Chief Auditor Resume Samples

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L Flatley

Liliane

Flatley

96042 Cleta Shoal

San Francisco

+1 (555) 864 0505

96042 Cleta Shoal

San Francisco

Phone

p +1 (555) 864 0505

Experience Experience

Boston, MA

Chief Auditor

Boston, MA

Corwin Inc

Boston, MA

Chief Auditor

Drives the strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, for technology infrastructure and information security which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
Directs audit activities supporting product lines, functions, or legal entities at the global or regional level, in accordance with IA standards, Citi policies, and local regulations. Responsible for providing valued and timely independent assurance on the design and operating effectiveness of controls over technology for a product, function, or legal entity at a global or regional level
Deliverslearning and development programs and is a recognized leader in training anddeveloping others
Delivers high impact reports of IA's contributions to executive management, regulators, and Citigroup and Citibank boards' sub-committees, developing trend analyses and thematic reporting
Building of strong networks and strategic relationships across the organization and with external parties to create buy-in and support for control concerns
Works closely and collegially within IA and with line management and control functions to ensure efficient and effective provision of independent audit assurance
Collaborates across businesses and functions to improve the identification, quantification, measurement, management, reporting and controls in governance, risk management and internal control environments

Houston, TX

Chief Internal Auditor

Houston, TX

Kihn-Champlin

Houston, TX

Chief Internal Auditor

Determine that the University’s overall system of internal control and the controls in each departmental unit or activities under audit are adequate, effective, efficient and functioning by conducting audits on a periodic basis so that all major systems are reviewed
Review the systems established to ensure compliance with policies, procedures, laws, and regulations, and University and employee compliance with such
Review the means of safeguarding assets and, as necessary, verify their existence
Review and appraise the efficiency and economy with which resources are employed
Review operations and programs to ascertain whether the operations or programs are being carried out as planned
Review management’s processes for identifying and managing risks
The Chief Internal Auditor works independently to complete all assigned tasks

present

Philadelphia, PA

Executive Assistant to the Chief Auditor

Philadelphia, PA

Hane, Ankunding and Corkery

present

Philadelphia, PA

Executive Assistant to the Chief Auditor

present

Assisting in the handling of corporate credit cards
Maintaining necessary kitchen and office supplies, making requests through Marketplace/P2P
Administering filing systems and physical records management
Leading logistical arrangements for staff training courses held in the location
Coordinating onboarding activity in relation to new joiners and co-source staff
Administering parking spaces
Prepares internal/external correspondence in addition to maintaining, answering and routing correspondence not requiring the manager’s attention

Education Education

Bachelor’s Degree in Accounting

Liberty University

Bachelor’s Degree in Accounting

Skills Skills

Ability to quickly assimilate relevant information in unfamiliar situations
Ability to build strong relationships with operational management
Experience in managing and supervising diverse team, appraise individual potential, motivate teams, transfer knowledge and develop capability in team members
Thorough knowledge of IIA Standards for the Professional Practice of Internal Auditing
Responsible forthe delivery of high quality, value-added multiple concurrent audits on timeand to specification
Sound judgment and ability to act independently
Strong influencing and negotiation skills
Excellent listening, verbal, written and presentation communication skills
Strong analytical skills and curiosity to challenge
Developsapproaches to promote knowledge sharing and promulgates management best practicesacross Internal Audit and both Citibank and Citigroup

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Chief Auditor Resume Examples & Samples

