CAATs)
Assists auditors in the use and development of CAATs and other information system requests
Assists in developing and executing audit analytics
Analyze current practices for opportunities to leverage information technology and computer-aided auditing resources to enhance audit programs
Assist with the implementation and technical support of audit management system
Performs first level of technical support as Technical Liaison for the audit department
Provides administrative and technical support for applications and systems used within the audit function including SharePoint, Audit Management System, TeamMate, ACL, and Microsoft Office
Train audit team on analytic tools and audit management system
Assists with the implementation, execution, and monitoring of an effective quality assurance and improvement program
Coordinates the purchasing, managing and monitoring of assets within the department
Data analysis concepts and techniques, familiarity with databases, data extraction, and data analytics
Experience with data mining and analysis utilizing analytical software (e.g., ACL, SQL)
Access and programming languages such as VB and/or SQL to develop ad-hoc tools and queries / reports
Experience with internal auditing (i.e., writing test procedures, documenting work performed, drawing conclusions, an identifying issues)
Experience with internal audit quality assurance and improvement programs
Intermediate to advanced knowledge of Microsoft Office Suite: Excel, Word, PowerPoint
Audit Management System administration (TeamMate) and data analysis tools experience desired
Any equivalent combination of education, training or experience approved by Human Resources

Internal Auditor Professional Practices Group Resume Examples & Samples

Providing guidance, training and tools that enable auditors to perform designated jobs more effectively
Updates KPIs, metrics, and other presentations. Identifies enhancement opportunities and implements / supports manager
Fosters continuous improvement within the department

Associate Internal Auditor Resume Examples & Samples

Day to day supervision of assigned Internal Audit Staff to ensure they complete assignments effectively and efficiently
Development of audit programs that are easy to follow, detailed and written to accomplish audit objectives
Assist Internal Audit Staff in developing audit findings that are thoroughly developed, well documented, factually supported and stand up to scrutiny by auditors and management
Schedule and conduct opening and closing engagement conferences
Manage consulting engagements when assigned

Team Leader Internal Auditor W/M Resume Examples & Samples

University degree plus 6 to 10 years experience acquired through working at an external audit firm, complemented with some years in industry in an assurance, process control or risk role
Sound understanding of controls & risks and their application to the business environment
Possess an internationally recognized business or financial professional certification
Must have work experience and exposure in the region
Prefers making self a professional assessment of a process, rather than just executing compliance type tests on transactions
Must enjoy working in challenging work environments with short audit cycles and be able to adopt quickly to different assignments or businesses
Good influencing and inter-personal communication skills
The role requires significant travel

Internal Auditor Mgr K Resume Examples & Samples

Sarbanes Oxley; auditing Skills; project management skills; excellent communication skills and problem solving skills
The ideal candidate will have public accounting and management experience
3 or more years auditingexperience
Capable of traveling 25% of the time

Master Internal Auditor Resume Examples & Samples

Bachelor degree in Accounting/Finance, Business Management, Technology-based (Computer Science) or Mathematics
CPA, CIA or Master Black Belt or equivalent required
9 years of auditing experience
Expertise in the core methods and tools of continuous process improvement (i.e. Lean, Six Sigma) with proven ability to deliver improvements to business performance
Extensive knowledge of audit standards and processes from both professional standards and Control and Audit methodologies
Prior leadership experience, including developing organizational objectives, developing staff capabilities and leading projects
Leadership skills centered around building credibility and influencing senior leadership
Strong communication and presentation skills, verbal and written
Extensive project management experience

Internal Auditor IT Resume Examples & Samples

Ability to work independently, yet effective in a team environment
Strong analytical and technical skills. Experience leveraging audit technology such as IDEA is a plus
Experience in developing, executing and documenting audit test steps
Experience working with intrusion detection/prevention systems, vulnerability management, threat analysis, anti-virus software, firewall administration and SIEM
Experience working with different environments (Windows, UNIX), web applications, network administration (Firewalls, Routers/Switches), Windows active directory and Information Security
Ability to clearly and concisely articulate issue findings and provide written recommendations by demonstrating sound judgment
Strong English communication skills including both written and verbal. Experience in writing audit reports
Ability to establish and maintain effective relationships with management and other control partners to analyze business risks and controls
Excellent organizational, project management, leadership and presentation skills. Ability to handle confrontational situations
Lead, supervise and/or mentor junior auditors
Bachelor Degree or equivalent at a minimum
Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), or related information systems certification would be preferred
Working knowledge of Oracle is preferable
Knowledge of COSO, COBIT, NIST and/or ISO 27001 control frameworks
The ideal candidate will have at least 10-15 years of working experience in IT audit and/or IT audit consulting

