Internal Control Analyst Resume Samples

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O Quigley

Ozella

Quigley

938 Stephan Street

Boston

+1 (555) 800 2537

938 Stephan Street

Boston

Phone

p +1 (555) 800 2537

Experience Experience

San Francisco, CA

Internal Control Analyst

San Francisco, CA

Trantow Group

San Francisco, CA

Internal Control Analyst

Will make recommendations to management regarding cost savings or profit generating opportunities
Assist in the planning of annual SOX compliance work and other financial/operational audits
Will provide support in the resolution of federal financial management and reporting issues to ensure compliance with GAAP, USSGL, OMB A-123, FMFIA and FFMIA
Work with the first line business units to identify opportunities to refine and improve the current control environment
Direct the identification and resolution of analytical issues to assist in driving continuous improvement of day to day operations and client support
Provide assistance / procedural support in implementing new system enhancements
Aggregation and Reporting of Manager Control Assessment Information to Senior Management

San Francisco, CA

Internal Control Analyst, Nocca

San Francisco, CA

West, Gorczany and Ebert

San Francisco, CA

Internal Control Analyst, Nocca

Advanced Accounting knowlodge, including US GAAP and IFRS
Review the accounting adjustments requested by the auditors in accordance with IFRS
Monitoring the action plans identified in the Due Dilligence
Proficiency in Microsoft Office, including Word and PowerPoint;
Team work and interpersonal savvy
MISSIONS AND ACTIVITIES
Support and follow-up the action plans generated by iCare process (internal annual process)

present

Detroit, MI

Senior Internal Control Analyst

Detroit, MI

Herman Inc

present

Detroit, MI

Senior Internal Control Analyst

present

Periodically review manual & compensating controls around all our business cycles, making sure that these controls are performing as the agreed frequency
Review /clean up all potential matches of vendors/ customers as a result of processing restricted party screening
Assist with identifying and implementing enhancements/improvements to the Governance Risk and Compliance (GRC) Process Control tool
Microsoft Office user
Control design and implementation support for the Source to Retire (STR) processes and security roles within SAP
Other projects as assigned by the Manager, Compliance & Program Management
Undertake detailed testing of organization's controls and draw conclusions as to the efficiency of controls, highlighting exceptions to the Manager Internal Controls

Education Education

Bachelor’s Degree in Accounting

Howard University

Bachelor’s Degree in Accounting

Skills Skills

Proficient use of Microsoft Office and ability to quickly learn and utilize various web-based applications, databases and mainframe applications
Basic ability to build and manage relationships
Excellent technical proficiency in Citi Control Platforms, MS Word, MS Excel, and MS PowerPoint
Excellent written and verbal communication skills including the ability to effectively communicate and collaborate with partners from other organizations as well as with offsite teams
Ability to work in fast-paced environment juggling multiple deliverables and ad-hoc requests
Good attention to detail and superior organizational and follow through skills
Good knowledge of standards, principles and practices of accounting and audit
Strong written and verbal communication skills with the ability to summarize information
Possess strong interpersonal skills with an ability to collaborate with Loan Services’ process owners and risk partners to achieve results aligned with a strong control environment
Self-starter who can work without detailed oversight but provides appropriate level of communication to management, and can identify risks and escalate in a timely manner

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Internal Control Analyst Resume Examples & Samples

Minimum 5 years of International Banking experience with focus in Account Opening (KYC and AML concepts) and regulations focused in ongoing monitoring of client accounts (AML emphasis)
Ability to influence resources with no direct reporting line (i.e. Personal Bankers, Unit Managers) Experience in writing internal policies, procedures and reports in English and Spanish
Strong organizational skills with ability to multi-task
Experience in managing internal controls to ensure compliance with policies and procedures
Strong analytical skills. Detail oriented and able to develop and interpret reports/MIS
Self-starter, capable of working under minimum supervision
Project Management experience is desired
Bilingual English (Fluent) - Spanish (Good)

Internal Control Analyst Resume Examples & Samples

Coordination of CCAR-DFAST Driven Control Meetings
Aggregation and Reporting of Manager Control Assessment Information to Senior Management
Aggregation and reporting of control issues
Act as control SME for various subjects such as End User Computing, Information Security and Model Risk Management
Self-starter who can work without detailed oversight but provides appropriate level of communication to management, and can identify risks and escalate in a timely manner
Excellent technical proficiency in Citi Control Platforms, MS Word, MS Excel, and MS PowerPoint
Excellent written and verbal communication skills including the ability to effectively communicate and collaborate with partners from other organizations as well as with offsite teams
Ability to work in fast-paced environment juggling multiple deliverables and ad-hoc requests
Ability to facilitate discussions, conducts group meetings, and drive initiatives to conclusion
8 years business experience; with a strong control background
Financial services experience in Risk is preferred
Experience with Regulatory Risk/Risk Technology a plus
Experience in a Program Level Matrix Management environment with tracking, planning, monitoring and reporting of projects a plus