Drives the strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, for technology infrastructure and information security which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
Attends key Technology Infrastructure and Information Security committees to inform and to provide feedback on IA’s opinion on the controls over risk in technology in the organization
Uses excellent communication, leadership and strong management skills to influence a wide range of internal audiences including respective product, function, or regional executive management partners and external audiences including regulators and external auditors. Frequently engages in both internal and external negotiations which will have a major impact on the function, and on the organization as a whole
Directs audit activities supporting product lines, functions, or legal entities at the global or regional level, in accordance with IA standards, Citi policies, and local regulations. Responsible for providing valued and timely independent assurance on the design and operating effectiveness of controls over technology for a product, function, or legal entity at a global or regional level
Possesses a broad and comprehensive understanding of multiple disciplines (Audit, Risk, Compliance, and Training) and of different internal audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including Consumer or Investment Banking, corporate functions, technology management; project/program management; or supplier management
Specific subject matter expertise regarding technology infrastructure, information security and technology governance disciplines

Gf-asean Regional Chief Auditor Resume Examples & Samples

Candidates should have at least 15 years of diversified financial management experience, including experience in corporate and consumer banking and audit in ASEAN. International experience is preferred
Bachelor degree required; Masters Degree is a plus. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
Should be fluent in written and spoken English
They should have a thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. He/She must be proficient in risk and control analysis and audit concepts for a number of products and specialized areas and will be skilled at analyzing root causes of problems and anticipating 'horizon' issues
Should be a strong leader with a proven track record in managing high-performance teams in the context of making a broad, positive impact on the organization. He/she should be effective at strategic team design, recruitment and the professional development of highly experienced staff. Effectiveness in working within a matrix organization is essential

Chief Auditor Treasury Resume Examples & Samples

Responsible to oversee the delivery of high quality, value-added multiple concurrent audits on time and to specification
Manages multiple teams of global or regional Audit professionals through other senior managers. Recruits staff, develops talent, builds effective teams, and manages a budget. Identifies internal talent and fills key positions, attracts talent with required expertise to meet the risk profile of the business, builds deep bench strength and develops appropriate succession plans. Possesses a broad and comprehensive understanding of multiple disciplines (Audit, Risk, Compliance, and Training) and of different Audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including Consumer or Investment Banking, technology management; project/program management; or supplier management
Proactively advances integrated auditing concepts. Leverages Internal Audit's Centers of Excellence to improve audit processes and coverage
BA/BS or equivalent. Related certifications (FRM, CQF, CPA, ACA, CFA, CIA or similar) are a plus
Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of liquidity risk management methodologies, especially those associated with the Corporate Treasury business