Internal Control Auditor Resume Examples & Samples

Capture the existing process and control points through walkthrough and narratives for key financial and business processes
Evaluate the adequacy and effectiveness of internal controls for key financial and business processes – revenue, expenditures, closing the books, IT general controls, etc
Test internal controls for various businesses within the division
Prepare work papers that summarize test results
Recommend corrective actions and improvements where needed and appropriate
Upload information (documentation/testing) into a central repository (ARC Logics risk management tool)
Update monthly dashboard reporting for management
Update quarterly and monthly reports for Corporate
Assist in evaluation and risk assessments for audit planning
Ad hoc projects within the scope of Internal Controls, including coordination of business continuity activities, SoD review, etc
Possible limited travel, up to 10%
Bachelor Degree in Accounting (preferably), Accounting Information Systems, or Finance
A minimum of 3 years’ audit experience – either in public accounting/audit firm or with a corporate audit team
CPA/CMA and/or CIA and/or CISA
Team facilitation skills
MS Excel advanced skills
Sarbanes-Oxley or similar audit code
Principles and practices of business process improvement; COSO techniques and concepts

Ccar Quant Internal Auditor Resume Examples & Samples

Support efforts in model validation, model audit and model documentation of statistical and financial models
Graduate or post-graduate degree in a quantitative field including Statistics, Econometrics, Economics, Engineering, Mathematics or related field or equivalent experience
6+ years of experience in quantitative roles in Financial Services industry
6+ years of statistical analysis and modeling using statistical software using SAS
6+ years of financial services industry experience (capital markets knowledge preferred)
Knowledge of capital markets and associated risk factors
Working knowledge of current regulatory landscape (i.e., CCAR, Basel)
Proven experience in developing, validating, and maintaining stress testing / forecasting models for various financial scenarios that incorporate economic and market factors
Excellent problem solving analytical skills, detail-orientation, independent thinking, and organizational skills
Strong verbal and written communication skills and strong interpersonal skills with the ability to articulate assumptions, methods, and results to peers and management
Strong SAS skills, experience with R and MATLAB a big plus
Programming skills in VBA, C/C++, C#, VB, Java, Python SQL etc
Hands-on experience with econometric modeling techniques (regression, time-series, volatility, Monte Carlo, and multivariate models) and statistical modeling

Internal Auditor Internal Auditor Resume Examples & Samples

BS in Accounting or related field required
Achievement of or progress towards professional certification, CPA, CIA preferred; CISA, CFE valued
Experience at one of the following
This position requires overnight travel, domestic and international, of approximately 25 – 30%
2nd language skills (Spanish and/or Portuguese) are valued
Understand and apply Company’s internal controls and accounting policies, as well as Generally Accepted Accounting Principles (GAAP) and Generally Accepted Auditing Standards (GAAS)
Develop, and leverage, knowledge of Crown’s information systems and their application
Identify risk and assess the effectiveness of control activities; including performance of Sarbanes-Oxley (SOx) testing of the design and effectiveness of internal controls over financial reporting
Create organized “stand alone” workpapers to support audit testing and report findings
Review workpapers and report drafts to ensure that all significant accounting, auditing and reporting issues have been identified and communicated
Complete assignments in a timely fashion
Evaluate and improve on the effectiveness and efficiency of the audit process by continually challenging and improving our audit procedures
Utilize exposure gained from assignments to build knowledge of the company’s business for future opportunities outside of Internal Audit
Contribute to on-going risk assessment
Miscellaneous duties as assigned
Professionally and effectively interact with all levels of Department, Plant, Divisional and Corporate Management
Ensure that work product is complete and that all issues are appropriately raised
Inform the Manger of Internal Audit of assignment progress on a real-time basis
Strategically identify and use the best medium of communicating for any given situation
Utilize good listening skills
Draft reports for Manager’s review, ensuring that issues are clearly and fairly communicated
Market the Department and the services available to end users