Internal Control Analyst Assistant VP Resume Examples & Samples

Subject Matter Expert on Citi Information Security, End User Computing, CITMP polices
Ability to provide leadership to Business Units, prioritize deliverables and to respond on behalf of Risk Management to formal requests from external parties and senior management
Ability to manage a matrix organization of peers
Ability to work independent of direct supervision
IS or Industry Specific Certifications a plus

Internal Control Analyst for Market Risk, AVP Resume Examples & Samples

Control design advisory, challenge, implementation & review, as part of regulatory requests or self-assessments
Ensure future developments in Market Risk as well as regulatory-driven remediation programmes are integrated into our control framework
Work with senior management to develop and implement innovative, strategic solutions to address gaps raised wherever possible, including, where required, advising on the implementation of new key controls
Audit liaison including challenge of audit scoping and reporting, as well as assisting Market Risk Management with issue closure
Collaboration with Risk and Control functions across the Investment Bank
Lead and/or assist other members of the team in initiatives to review and challenge the Market Risk governance and control framework, as well as working with Market Risk teams on control design and implementation
Act as a co-ordination and advice point for Market Risk teams on Operational Risk incidents and Lessons Learnt, including assisting with drafting and closing out remedial action plans owned by Market Risk Management, as well as challenging actions arising from incidents impacting (but not owned by) Market Risk
Audit liaison role as well as any support required with regulatory requests from a risk and control standpoint
Where required, assist with targeted and/or regular MR Governance reporting to Senior Management

Internal Control Analyst Resume Examples & Samples

Assessing / reviewing the control framework / environment and existing systems within the Group’s North American based operations, with a view to making enhancements and recommendations to further improve the control environment where necessary
Identifying, sharing and embedding internal control best practices throughout the Group’s North American operations
Working with operational finance and business staff to ensure that control documentation (including process flow maps) accurately details key financial controls and that these controls mitigate financial reporting and fraud risks within financial processes
Assisting in the performance of design and operating effectiveness testing of internal controls over financial reporting for the Group’s North American based operations in line with the provisions laid out in Section 404 of the Sarbanes-Oxley (SOX) Act
Assisting operational finance in designing / implementing remediation plans to address any issues
Acting as key liaison with internal and external audit with regards to the SOX internal control assessment
Preferred candidates are likely to be part qualified or qualified accountants with a Big 4, industry audit or Internal Audit background with experience in controls testing
Strong understanding of internal controls, business process analysis and risk assessment
Flexible and hard working
Strong interpersonal skills and the ability to quickly gain the trust and respect of others
Ability to constructively challenge and influence others