Chief Auditor Resume Examples & Samples

Drives thestrategic direction of Citi’s Internal Audit (IA) function in the establishmentof risk based auditing and branch examinations, which include reportingmethodologies, organizational design and effective positioning of the functionto ensure provision of independent assurance. This is to be consistent andaligned with Citigroup and Citibank business objectives
Uses excellentcommunication, leadership and strong management skills to influence a widerange of internal audiences including respective product, function, or regionalexecutive management partners and external audiences including regulators andexternal auditors. Frequently engages in both internal and externalnegotiations which will have a major impact on the function, and on theorganization as a whole
Directs auditactivities supporting a product line, function, or legal entity at the globalor regional level, in accordance with IA standards, Citi policies, and localregulations. Responsible for providing valued and timely independent assuranceon the design and operating effectiveness of a product, function, or legalentity at a global or regional level
Responsible forthe delivery of high quality, value-added multiple concurrent audits on timeand to specification
Ensures thedelivery of audit reports and (where appropriate) branch examinations, that arecomplete, insightful, timely, error free and concise
Ensures timelydelivery of high-quality comprehensive regulatory and internal audit issuevalidation, and where determined appropriate issue validation on otherremediation actions, including issues arising from the external auditors,consultants and other parties
Contributestowards the delivery of high impact reports of IA's contributions to executivemanagement, regulators, and Citigroup and Citibank boards' sub-committees,developing trend analyses and thematic reporting
Manages multipleteams of professionals. Recruits staff,develops talent, builds effective teams, and manages a budget. Identifies internaltalent and fills key positions, attracts talent with required expertise to meetthe risk profile of the business, builds deep bench strength and developsappropriate succession plans
Possesses abroad and comprehensive understanding of multiple disciplines (Audit, Risk,Compliance, and Training) and of different Audit standards, policies and localregulations; applies a broad and comprehensive understanding of high risk areasincluding Consumer or Investment Banking, corporate functions, technology management;project/program management; or supplier management
Deliverslearning and development programs and is a recognized leader in training anddeveloping others
Developsapproaches to promote knowledge sharing and promulgates management best practicesacross Internal Audit and both Citibank and Citigroup
Delivers costeffective and efficient management of audit teams and audit engagements
Ensures IA anticipates/meets/exceedsthe requirements and expectations of Citibank’s and Citigroup's regulators
Works closelyand collegially within IA and with line management and control functions toensure efficient and effective provision of independent audit assurance
Collaboratesacross businesses and functions to improve the identification, quantification,measurement, management, reporting and controls in governance, risk managementand internal control environments
Takesresponsibility and accountability of audit's coverage and reporting on commonhigh risks areas such KYC, AML, Fraud, Technology, Sanctions, and Consent Ordersand other enforcement action compliance
Activelysupports and drives the Internal Audit Transformation Program and IA’s andmanagement’s efforts for Citi to have a “Strong” internal audit function andfor Citi to have “Strong” control functions
Fully supportsand endorses the Quality Assurance function of Internal Audit and promptlyaccepts and remediates deficiencies found by QA
Ensures theadoption of the appropriate portions of the Citigroup and Citibank Audit CommitteeCharters and the Internal Audit Charter for applicable legal entities
Proactivelyadvances integrated auditing concepts. Leverages Internal Audit's Centres ofExcellence to improve audit processes and coverage
BA/BSor equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) area plus
Advancedlevel experience in an ICG technology audit or business/technology related rolewith extensive experience in business, functional and people management, withproven abilities in taking responsibility for executing concurrently on aportfolio of high quality deliverables according to strict timetables
Subjectmatter expertise regarding Markets and TTS disciplines, with Private Bankingexperience preferred
Demonstratedexperience in managing large global teams teams and managing integratedinternal audit and assurance delivery within a matrix reporting environment
Aself-aware, self-confident individual who has well developed listening skills,and a strong ability to engage a group of accomplished business unit heads byproviding proactive advice on a variety of audit matters while carefullybalancing the independent requirements of the IA function
Effectivenegotiation skills, a proactive and 'no surprises' approach in communicatingissues and strength in sustaining independent views. This individual mustbe an articulate and effective communicator, both orally and in writing, withan energetic, charismatic and approachable style
Stronginterpersonal skills for interfacing with all levels of internal and externalaudit and senior management
Strongleadership skills with a proven track record in managing teams and making apositive impact on the organization