I.T Internal Auditor Resume Examples & Samples

Assists with the development and implementation of audit plans to monitor and assess operations, policies and procedures of the organization's major functional areas
Analyzes all audit results to develop recommendations for resolving identified issues and to develop best practices
A minimum of two years internal audit experience is preferred
Required Experience: A minimum of four years progressive professional and functionally relevant healthcare work experience in a hospital environment. Working knowledge of compliance guidelines for CMS, Joint Commission, Federal, State, Local laws and regulations. Excellent problem solving, written and verbal communication skills & effective interpersonal skills at all levels of the organization required. Understanding of Healthcare Revenue processes

Analyst, Internal Auditor Resume Examples & Samples

General team administrative duties
Degree holder in Engineering, Finance/Business or related disciplines
2-3 years of work experience in internal audit experience within the banking and financial services industry
Strong eagerness to learn and develop audit skills
Excellent attention to details
High sense of accountability for his/her responsibilities and actions
Innovative and able to think outside the box
Confident and able to work well with stakeholders at all levels
Positive work attitude and strong analytical skills
Strong communication, presentation and report writing skills
Experience with Microsoft office
Fluent in both written and spoken English

Internal Banking Auditor Resume Examples & Samples

Capital Markets Sales and Trading businesses including Equities, Fixed Income, Currencies and Derivatives
Front to Back Capital Markets processes, including Operations, Finance and Risk Management
Best Practices and Controls required to operate Capital Markets Businesses

Associate Internal Auditor Resume Examples & Samples

Participate in the planning of specific internal audits, including the development of risk assessments and audit programs
Perform financial, compliance and internal control audits, including workpaper preparation
Test financial, anticorruption and antifraud controls
Discuss initial observations and recommendation with the Internal Audit Senior/Manager and auditee to gain agreement on the observations and appropriate next steps
Assist in drafting audit reports and discussing final observations and recommendations with Internal Audit Senior/Manager and auditee
Work under moderate supervision with latitude for initiative and independent judgment
Consistently maintain a professional demeanor and communicate in a respectful manner
Follow direction, be engaged, productive and flexible to changing conditions and expectations
Collaborate with and support other members of the Internal Audit team and Company
Maintain punctual, regular, and reliable attendance
Demonstrate the Company's core values and comply with all Company policies and procedures
Bachelor's Degree in Accounting with a minimum of 2 years audit experience, preferably in public accounting or internal audit
CPA/CIA (or candidate) preferred
Working knowledge of the principles, practices and techniques of accounting and auditing
Ability to create efficient and accurate workpapers to document the work performed
Experience with Sarbanes-Oxley requirements
Working knowledge of Microsoft Office and Windows software
Learn and quickly understand complicated processes and procedures
Work semi-independently, plan, organize and manage time efficiently
Ability to gather, analyze and evaluate facts and draw valid conclusions
Tact and ability to conduct yourself and to communicate in a manner to gain the respect and confidence of employees at all levels from staff to senior management, both orally and in writing, including the ability to interview persons to extract sensitive information
Ability to maintain confidential and sensitive materials and information

AML / KYC Internal Auditor Resume Examples & Samples

Preparing clear and concise planning document, risk/control matrix and audit workpapers
Mentoring/coaching individuals that are working on the audit
Ability to work independently
Analytical: ability to document key risks/controls and develop an audit approach for testing controls, and analyze control weaknesses in terms of risk/exposure and develop practical recommendations to improve controls
Knowledge of financial services with exposure to Broker-Dealer compliance, surveillance and trade reporting conduct risk processes and controls
Series 7 and/or series 63 exam
French, Spanish or Portuguese language skills also considered a plus