Internal Control Analyst Resume Examples & Samples

Daily reconciliation of 4 internal cash accounts, monitor their movement, and confirm adequate documentation and approvals are obtained to ensure proper managing is being done with the accounts
Daily monitoring of 5 sub ledger accounts by maintaining the accounts status report and requesting and confirming proper documentation is received from operations and Citisweep team. Review, follow up, and analyze entries made in all sub ledger accounts on a daily basis and maintain a day to day accounts status report to be reported to management in a weekly base
Daily monitoring of 7 internal IPB US Regulation U Operation accounts reconciliations to analyze entries and follow-ups/investigations on pending items. Present accounts status report to management in a weekly base
Escalate and follow up in any reconciliation difference by email, person, or conference calls
Generate and analyze a daily report containing changes of status performed in all IPB US accounts to confirm that block placements and removals are justified and are in accordance with IPB US process
Generate a report in a weekly base containing demographic changes performed in all IPB US accounts to monitor all addition of signers, change of address and telephone were performed by authorized IPB US employees. Any deviation is escalated to corresponded unit manager
Generate a report in a weekly base for Regulation D to track violations. Monitor the closure or conversion of all third and final violation accounts
Monitor in a weekly basis all IPB US Test accounts status, balance and ensure that are in accordance to the already approved purpose
Provide support to IPB US AML Unit performing changes in customers’ relationships status in a daily, weekly and monthly basis
Prepare the operational losses report and collect backup’s documents. Present to Operations Head the month end operational losses report highlighting the significant operational losses. Presentation is sent to Regional Compliance Officers and Operations Head to be discuss in the monthly BRCC meeting
Prepare the IPB US Key Risk Indicators Report of all Sub-ledger accounts. Collect corresponded information of all IPB US Operations areas and deliver it to the LATAM O&T Control _High Risk Team
Monitor the relationship of IPB US Operations Vendors. Payments reconciliation, agreements/ICSAs status verifications, invoices processing, interaction with IPB US Third party Vendor Management and others
Monitor IPB US Financials, Operational Unit Expenses and meet on a monthly basis with Operations Head and Financial Control Officer to identify any difference or discrepancy on what is being reported
Interaction with Finance, Relationship Officers, line managers in the resolution of issues pertaining any internal control and/or risk related concerns
Leading, co-leading and/or participate in business operating initiatives and project management
Ensure proper corrective actions are taken when control exceptions are identified via the MCA process or audits reviews
3 years of experience in Bank Operations, Accounting or Finance
BBA in Accounting, Finance or higher education preferred
Proficient knowledge of Microsoft Excel, preferably experience with data analysis, pivot tables, graphs and tables
Understanding of project coordination and management
Fully bilingual in English and Spanish. Proficient in Microsoft Word and PowerPoint
Multitasking, good organizational and time management skills
Proactively involved to follow-up process until it is completed
Ability to work independently and exercise mature judgment and adhere to policy guidelines
Demonstrated strong customer service skills
Sense of urgency and self-motivation
Excellent Team Work Skills and analytical skills

Senior Internal Control Analyst Resume Examples & Samples

Control design and implementation support for the Source to Retire (STR) processes and security roles within SAP
Control design and implementation support back-up for one or more other processes across all applications (i.e. SAP and legacy)
Perform initial risk assessment for all STR control deficiencies
Assist business with mitigation plans relative to STR segregation of duties (SOD) conflicts, as required. Backup responsibilities for the same for one or more other processes
Provide support for the year-end review of open control deficiencies to ensure all appropriate mitigating controls are properly documented
Provide feedback to functional teams, as appropriate, and determine where information gaps exist and where controls are either missing or need to be modified within the documented processes
Provide consultative guidance and expertise on the SAP Security role design and build processes, by working with the Security Team, Change Management, Functional Teams, and others as appropriate
Bachelor's degree, preferably in Accounting or Finance
Minimum of 2 years of business process, internal controls and/or audit experience
5+ years overall experience

Internal Control Analyst Resume Examples & Samples

At least 1 year of cash handling experience using a point of sale (POS) system
Ability to follow through all issues at a very detailed level to full resolution
Ability to thrive in a fast-paced and ever changing work environment
Working knowledge of Excel including creating spreadsheets, formatting, and writing formulas
Proficiency in Microsoft Office (Word, Excel, Outlook and PowerPoint)

Internal Control Analyst Resume Examples & Samples

Ensure an efficient and effective system of internal controls to maintain compliance with SOX 404, anti-corruption / anti-bribery laws and regulation, Stryker policies and procedures and any other relevant laws and regulations
Ensure internal control documentation is maintained including System Generated Report testing
Develop, implement and maintain an appropriate compliance framework, reports and KPI’s
Ensure the operation performs according to internal control procedure by testing of key business processes
As required liaise with internal and external auditors on scheduled reviews
Ensure all action items are followed up and resolved in a timely and satisfactory manner
Proactively manage internal control requirements in collaboration with stakeholders
Manage relationships with internal and external stakeholders
Implement new procedures and re-engineer processes to drive continuous improvement and ensure processes meet business objectives as efficiently as possible. If necessary lead/implement projects to drive any such improvements
Protect organization's value by keeping information confidential
Participate in projects to support and consult from a compliance perspective
5 year experience in a in a multinational (preferably American) company
Experience in a compliance role
Familiar with USGAAP and Sarbanes Oxley Act
Familiar with database management and Excel is a plus
Knowledge and hands-on experience with ERP systems (preferably SAP, Oracle, MFGPro, Hyperion)

Internal Control Analyst Resume Examples & Samples

Extensive knowledge of Supply Chain systems
Skill in developing effective working relationships
Possess good organization skills
Possess excellent problem resolution skills