EVP, Chief Auditor Resume Examples & Samples

Direct the independent and objective assessment of risk, control and governance processes, contributing to improvement in operational performance
Ensure internal audit responsibilities are consistently executed in a manner which is balanced, fair, and objective, and ensure the audit function attains the highest level of respect and confidence within the organization
Direct and manage the development and execution of a risk-based program of audit coverage across all businesses and functions to determine adherence to policies and procedures, compliance with laws and regulations, and accuracy and reliability of financial, managerial and operating information
Provide timely and effective communication of audit results and the status of outstanding issues to management, the Audit Committee and regulators; periodically provide senior management and the Audit Committee an independent assessment of the control environment, including trends, hot spots, watch items and lessons learned that cut across businesses and geographies
Serve as primary support for the Audit Committee regarding the effective discharge of their responsibilities; create and execute (in coordination with the General Counsel and Chief Financial Officer) the Audit Committee agenda, ensuring it is strategically designed to cover topics of greatest impact to the firm
Establish strong working relationship with the Audit Committee Chairman to ensure critical known and emerging issues are appropriately discussed and resolved
Continuously assess and enhance core audit processes to effectively maintain a world-class audit practice, including strong execution, in-depth risk assessment and active continuous auditing
Ensure the work and conclusions of the audit department can be relied upon by external auditors and regulators
Maintain operating and staffing models, inclusive of adequate and effective resources, key performance metrics, and disciplined budgeting and expense management processes, to support a high-performing audit team
Lead the recruitment, development, integration, diversification, performance evaluation and succession planning processes for all audit staff; oversee and motivate a high-performing team of professionals located across North America, Asia Pacific, EMEA and South America
Promote and maintain a positive ethical and effective audit control culture throughout the organization, encouraging integrity, diversity, respect, excellence and innovation
Proven ability to develop and sustain strong relationships with executive management, audit management, regulators and external auditors
Demonstrated ability to provide credible challenge regarding critical governance, risk and control processes, influencing appropriate business solutions directed toward improved operating environments
In-depth knowledge of risk management techniques and operational aspects of a complex international financial institution; includes informed understanding of domestic and international banking regulations and accounting pronouncements
Ability to successfully navigate complex institutions, with a focus on how to get things done; includes political astuteness and sensitivity to the organizational culture
History of operating with the highest level of integrity, combined with a low ego and strong team ethos; ability to manage conflict and steer others toward consensus
Ability to question assumptions and anticipate issues before they arise; comfortable expressing an opinion
Proven track record of attracting, developing and retaining high-performing individuals and teams
Ability to deliver audit results meeting or exceeding professional standards and regulatory expectations
Proven thought leadership and successful execution of leading-edge audit strategies, practices and techniques preferred
Superior oral and written communication skills, with the ability to present complex and sensitive issues to senior management
Mature, self-motivated and enthusiastic, with strong business-focused performance discipline; effective under pressure and willing to take personal responsibility
Bachelor degree in Accounting, Finance, Law or related discipline, with professional qualification preferred

Executive Assistant to the Chief Auditor Resume Examples & Samples

Prepares and reviews materials for manager’s use in discussions and meetings
Coordinates work involving confidential company and personnel related information including performance appraisals, travel and expenses, vacation schedules, etc
Trains, coaches or guides other administrative support personnel
Assist the Chief Auditor in the preparation of power point presentations for regulators, townhalls and ad hoc conferences and senior executive meetings
Supports communication activities for the IA location including managing logistics for townhalls and location-wide or team events, and setting up WebEx meetings
Supports administrative activities for the IA location, such as
Administering parking spaces
Coordinating onboarding activity in relation to new joiners and co-source staff
Leading logistical arrangements for staff training courses held in the location
Administering filing systems and physical records management
Maintaining necessary kitchen and office supplies, making requests through Marketplace/P2P
Assisting in the handling of corporate credit cards
Significant experience in the financial services industry
Excellent organizational skills and ability to work proactively without close supervision
Well-developed problem-solving skills
Strong interpersonal skills, strong energy and enthusiasm
Strong communication skills both verbal and written to be able to interact confidently with internal clients

Chief Auditor Aml Resume Examples & Samples

BA/BS or equivalent. Related certifications including CAMS is required and other certifications such as CPA, ACA, CFA, CIA, CISA or similar are a plus
Greater than 15 years of experience in areas related to banking regulations, audits of AML programs, local standards and internal policies. Proven ability in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timelines
Advanced level experience in a related role with extensive knowledge and experience of financial services Compliance and AML programs, regulations, standards and policies
Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of the Financial Services industry, especially those associated with KYC, AML, Transaction monitoring and Sanctions
A self-aware, self-confident individual who has well developed listening skills, and a strong ability to engage a group of accomplished business unit heads by providing proactive advice on a variety of audit matters while carefully balancing the independent requirements of the IA function