Auditor Internal Resume Examples & Samples

Monitor the implementation of Mandates in all Business Areas as per the need for that specific area
Ensure optimal positioning of Operational Risk within the business by creating awareness and understanding of operational risk among senior management
Assist the Audit Manager with planning and execution of Design Effectiveness and Operating Effectives Testing, uniformly applying the methodology and quality standards, focusing the work on key risks, with minimum supervision from the audit manager
Engage proactively with Internal Audit colleagues Absa Internal Audit (AIA) / Barclays Internal Audit (BIA) during assignments and request technical assistance where required. Technical assistance may be requested for the review of the risks and controls to be tested, audit working papers and audit report
Based on knowledge of business areas, provide guidance to other auditors and peers by sharing best practice so that their work meets and sometimes exceeds quality standards
Support the Audit manager in the identification of risks to be tested by participating in planning sessions
Develop an in-depth knowledge of Absa and the various business areas and use this knowledge to assess risks and controls through identifying, assessing and documenting risks and controls within these processes
Evaluate the design and operating effectiveness of controls and document all working papers in Synergy for review by the audit manager
Ensure all audit observations and planned actions are factually agreed with management as soon as they arise and increase the speed of report issuance. Provide suggestions to stakeholder management on how they can address the control issues identified
Display professional skepticism, raising and discussing contentious observations with management and provide evidence to support all issues identified
On an ongoing basis throughout the audit, discuss and agree the factual accuracy of audit observations with the Audit Manager and Head of Audit
Provide feedback to the Audit Manager and audit team with progress and observations raised during the audit by communicating honestly, frequently and effectively. Build and maintain good working relationships with fellow auditors
Participate fully and be supportive in all audits by providing assistance to the team where required. Be quick to learn and seek opportunities to share this knowledge with colleagues
Continue to update awareness of risk issues and changes across selected business units from interaction with management and provide feedback to the Audit Manager
Assist in the induction of new joiners, mentoring less experienced team members
Proactively take on additional tasks as requested by the Head of Audit – which may include managing Issue Assurance and production of team Management Information
Perform Issue Assurance testing and documenting of the working papers in accordance with the requirements of the Methodology
Improve technical knowledge through self-learning or training including mandatory Continuous Professional Education requirements
Share knowledge with AIA colleagues and peers in the business
Develop and enhance learning through seeking coaching, training and continual feedback
Coach new joiners and trainees on how to apply the methodology. In addition, to proactively share knowledge of within the team, leading a session at a team meeting
Build knowledge of business and culture in business units for the Retail portfolio as assigned by the Audit Manager
Knowledge of key regulations, including FIC, KYC and AML, Sanctions, for business areas /locations within remit
Prepare audit observations and make sure that they are concise, factually accurate and cover all of the significant issues. The observations must be insightful, address the root causes, and have agreed actions that fully mitigate the risk
Assist the Audit Manager where required, in the drafting of the audit report in line with methodology requirements and as per the requirements of the Balanced Scorecard
Develop and maintain relationships with accountable management on each audit
Present effectively at stakeholder meetings and forums (e.g. Risk and Governance forums) to share knowledge and information including methodology, standards, changes and new developments with business stakeholders on an ongoing basis

Professional Practices Internal Auditor Resume Examples & Samples

Assist with performace of comprehensive risk assessments and engagement planning
Executing audit work as assigned and required
Bachelor degree in Accounting, Finance, or Business Administration or other relevant field required
Professional certification (Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA)) or other relevant certification preferred
Detail-oriented and proficient in Microsoft Office applications

Experienced Internal Auditor Resume Examples & Samples

Performs substantive testing verifying the effectiveness of established processes and procedures and verbally communicates and confirms findings/observations identified through detailed testing
Successfully manages competing demands and is able to monitor that their individual work is delivered on time and within budgeted hours
Conducts client interviews to understand and document processes and procedures
Reviews organizational data, policies, processes, procedures, and practices in order to verify the accuracy and compliance with management expectations, regulatory requirements, and overall best practice
Results of project work will be a draft formal, professionally written recommendations to executive management on organizational improvement opportunities
As a service provider and internal advisor, is professional in appearance and interactions. This will include working with those whose first language may not be English
Ability to present information to client, internal department, and/or large groups of employees
Interpret a variety of instructions furnished in written, oral, diagram, or schedule form and to work independently
Requires basic analytical and quantitative skills
Proficient in Visio, PowerPoint, EXCEL, Word, and Outlook
Decisions made with general understanding of procedures and company policies to achieve set results and deadlines

Internal Control Auditor Resume Examples & Samples

Assess the design and the effectiveness of key process controls using relevant methodology as defined by Corporate (direct testing, self-assessment)
Develop and maintain knowledge of Group policies, procedures and systems, of the financial reporting standards, and of accounting and auditing practices
Ensure Local process owners have validated the control design before testing
Bachelor’s degree in Accounting or equivalent discipline
Minimum 2 years of experience in audit/control, accounting/controlling or process analysis (quality, consultancy )
Overseas work or study experience would be advantageous
Fluency in spoken and written English
Self-motivated and able to work under pressure
Excellent interpersonal skills with the ability to work with all levels in the organization
Travel requirement: 30% within China and the APAC region
LI-JW1