Internal Control Analyst Resume Examples & Samples

Will coordinate with all levels of management to gather, analyze, and communicate recommendations regarding financial oversight plans and operating forecasts to ensure optimal business decisions; will provide accurate and timely monthly and quarterly performance reporting for complex programs and related projects
Will provide support in the resolution of federal financial management and reporting issues to ensure compliance with GAAP, USSGL, OMB A-123, FMFIA and FFMIA
Will perform specific analysis of consolidated statements of assurance results and follow-up corrective action planning as appropriate
Will perform quarterly travel and purchase card process reviews and coordinate with business units to insure accuracy, timeliness and compliance of internal financial information
Will perform various complex ad hoc analysis projects as needed
Will establish and define program plan requirements for assigned work
Will coordinate, negotiate and resolve operational internal control compliance issues with various government agencies
Will act as a key technical expert on financial operational oversight analysis issues
Will coordinate interdepartmental development of program plans and interfaces with other intra-agency administrators and customers as required for contracts and proposals
Will monitor and report performance to internal management and to customer
Will make recommendations to management regarding cost savings or profit generating opportunities
Will provide advice and guidance to less experienced staff
Typically requires bachelor's degree or equivalent, and five to seven years of related experience
Demonstrated knowledge and strong experience with the implementation of OMB Circular A-123 reviews and assessments
Expertise and experience performing reviews of Federal Financial Management systems in accordance with the requirements of the Federal Managers Financial Integrity Act (FMFIA) of 1982 Sections II and IV and OMB Circular A-123 Appendix D
Thorough knowledge of OMB Circular A-123; FMFIA; GAO Green Book; the Federal Acquisition Regulation (FAR); Federal Travel Regulations (FTR); Treasury Financial Management System Requirements; and other Federal Government Financial Management regulations and best practices
Must be a team player with excellent written and verbal communications skills
Must possess proven abilities in providing advice and consultation to management on internal controls matters in alignment with industry best practices
This position is in support of future opportunities. We are reviewing resumes now, however, and as we get closer to filling this position, we will be contacting qualified candidates

Internal Control Analyst Resume Examples & Samples

Will perform business planning processes including annual budget planning and monthly forecasting process including modeling for client or company headquarters
Will provide support in the resolution of accounting and reporting issues to ensure compliance with GAPP and SOX
Will perform specific analysis of consolidated financial results
Will perform monthly closing processes and coordinates with business units to insure accuracy and timeliness of internal financial information
Will perform various complex ad hoc financial analysis projects as needed
Will perform complex analysis of budgets and schedules
Will coordinate, negotiate and resolve financial compliance issues with various government agencies
Will act as a key technical expert on financial analysis issues
Will coordinate interdepartmental development of program plans and interfaces with vendors and customers as required for contracts and proposals

Senior Internal Control Analyst Resume Examples & Samples

Undertake detailed testing of organization's controls and draw conclusions as to the efficiency of controls, highlighting exceptions to the Manager Internal Controls
Prepare detailed audit reports for submission to the Internal Controls Manager and the organization's management
Assists / guide all departments to identify, develop and implement Principles and Practices (P&P) to protect assets and make recommendations for the improvement of internal controls in the organization
Experience in financial accounting, auditing and treasury will be a strong added advantage
Work on ad-hoc projects as requested

Internal Control Analyst Resume Examples & Samples

Provides internal control consultation to application development teams, corrective action teams, control self-monitoring teams, and management
Leads internal control reviews, projects and cross-functional teams
Oversees small-medium projects and initiatives; facilitates team efforts, helps to define project goals, establishes timelines, indentifies resource requirements and planning
Drafts and recommends policies and procedures changes
Conducts control self-monitoring training for all levels
Develops applications and automates manual processes
Develops and executes self-audit applications to identify control weaknesses and compliance reporting
Challenges Sarbanes-Oxley documentation, performs testing, and assists with corrective actions
Maintains strong internal control and regulatory awareness
Three (3) years experience required in audit, internal controls, compliance, finance, recovery, contract management, asset protection, FedEx operations, Settlement or related area
Certified Public Accountant (CPA),Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Fraud Examiners (CFE), and/or Certification in Control Self-Assessment (CCSA) certifications preferred
Software skills, including use of Microsoft Office software and web-based applications
Knowledge with audit/data analysis software tools
Verbal and written communication skills necessary to explain complex and/or confidential information
Presentation skills necessary to facilitate training and/or deliver informational sessions to groups and/or individuals
Time management, organizational and multi-tasking skills necessary to work in a fast-paced environment, handling various tasks and changing priorities, while maintaining a high attention to detail and accuracy to achieve daily assignments and goals
Ability to anticipate and identify problems and use sound judgment and fact-based analysis to develop effective and efficient solutions
Ability to develop effective methods for tracking and monitoring data or information