Senior Executive Assistant to the Chief Auditor Resume Examples & Samples

Prepares internal/external correspondence in addition to maintaining, answering and routing correspondence not requiring the manager’s attention
Maintains daily appointment calendar and meetings
Coordinates travel arrangements and prepares travel expense statements
Creates and maintains files of manager’s correspondence, records, etc
Assists with ad hoc reports, special projects, organizational charts, etc
Significant senior level EA experience
Excellent knowledge of Microsoft packages, including a proven ability to produce professional power point presentations
Strong judgment and decision making skills

Chief Auditor, Global Market Risk Management Resume Examples & Samples

Actively supports and drives the Internal Audit Transformation Program and IA’s and management’s efforts for Citi to have a “Strong” internal audit function and for Citi to have “Strong” control functions
Control subject matter expert with extensive experience in identifying, analyzing and assessing operational risks across products, business lines and regions
Demonstrated experience in managing teams and managing integrated internal audit and assurance delivery

SVP & Chief Auditor Resume Examples & Samples

The position acts as the HBCA expert in a unique discipline. The incumbent is expected to provide intellectual leadership in the formulation of policies and procedures, and in reviewing product or process design changes
Requires a broad knowledge of the organization’s operations including the branch network, subsidiary businesses, Head Office control and support functions as well as products and services. HBCA business lines are to a large extent inter-dependent and encompass the full spectrum of financial services including Treasury, Securities (retail brokerage, fixed income, equity structured trading and corporate finance), Trust (Private Client Services and Mortgage Banking), Asset Management (Mutual Funds and Discretionary Management), Personal Financial Services, Commercial Financial Services, Telephone Banking, Merchant Banking and Insurance (auto and home)
Requires a broad knowledge of the legislative and regulatory framework for the financial services industry
Excellent interpersonal skills to deal effectively with staff, Senior Management, the Audit Committee, OSFI, CDIC, Group and external auditors. Discussions with business heads are often required to resolve issues
Excellent knowledge of sound auditing principles, accounting, credit, finance, and computer systems/applications
The job requires significant knowledge in multiple disciplines, a detailed knowledge of products, services, processes and systems, and management skills to manage a group of specialists or assess complex projects. The incumbant is expected to hold a university degree or equivalent experience, and a minimum of 15 years of financial services proven experience with exposure in several disciplines

Chief Auditor Resume Examples & Samples

Review, update, maintain and enforce audit-related data management protocols and controls
Review, update, maintain and enforce unclaimed property auditing policies and procedures
Seek and maintain auditing best practices, organization and software tools
Maintain a current understanding of all state, district and territory unclaimed property laws
Oversee and engage on each open audit to ensure application of highest professional standards
Recommend deployments of audit resources to support FRS goals
Ensure that each audit progresses as rapidly as possible consistent with applicable auditing standards and the project priorities established by FRS management
Oversee audit work paper preparation, communications with holders, document requests records analysis and manage remittance/revenue estimates and timing
Engage directly with holders as needed to timely close audits
Assist FRS management in maintaining current tracking for all open audits
Assist FRS management in preparing reports as needed for Xerox sector management
Oversee auditor time & billing tracking and analyze results
Participate as needed in presentations of audit findings, updates and explanations to clients and to holders

Chief Auditor Resume Examples & Samples

Leads the execution and reporting on the quality of controls across all risk creating areas including, but not limited to operations, finance, regulatory, technology, M&A, and clearing
Monitors testing of controls and procedures of complex audit assignments
Advises more junior auditors
Provides input and expertise when presenting to the Audit Committee
Utilizes and encourages use of automated audit tools as an integrating part of audit planning when appropriate