Manager, Internal Auditor Resume Examples & Samples

2 years of corporate industry experience with emphasis on financial and accounting applications, and financial and operations controls
1 year of experience managing audits, including the management of projects involving multi-disciplined, cross functional and interdependent departments
Managing teams of audit professionals in a corporate environment, including managing external auditors, internal auditors, consultants, and compliance professionals
Working with SOX and COSO 2013 frameworks and performing deficiency assessments for SOX year-end procedures
Using anti-fraud procedures, controls and investigation techniques, and ERM frameworks
Working in accordance with regulatory obligations as they relate to SEC reporting and funds management
Working with financial systems implementation and evaluation techniques; and,
Performing financial risk assessment using IFRS

Internal Credit Auditor Resume Examples & Samples

Coverage & Investment Banking Division that is responsible for the global management of the bank’s largest U.S. Multinational clients, as well as domestic marketing of the bank’s products to the U.S. subsidiaries of non-U.S. Multinational clients. The group’s business is built on long term relationships with some of the world’s largest and well known companies, and fully leverages the bank’s geographic and product capabilities. A sub-group that manages relationships with financial institutions provides an array of innovative products including derivatives solutions for risk management challenges, structured products for portfolio management and high net worth markets, as well as providing capital growth and formation products such as debt capital markets and tax and debt advisory
Global Finance Group provides issuer clients (corporates, financial institutions, public sector) with capital raising solutions, along with structured financing and commodities, forex and interest rate hedging. The Group is developing tailor-made products and providing strategic advice (capital structure advisory, financing schemes and capital markets) based on our worldwide expertise and in-depth sectorial knowledge, we aim to meet clients’ financing needs. SG is a top player across euro debt capital markets and has won many international awards over the years as a worldwide leader in export, project and natural resources & energy finance
Analytical skills: Ability to assess credit exposures and credit risks, and to develop an audit approach for testing controls. Analyze control weaknesses in terms of risk/exposure and develop practical recommendations to improve controls
Communication: Good written and verbal communication skills
Team work – ability to work well within a team environment
Project management - ability to organize work to meet deadlines
Results Orientation: Demonstrates initiative, integrity, creativity
Credit risk review or credit audit experience within large bank/corporate investment bank

Entry Level Internal Auditor Resume Examples & Samples

Audit planning and execution, including risk assessment, process analysis, and control evaluation specifically focused on technology
Execute integrated IT audits of technology application and configuration controls; which includes providing reasonable assurance that application controls are properly configured and optimized to insure integrity, accuracy, and completeness of data
Execute audits of program management and project life cycle controls; which include ensuring IT programs are effectively and efficiently managed, while also verifying alignment with organizational objectives
Coordinating the work of other project members on leadership assignments
Providing ongoing internal control consulting
Partnering with Management in support of key initiatives and projects
College degree – Major preference of Computer Science, Information Systems, or Accounting
0-2 years experience within any of the following areas: Accounting, Banking, Financial Services, Finance, Insurance, or Internal Audit a plus
Ability to work independently as well as in a strong team environment
Basic understanding of audit theory and application
Flexibility, adaptability and comfort in dealing with the unknown
Understanding of fundamental IT concepts
Basic critical thinking and problem solving skills around business issues
Proficiency in business-related computing applications (e.g., Microsoft Office applications)

Group Internal Auditor Resume Examples & Samples

Quality and timely completion of audit planning and preliminary risk assessment, as documented in the Risk and Planning Memo (RPM)
Progress and quality of the fieldwork, including thorough implementation of the Audit Program
Quality and timely completion of the Audit Report
Quality and timely completion of Action Plan Follow-up
Complete work for the Risk and Planning Memo (RPM) and Audit Program, as delegated
Manage individual travel plans (visas, flights, hotels, etc.), in close coordination with the Audit Lead
Complete all steps of the Audit Program, as delegated, communicating any changes that are made to the Audit Lead
Ensure thorough Testing and Documentation in the audit software, including