Internal Control Analyst Resume Examples & Samples

3 years Supply Chain or related experience
Demonstrate proficiency in Excel spreadsheet, and Microsoft Office programs
SMART system experience preferred

SOX Internal Control Analyst Resume Examples & Samples

Assists in executing the development / update of SOX 404 risk assessment processes at the SBNA and the SHUSA/IHC level to analyze, map, define and document Key financial reporting Risks, Processes and Controls
Designs adequate testing procedures for Key financial reporting controls (KFRCs) and identifies opportunities to refine and improve the current control environment
Performs KFRC tests in a timely manner, to ensure an adequate independent assessment can be made prior to the certification process
Reviews and assess both the design and operating effectiveness of the controls / environment as part of the process and ensure sufficient documentation standards are met, including but not limited to the completion of testing templates
Escalates SOX deficiencies, issues or concerns immediately and ensures items are appropriately logged in the SAD matrix and issue tracker
Performs adequate monitoring and validates / assess remediation efforts, including items raised by 3rd parties (i.e. regulators, external and internal audit)
Participates in the internal Quality Assurance (QA) review process to ensure adequate compliance with the SOX/COSO Framework is met and assists with responding to questions or comments received from both the internal and external QA process
Assists in completing Quarterly SEC Reporting requirements, as well as the semi-annual certification process
Works on special projects as needed
Bachelor's degree in accounting, finance or related field; CPA, CIA, CFSA or other comparable certification preferred but not required
At least 3 years of financial institution experience, with exposure to retail banking and in one of the following disciplines: auditing (internal/external), regulatory compliance, internal control, operational risk or management consulting (e.g. public accounting / professional services firm)
Strong computer skills and proficient in the use of Microsoft Office Suite (particularly Excel, PowerPoint and Access)
Exposure to bank regulatory, compliance and associated reporting requirements is desirable with strong knowledge of U.S. GAAP
A thorough working knowledge of audit practices and procedures preferably around Sarbanes-Oxley and Operational Audits
Ability to review and understand end to end processes (narratives/process maps), understanding each individual phase and transition, ensuring risks and controls are properly defined and implemented
Strong organization skills with the ability to work independently or in a team/project environment, handling multiple tasks and changing priorities while meeting non-negotiable deadlines; Ability to independently prioritize, plan, perform and communicate activities and findings in both written and verbal form
Ability to support travel requirements locally, as needed

Internal Control Analyst Resume Examples & Samples

Partner with Sr Financial Controls Analyst to document the company’s processes and internal controls Assist with preparation and maintenance of all internal control documentation including detailed process narratives and flowcharts, outlining the controls within the transaction stream from initiation to completion ensuring they are appropriate and complete and as efficient as possible
Perform internal control testing Complete an independent review of the design and operating effectiveness of the internal control environment (i.e. SOX controls) by executing on developed test plans with necessary evidence
Provide continuous improvement recommendations to the business with respect to internal controls. Partner with Sr Financial Controls Analyst to present ideas to management on ways to remediate control weaknesses. Complete follow-up on proposed remediation to ensure timely implementation
Significant experience in financial audit / attestation with Big Four firm OR large public company internal audit environment is highly desirable
Knowledge of SOX 404, financial reporting, accounting, and general business processes, as well as an interest and ability to understand complex/technical accounting and business processes
The ability to work in both a team setting as well as independently
Orientation toward internal control and risk assessment
BA/BS in accounting or related field or equivalent is desirable
CPA, CISA, and/or CIA qualifications are a plus

Internal Control Analyst Resume Examples & Samples

Minimum 3 years of experience in internal control/finance operation with good expertise in Record to Report group and related Finance processes
Strong Commitment to internal control
Self-starter with good MS-office skills
Strong team player and ability to handle tasks under pressure and in a timely manner with required quality
Demonstrated working knowledge of Risk Management, Information Security, Internal Controls
Working Knowledge of ERP (JDE/SAP) would be preferred
Leadership skills and team attitude
To work independently with limited supervision and to demonstrate strong analytical skills
Good Interpersonal & Communication Skills

Internal Control Analyst Resume Examples & Samples

2+ years of relevant work experience to include: internal controls, fraud analysis and data analytics
Prior internal control experiences is A MUST
Experience/knowledge with the Data Act a plus
Understanding of OMB A-123
Understanding of Enterprise Risk Management

Internal Control Analyst Resume Examples & Samples

A First Degree in Accounting or related discipline from a reputable university
Professional Qualification/Certification is mandatory
Minimum of five (5) years audit experience in a similar business or professional practice firm
Good knowledge of standards, principles and practices of accounting and audit
Good communication and stakeholder management skills