Senior Executive Assistant to Chief Auditor Resume Examples & Samples

Provide full administrative support to the Senior Chief Audit Executive
Work closely with the assigned audit Chief Operating Officer team supporting the Chief Auditor executive
Reply to and formulate correspondence on behalf of the Senior Executive Manager
Use of Lotus Notes/Office and Outlook packages to produce and type documents
Routine letters prepared without manager's approval, more complex correspondence prepared for approval by manager
Diary management – meetings organised and diary invites managed
Meeting papers, agenda items and MI collated for meetings
All action items monitored as appropriate, advising manager of progress
Enquiries directed as appropriate to other members of the management team
Maintain department inventories and records by the use of department internal SharePoint site
Management and control of projects on behalf of the Senior Executive Manager
Regular liaison with Senior Executive Manager's direct reports to ensure that audit projects are on track and that deadlines are met
Co-ordinate travel and accommodation requirements
Work closely with assigned HR generalist to ensure all matters related to the the function are handled promptly and efficiently
Monthly management or departmental organizational charts for regulator deliverables
High level interaction with Senior Executive Assistant of the global head of Audit Senior Executive to ensure quarterly visits and agenda items are properly prepared during US visits
Organise and plan conferences/off-site events including preparation and collation of presentation material
Undergraduate degree preferred
Microsoft Office Specialist (MOS) a plus
10+ yrs of related work experience

VP & Chief Auditor Resume Examples & Samples

Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge
Manages the Annual Planning and Risk Assessment process by preparing the Plan strategy and providing input into the development, completion and reporting of the Annual Audit Plan, ensuring audit methodology is used, objectives are met, Plan is completed, that appropriate working papers are maintained and conform to IIA and Department standards
Validates business line Audit Plans and continuously conducts risk assessments throughout the year to identify other areas of emerging risk for audit coverage consideration and ensures the latest industry standards and regulatory requirements are incorporated to keep the Plan current and robust
Reviews audit issues to ensure internal control weaknesses and root causes are identified, properly defined, documented and reported; ensures issues are understood by senior management and that corrective action will be taken; prepares and reviews audit reports for presentation to line management
Maintains effective internal communication across the Audit Department as well as effective lines of communication with auditees and senior management, including appropriate handling of conflicts and issue resolution
Directs day-to-day activities in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits. Communicates the Bank’s risk culture and risk appetite statement throughout their teams
Creates an environment in which his/her team pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct
Builds a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team
Build a strong relationship with the various regulators in the US, assess emerging regulatory expectations and guidelines and continuously strengthen the US Internal Audit Program
Prior audit experience and highly proficient at applying risk-based auditing standards, practices, techniques, processes and methodologies
Strong knowledge of banking and the financial services industry particularly securities products, operations and regulatory environment
Expert knowledge of the Bank's Compliance Framework
Prior working experience in the US will be an asset

Chief Auditor Resume Examples & Samples

Understand the risk profile of the company
Drive the development of and execute against risk-based audit plans that clearly define the objective and scope of each review, employing critical thinking and appropriate testing methodologies
Present internal audit plan to the Audit Committee on an annual basis for approval
Provide an independent appraisal of controls over financial integrity, operational effectiveness, IT controls for security, privacy and high availability, and compliance with laws and policies
Develop strong relationships with operational management, teaching them how to think about identifying and mitigating risks in their environment
Communicate findings with management in a timely manner, obtaining management agreement on root cause of issues and commitment to implement recommendations
Drive the preparation of presentations to management at the conclusion of each audit
Write audit reports that are comprehensive, yet easy to understand
Provide regular reports to the Audit Committee on results of audits completed including any significant audit recommendations
Follow up and appraise implementation of corrective actions including communication of progress to the Audit Committee
Manage and grow a talented team of professionals, utilizing outside experts as necessary
Partner with the legal and compliance organization on the investigation of whistleblower complaints and other matters
Partner with the legal and compliance organization on the development of a company-wide enterprise risk management program
The group operates in a professional, disciplined, productive and structured manner in order to ensure that the audit committee and management are provided with the highest level of service possible
A bias for obtaining results
Familiarity with major business processes
Strong technical internal audit skills, including IT audit skills and knowledge of SOX 404 and financial institution control requirements
Ability to interact comfortably with senior/executive level management and board members
Ability to build strong relationships with operational management
Ability to quickly assimilate relevant information in unfamiliar situations
Superior analytical and critical thinking skills
Excellent listening, verbal, written and presentation communication skills
Strong influencing and negotiation skills
Passion to help improve operations continuously
Sound judgment and ability to act independently
Thorough knowledge of IIA Standards for the Professional Practice of Internal Auditing