Principal Internal Auditor Resume Examples & Samples

Minimum 6 years of related experience
Proficient in written and verbal communication skills
Experience leading teams, identifying priorities and maintaining focus
Proven success building relationships by modeling professional communication, appearance, competency and integrity
Knowledge of project management principles to balance audit objectives, budget and schedule
Demonstrates business acumen, problem-solving and computer skills
Self-motivated, organized, effectively achieves team and group goals
Take lead role in identifying root causes of business related problems and effectively define issues and propose solutions
Contribute to timely and accurate completion of assigned audit work in a manner consistent with the Standards for the Professional Practice of Internal Auditing and the professional standards of conduct of the Institute of Internal Auditors
Assist the IPM in conducting ongoing audits, identifying critical control issues, and recommending corrective actions
Draft audit programs that include identification of risks, controls and fraud indicators
Ensure that audit work papers are documented in accordance with the audit methodology and that they meet quality requirements
Prepare draft audit reports with documented background, objectives, findings and recommendations
As team lead, ensure that the work of staff auditors is performed in accordance with professional and organizational standards
Identify team performance issues to IPM
Participate in planning assignments for and providing technical assistance and information to audit team members
Perform follow-up related to audit findings
Take responsibility for increasingly large and/or complex audits
Maintain professional development goals
Provide training and support on the use of the software system
Demonstrate a commitment to diversity
Participate on integrated audits
Build partnerships within audited areas
Takes responsibility for executing portions of audits and coordinating work of teammates
Prepares agendas for and conducts status meetings and
Prepares team assignments
Identifies team effectiveness and efficiency issues
Bachelor's Degree with 6 years related experience or 4 years experience with Masters degree

Associate Internal Auditor Resume Examples & Samples

Interface with the company’s management to ensure that processes and internal controls are effective in managing operational, financial, regulatory, and business risks
Execute audits and analysis under minimal supervision
Compose internal audit reports to senior management and external auditors
Consult and advise operations, sales, finance, and accounting managers on risk mitigation strategies and efficient operations practices
Participate and advise cross-functional teams to design (or redesign) and implement effective and efficient internal controls and best practices
0-2 years in accounting or internal audit experience
Process development and project management experience preferred
Excellent verbal / written communication, presentational, and analytical skills
Proficient in Microsoft Excel, Access, and PowerPoint; possess the ability to quickly learn new tools
Software and/or services industry experience helpful

Principal Internal Auditor Resume Examples & Samples

Assists or conducts assigned activities related to the organization's compliance with the Sarbanes Oxley Act. Helps develop and implement strategies for all activities relating to compliance. This includes the SOX 404 repository for process documentation, risk and control matrices and flowchart diagrams maintained in Workiva and all related management and status reporting
Assists or conducts daily operations in support of financial controls testing for SOX 404 compliance. Reviews financial reporting, identifies process deficiencies and improvements, and reports test results to appropriate levels of management. Stays abreast of changes in regulations to ensure the organization's timely compliance
Assists or develops audit programs and outlines, to include scope of testing for assigned audits following the annual Master Audit Plan and identified by the Sr. Manager of Internal Audit
Keeps Sr. Manager of Internal Audit informed of progress and problems; works with appropriate levels of management in areas being audited; keeps operational management informed of project objectives, scope, findings, recommendations, and overall programs. Within the scope of each audit, is responsible for: (a) reviewing and appraising the soundness, adequacy, and application of accounting, financial, and other operating controls and promoting effective control at reasonable cost, (b) ascertaining the extent of compliance with established policies, plans, and procedures, (c) ascertaining the extent to which company assets are accounted for and safeguarded from losses of all kinds including the investigation and summarization of all instances of corporate embezzlement and fraud, (d) ascertaining reliability of management data developed within the organization, and determining accurately and promptly whether they reflect actual operations and results, (e) appraising the quality of performance of operating personnel in carrying out their assigned responsibilities, (f) making recommendations on methods to improve controls and effectiveness, (g) working with areas audited to aid in implementing recommendations, (h) coordinating activities with Management to best achieve audit objectives and the objectives of the organization
Prepares work papers and other supporting data covering audit findings; evaluates findings and formulates sound, logical conclusions on basis of available facts
Prepares reports on completed audits, and reviews findings and recommendations with Sr. Manager of Internal Audit; presents audit report to appropriate levels of Management
Assists outside Public Accountants (Deloitte) with their review of various company financial records for accuracy and acceptability. Participates as appropriate and as assigned in the review of account analysis, test of transactions, confirmations and other financial tests as required for year-end closing
Keeps informed on new management techniques and methods to analyze and improve business practices; maintains a working knowledge of accounting principles, computer operations and terminology, company policy and performance with outside organization, regularly networks and benchmarks. Is active member of various professional societies/organizations
Participates, as appropriate, in Planning and Development Committees that are outside of the department
Performs responsibilities to achieve the overall Departmental objectives and policies in a manner that is consistent with the Code of Ethics established for members of the Institute of Internal Auditors
Understanding of the COSO Internal Control Integrated Framework and Sarbanes Oxley requirements
Strong computer application skills, including Microsoft Office products
Experience with automated audit software preferred such as ACL
Must have excellent teamwork and collaboration skills
Bachelors Degree in Accounting, Finance or Business Administration (Masters Degree a plus)
CPA, CIA, or comparable certifications
CFE, CISA or other Internal Audit related certification a plus
4 - 6 years experience in progressive business background including but not limited to experience in the following areas