Senior Internal Control Analyst Resume Examples & Samples

Conduct regular self-assessments/reviews according to the internal controls annual plan in order to identify, measure, design and agree remediation plans for potential control deficiencies/losses
Describe/maintain the business process, controls and testing documentation in line with Sarbanes-Oxley Act compliance program. Annually check the existing controls for effectiveness and ensure their compliance to Sarbanes-Oxley Act requirements in accordance with the SOX plan as communicated by the Group. In case of any gaps, draft the remediation plans. Thus, ensure the reliability of the business unit’s financial reporting. Report the results
Periodically review manual & compensating controls around all our business cycles, making sure that these controls are performing as the agreed frequency
Ensure Segregation Of Duties (SOD) of the access rights in the systems, identify and resolve any SOD issue in the access rights on a periodical basis
Participate in various projects, task forces upon management request. Participate in developing new policies and procedures, different tools helping employees comply with company and legislation requirements
Develop and perform trainings on policies and procedures for newcomers and retrain the staff on the request and if necessary
Review /clean up all potential matches of vendors/ customers as a result of processing restricted party screening
Coordinate all kind of reports towards Head quarter as well as local management
Higher Education in finance, economics, audit or similar (Bachelor or Master)
Proficient English
Microsoft Office user
At least 4 years’ experience with a reputable audit company or international company in the similar position
Experience in work with accounting systems (e.g. SAP)

Internal Control Analyst, Nocca Resume Examples & Samples

Processes’ review and optimization in accordance of Internal rules
Internal policies’ review, update and monitor in accordance of Internal rules
Identify risks associated with each business objectives and evaluating the controls in place to mitigate those risks in order to improve the effectiveness of risk management, control and governance processes
Coordinate and monitor the action plans presented in the external and internal audit reports and also interact with the internal and external auditors team involved
Review the accounting adjustments requested by the auditors in accordance with IFRS
Support and follow-up the action plans generated by iCare process (internal annual process)
Present and train the Group Standard Guides to the New Partners
Monitoring the action plans identified in the Due Dilligence
Perform other related duties and ad hoc projects as required or requested by the HQ of the company
PERFORMANCE CRITERIA
Bachelor’s degree in an appropriate discipline (ie: Accounting, Administration, Economy) or equivalent experience in a related field
At least 3 or more years of experience in internal controls and compliance or in external/internal audit
Advanced Accounting knowlodge, including US GAAP and IFRS
Speak English and Spanish is necessary
Ability and willingness to travel in the assigned territory
Great presentation and communication skills (both written and verbal), including ability to communicate audit results to varied audience (Finance, Operations, HR, etc.)
Team work and interpersonal savvy
Proficiency in Microsoft Office, including Word and PowerPoint

Internal Control Analyst Resume Examples & Samples

Inclusion on the team responsible for supporting strategic implementation of the organization’s testing to include: operational, financial, and regulatory or compliance testing including, but not limited to, Business Self Testing, process monitoring and Process Risk Self-Assessment
Proactively anticipate/identify issues, and control deficiencies, through testing and processes monitoring, assessing the impact of each, and work with business partners to develop and implement appropriate mitigating actions
Deliver periodic and ad hoc reporting against key business testing and monitoring to support management’s awareness and response to control improvements
Ensure compliance to the Operational Risk Governance Group, Commercial Operational Excellence, and American Express Compliance standards with respect to: documentation, testing, and certification of GCP business monitoring and testing
Monitor activities to meet deadlines and commitments relative to: monitoring end to end process, risk assessment, program documentation, testing plan, reporting, and action plans
Partner closely with key control teams including, but not limited to: Operational Risk, Compliance, and Internal Audit, both within the lines of business and across the organization, to promote a well-controlled environment
Maintain internal control / operational risk competency through ongoing training and professional development
Undertake regular project work analysing business risks and exposures. Preparation of recommendations to business management with regards to process improvement, best practices, risk reduction and maximisation of revenue as appropriate
A minimum of two year’s relevant experience required; which may include: internal auditing, internal control/operational risk, or related experience in the financial services/banking industry
Bachelor’s degree in Commerce, strongly preferred
Demonstrated willingness to take initiative and act decisively
Creative mind that is not afraid of thinking differently to solve complex problems that have regulatory or compliance requirements
Exhibits an good degree of ingenuity, creativity and resourcefulness in ensuring that we are delivering on our customer promise
Effectively works independently within a team construct, while supporting teamwork and achievement of team objectives
Proven ability to effectively interact with all level across the organization including business and control partner leadership
Evidence of leadership with the capacity to quickly understand critical linkages and business strategies in a dynamic, ambiguous environment
Good written and oral communication skills coupled with solid presentation skills. This includes the ability to take on and analyze large sets of data concisely and convey messages to leadership and peers. In addition, good knowledge to build reports, dashboards and metric reporting is desired
Good attention to detail and superior organizational and follow through skills
Advanced knowledge using computer software programs and tools such as MS Office, Visio, Access, Excel, PowerPoint, etc
In depth knowledge of products, procedures and policies relating to the GCP business portfolio is a plus