Chief Auditor ICG Technology Resume Examples & Samples

Drives the strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
Directs audit activities supporting a product line, function, or legal entity at the global or regional level, in accordance with IA standards, Citi policies, and local regulations. Responsible for providing valued and timely independent assurance on the design and operating effectiveness of a product, function, or legal entity at a global or regional level
Develops approaches to promote knowledge sharing and promulgates management best practices across Internal Audit and both Citibank and Citigroup
Ensures IA anticipates/meets/exceeds the requirements and expectations of Citibank’s and Citigroup's regulators
Actively supports and drives the IA’s and management’s efforts for Citi to have a “Strong” internal audit function and for Citi to have “Strong” control functions
Advanced level experience in an ICG technology audit or business/technology related role with extensive experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables
Subject matter expertise regarding Markets and TTS disciplines, with Private Banking experience preferred
Demonstrated experience in managing large global teams teams and managing integrated internal audit and assurance delivery within a matrix reporting environment

Chief Internal Auditor Resume Examples & Samples

The Chief Internal Auditor works independently to complete all assigned tasks
Meets with the President or his/her designee to report on audit and compliance results
Highly-experienced audit professional with a minimum of 5-8 years of experience in an academic, research or other comparable environment focusing on financial audit, single (federal) audit, and compliance examination
Experience with OMB Circular A-133 federal grants compliance, responsible conduct of research, and regulatory affairs
Experience in auditing information systems and sponsored grant programs, process improvement, and planning and organizing a detailed audit plan
Up-to-date with accounting and auditing related continuing professional education, including governmental accounting and auditing, as required by professional standards
Possesses relevant certificates as a Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Fraud Examiner (CFE), or a Certified Public Accountant (CPA)
Demonstrated success working with Senior Leadership to integrate compliance into daily operations
Knowledge of the goals, objectives, structure and operations of a major public university
Strong critical thinking skills and the ability to analyze, summarize, and effectively present data
Supervisory, employee development, and leadership skills
Experience in academia/educational law and federal labor law
Familiar with Ellucian ERP systems (Colleague)

Chief Internal Auditor Resume Examples & Samples

Chartered Accountant (CA completed)
Audit and Assurance experience with minimum 3 years’ experience
Candidate should possess very good communication both written and verbal
Chartered Accountant & CIA
Sound IFRS/SOP knowledge on different finance and business processes (e.g. Commercial practices and new way of working, O2C and ESop system knowledge, tender business)
Strong relationship building skills required to deal with both internal and external stakeholders
Candidate should possess good presentation skills
Evaluating the systems established to ensure compliance with those policies, plans, procedures, laws, and regulations which could have a significant impact on the organization
Evaluating operations or programs to ascertain whether results are consistent with established objectives and goals and whether the operations or programs are being carried out as planned
Monitoring and evaluating governance processes
Provide recommendations on the development of mitigating controls and governance processes as appropriate for the organization
Reporting periodically on the internal audit activity’s purpose, authority, responsibility, and performance relative to its plan
Reporting significant risk exposures and control issues, governance issues, and other matters needed or requested by the Board. Fraud risks will be brought to the attention of management where observed, although the internal audits are not intended to identify fraudulent activities
At least annually, the Chief Internal Auditor will submit to senior management and the Board an internal audit plan for review and approval. The internal audit plan will consist of a work schedule as well as budget and resource requirements for the next fiscal/calendar year. The Chief Internal Auditor will communicate the impact of resource limitations and significant interim changes to senior management and the Board
The Chief Internal Auditor will report functionally to the Audit Committee and administratively (i.e. day to day operations) to the Chief Executive Officer
The Chief Internal Auditor will oversee the outsourced Internal Audit function and will monitor the quality of their work
A written report will be prepared and issued by the Internal Audit team following the conclusion of each internal audit engagement and will be distributed as appropriate. Internal audit results will also be communicated to the Audit Committee. The internal audit report may include management’s response and corrective action taken or to be taken in regard to the specific findings and recommendations
The internal audit activity will be responsible for appropriate follow-up on engagement findings and recommendations. All significant findings will remain in an open issues log until cleared