Associate Internal Auditor Resume Examples & Samples

Bachelor’s degree, preferably Accounting or Finance
1-2 years of experience in SOX/Internal Audit/Revenue function in Technology Firms
Basic understanding of Sarbanes-Oxley Act, Section 404
Knowledge of accounting best practices
Ability to learn industry standards

Internal Auditor Jobs Resume Examples & Samples

Recommendations on process improvements
Researching and applying best practices
Managing and supervising staff
Reviewing the work/documentation of direct reports
Performing other various duties as necessary
Bachelor’s Degree in Accounting or related field
1 – 10 years of recent external and/or internal audit experience, Big 4 is a plus but not required
Willingness and ability to travel (varies based on company)
CPA, CIA or other certification is also a plus but not required

Assoc Internal Auditor Resume Examples & Samples

Bachelor degree OR have completed an HCSC internship OR 1 year business experience at HCSC
Knowledge of accounting, finance, systems analysis (manual systems), word processing, spreadsheet and data base software
Bachelor degree in Information Systems, Accounting or Finance.IL - Chicago, TX - Richardson

Associate Internal Auditor Resume Examples & Samples

Execute all areas of audits including risk assessments, audit planning, audit testing, control evaluation, report drafting, and issue remediation
Technical Resource for the group over information technology related issues. Work closely with business units and audit colleagues to identify and assess risk and controls to support adequate audit coverage
Undergraduate degree in Business, Management Information Systems, Computer Science or related discipline
Preference will be given for experience in financial services (e.g., Broker/Dealer or RIA)
General understanding of internal control and the demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks

Associate Internal Auditor Resume Examples & Samples

Perform audits resulting in assurances that our internal controls and processes meet world-class standards
Bachelors Degree in accounting or finance; accounting preferred
Strong team building skills and the proven ability to work with a diverse group of people
Ability to develop high levels of credibility and forge solid and positive professional relationships with subordinates, peers, and management are prerequisites to success in this position
Self motivated and ability to work independently
Fluency in English and Spanish preferred

100

Associate Internal Auditor Resume Examples & Samples

Work with a more senior team member to perform assigned audit and advisory work. Analyze and evaluate existing systems, processes and controls to determine the adequacy of operating procedures, effectiveness of internal controls and monitoring, and reliability of financial information reported on the organization’s general ledger. Document recommended procedural changes to facilitate the safeguarding of assets, reducing costs and improving operating efficiency
Bachelor’s degree in accounting, business or related field or equivalent education and related training
One year of experience in auditing, banking or related field

101

Associate Internal Auditor Resume Examples & Samples

Developing specific audit procedures to accomplish the objectives of the audit to determine whether assets are adequately safeguarded and whether policies, plans, and procedures are complied with and whether management reports are accurate
Performance of thorough studies of business processes for areas under audit. Performance of specific audit tests and thoroughly documenting work performed in the audit workpapers. Drawing conclusions based on the results of tests performed
Holding preliminary discussions of the audit findings and results with operating personnel to verify facts and to ensure that everyone has a thorough understanding of the nature, source and extent of the issue. Also, input and action plans of operating personnel are obtained
Communicating effectively with the other audit team member(s) on progress/significant developments and respond to review notes developed by the In-Charge Auditor, and the Audit Manager
Staying current on business trends and practices by reading business periodicals, becoming involved in professional associations and through continuing education
College degree with major in accounting, finance, business administration, computer science or operations management
Accounting experience or auditing experience is desirable, but not necessary. Foreign language skills, particularly French, Spanish or Chinese would also be desirable
The Associate Internal Auditor is expected to work towards a professional designation such as CPA, CMA, or CIA
The auditor should have good written and oral communications and be able to work well with others in the department and with audit customers. The auditor should be willing and able to travel

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