Internal Control Analyst Resume Examples & Samples

Adhere to the current policies and procedures, which apply to the responsibilities and accountabilities of this position
Promote and coordinate standardization of application development, maintenance, and support for Supply Chain System in the division
Coordinate maintenance of the Supply Chain Systems master files
Communicate and Coordinate system enhancements
Provide direction, guidance, and support to facility Supply Chain Managers
Conduct problem analysis and provide resolution
Maintain contact with Supply Chain system users at each facility,
Document and monitor project plans, change requests, and system problems and communicate resolution
Function as technical resource for Supply Chain Systems in the markets supported
Provide training and support as requested to the hospital Supply Chain, Nursing, I.S., other hospital users, and corporate users
Develop test plans, oversee and participate in testing of enhancements and new releases of the Supply Chain system
Coordinate the development and installation of Supply Chain systems for new facilities
Provide custom reporting support to market facilities, division office and corporate
Research and complete special projects and tasks as assigned by immediate supervisor or others in a timely manner
3 to 7 years Supply Chain system management or related experience

SOX IT Internal Control Analyst Resume Examples & Samples

Develop and update SOX IT 404 risk assessment processes with the Business Units to analyze, map, define and document Key financial reporting sub-processes, Risks, and Controls
Assist the SOX Internal Control Manager in defining control objectives and monitoring compliance efforts
Test key IT reporting controls, document work performed, and assess the controls tested in the Internal Control Model tool
Collaborate with the SOX Internal Control Manager to identify areas of potential improvement for key processes and procedures, supporting the management of the related processes and procedures
Work with Third Party Vendor Management and application owners to ensure the completion of the SSAE16 SOC1 reviews for high critical vendors and ensure that internal controls are included in the process
Monitor, evaluate, and remediate the recommendations raised by SOX reviews, Regulators, External Audit, and internal audit
At least 3 years of audit, internal control, consulting, compliance, operational risk, financial reporting, or any other related experience is required
Experience working with control frameworks, as well as auditors (internal or external) and/or examiners is strongly preferred
Consulting/public accounting and/or banking industry experience is strongly preferred
A CIA, CISA, or CPA, and experience with Sarbanes-Oxley (SOX) is preferred
Must have a Bachelors in Accounting, Finance, or any other related field, and an advanced degree is preferred
Strong Microsoft Office experience is required, particularly with Microsoft Excel
Must have strong communication and project management skills

Internal Control Analyst Resume Examples & Samples

Productively advise control procedure owners on test results including findings, exception requests, continuous improvement
Keep informed of changes in the regulatory environment. Monitor and review changes in requirements by collaborating with the risk partners and process owners
Manage and prioritize multiple assignments in a fast-paced, dynamic environment to create value and achieve stated goals and objectives
Strong written and verbal communication skills with the ability to summarize information
Possess strong interpersonal skills with an ability to collaborate with Loan Services’ process owners and risk partners to achieve results aligned with a strong control environment
Strong organizational skills and ability to manage and prioritize multiple assignments
Basic analytical and problem solving skills, decision making and ability to drive continuous improvement
Possess basic subject matter expertise for compliance and operational risks and control activities within assigned lending processes
1-3+ years of risk management or audit experience or 3-5+ years of lending experience