Supervisory Auditor Branch Chief Audit Resume Examples & Samples

4-6 times per year
Expert knowledge of theory, principles, procedures, and techniques in the field of auditing
Expert knowledge of theory, principles, and techniques in the field of accounting
Demonstrated ability to accomplish work through others as a supervisor
Demonstrated ability to perform audits and reviews of financial, operational, and functional systems
Demonstrated ability to make oral and written presentations in a clear and concise manner to employees and managers at all levels in order to communicate effectively and persuasively
24 semester hours in accounting/auditing courses of appropriate type and quality. This can include up to 6 hours of business law
A certificate as CPA or a CIA, obtained through written examination; or
Completion of the requirements for a degree that included substantial course work in accounting or auditing, e.g., 15 semester hours, but that does not fully satisfy the 24-semester-hour requirement of paragraph A, provided that (a) the applicant has successfully worked at the full-performance level in accounting, auditing, or a related field; (b) a panel of at least two higher level professional accountants or auditors has determined that the applicant has demonstrated a good knowledge of accounting and of related and underlying fields that equals in breadth, depth, currency, and level of advancement that which is normally associated with successful completion of the 4-year course of study described in paragraph A; and (c) except for literal nonconformance to the requirement of 24 semester hours in accounting, the applicant's education, training, and experience fully meet the specified requirements

Chief Auditor Resume Examples & Samples

Provide leadership for the audit teams under your responsibility
Challenge partner to Senior Management to protect DB
Design and oversee a high quality, insightful audit plan within deadlines and to very high quality/in line with audit standards and regulatory expectation
Identifying and escalating key concerns related to the control environment of Global Markets fostering a constructive tone
Reviewing all audit findings and audit reports and communicate results to Senior Client management
Managing the audit team so it is resourced with appropriately skilled personnel; counselling staff and supporting the appraisal process; establishing smart and measurable objectives for the team and implementing measures to successfully achieve objectives
Continuing to develop the audit team to ensure that it remains a “best in class” function
Acting as a role model for the Global Markets team and the wider GA team; creating and reinforcing an environment where people management and development is a key priority
Maintaining responsive working relationships with local and regional Management, Regulators and external Auditors
Partnering with relevant Regional Heads / CAs on a timely and effective basis regarding matters affecting their region
Building of strong networks and strategic relationships across the organization and with external parties to create buy-in and support for control concerns
Driving the achievement of high performance through effective career management of direct reports, supporting succession planning and talent management processes to ensure continuous development of people capability and fostering diversity
Addressing individual performance issues where necessary
Significant experience related to the risk and control environment of Global Markets products, particularly for FX, Rates and Credit including in structured derivatives and lending
An in-depth understanding of internal risk and control assessment concepts and audit methodology
Strong analytical skills and curiosity to challenge
Experience in managing and supervising diverse team, appraise individual potential, motivate teams, transfer knowledge and develop capability in team members
Thorough understanding of regulatory requirements and compliance issues in the Banking / Finance industry in the US and globally
Familiarity of working within the operational requirements of a global Bank with global teams in a matrix organization
Excellent relationship management, problem solving, influencing and planning skills
A proven track record of delivering work under tight deadlines
Excellent communication skills, communicating with clarity, both orally and in writing, on all levels, in a logical order and structured approach in fluent English (written and verbal)