Internal Control Analyst Resume Examples & Samples

Responsible for completion of targeted HR process audits and reviews
Develop reporting and monitoring capabilities associated with key operational risk breakpoints
Provide input and recommendations to enhancing the current desktop procedures and training materials
Recommend process changes to ensure risk is adequately controlled and efficiencies are improved
Summarize findings & recommendations based on monthly Quality Control reviews to HR management
Performing periodic audits of management identified high risk processes within the department. These audits will be performed on a periodic basis to verify that data input has been validated and entered correctly on the various systems utilized by Human Resources according to source documents. Auditing various process dependencies to ensure that proper controls are in place and being followed as outlined in desktop procedures. Identify any trends in the audit in order to eliminate errors and improve process. The objective is to minimize the negative impact to internal clients and to ensure the bank is performing in compliance with SOX and other regulatory guidelines
Given the nature of this position, the analyst is expected to possess a strong attention to detail. The analyst will be expected to be familiar with various Human Resources processes/systems in order to properly trace the source of any issues and summarize the cause of the failure. Must be flexible, must be able to work in an environment of constantly changing deadlines without losing required high level of accuracy and production. Finally the analyst must have strong communication and inter-personal skills, so they can work seamlessly with various departments and front line managers, and make suggestions and assist managers in facilitating process improvements
Develop, maintain and update all operational desktop procedures
Provide assistance / procedural support in implementing new system enhancements
Direct the identification and resolution of analytical issues to assist in driving continuous improvement of day to day operations and client support
Creating and managing project timelines around process design and management by working with the various business owners and subject matter experts with Human Resources
Direct the synthesis of information from the various functions to create the process, policy and organizational recommendations
4 year college degree required
3 to 5 of work experience, with some exposure to human resources, operational processes and project management
Intermediate to advanced skills in MS Office: Word, Excel, Access & Outlook
Demonstrated skills in organization and strong attention to detail

Internal Control Analyst Resume Examples & Samples

Assists with assessing the adequacy of internal controls and efficiencies in business processes
Responsible for audit of consumer allowance for loan and lease losses and related financial statement disclosures
Along with department leadership will determine the testing approach for CCAR and other regulatory information submitted to our parent bank holding company
Builds strong relationships with SOX control and process owner’s, IT SOX internal control team, internal audit, external auditors, internal control team and compliance department
Works directly with control and process owners to ensure understanding and knowledge of SOX processes and procedures

Internal Control Analyst Resume Examples & Samples

Assist in the planning of annual SOX compliance work and other financial/operational audits
Evaluate and document the design and effectiveness of the company's internal controls looking for opportunities for improvement
Ensure compliance with established internal control procedures by examining records, reports, operating practices and documentation
Document work papers, testing and audit findings and communicate results to auditees and management
Develop a detailed understanding of Parts’ core business and financial processes
Ensure quality and consistency of audit work and adherence to department and professional standards for audits
Monitor the completion of internal control recommendations and validate completion
Continuously seek opportunities for audit process improvement
Build effective working relationships with various Accounting & Operations stakeholders
Participate in and support other department initiatives and deliverables as needed
Some domestic and international travel may be required
Bachelors in Accounting or Finance required
CPA Certification preferred
3 – 5 years of recent and relevant experience in accounting / auditing specifically around Sarbanes-Oxley
Strong PC Skills (Intermediate to advanced computer system skills including Microsoft Word, Access, Excel and PowerPoint.)
Ability to influence and work with employees at all levels of the organization
Outstanding communication skills are mandatory, combined with strong analytical abilities and attention to detail
Strong organizational skills required to manage multiple priorities / projects for on-time delivery

Operational Internal Control Analyst Resume Examples & Samples

University degree in Business Administration or Finance is preferred or any other relevant field
Strong experience in operations (e.g. credit, ops/administration, collections, etc.) and/or accounting & finance
Experience in audit, internal control, and/or SOX compliance
Equipment finance industry experience is preferred
Strong Analytical skills, attention to detail and focus on quality
Proven organizational skills with the ability to prioritize, and work effectively on multiple tasks
An energetic and determined attitude
Adaptability and International mindset. Willingness to work with people from different cultures
Good communication and interpersonal skills, ability to interact at all levels in the organization
Fluency in English, knowledge of any other languages (e.g. Spanish) would be beneficial
Frequent travel required (incl. internationally)

Internal Control Analyst Resume Examples & Samples

Ensure through testing, Controls Self Assessments and through working closely with External auditors that the Company's Internal Control environment is in place and operating effectively
Serve as a liaison and assist the Accounting Manager with coordination with external audits as they relate to internal controls
Ensure the integrity of the Company's SOX documentation, to include, but not limited to, process maps, control descriptions, risk and control matrices and testing work papers
Plan and execute testing activities aimed at identifying gaps between the documented procedures and the Parsley’s current practices
Make recommendations to improve the performance and efficiency of internal controls in financial and operational processes
Determine effectiveness of control structure through testing
Ability to communicate clearly and effectively, both orally and in writing, including the ability to conduct effective interviews
Knowledge in Internal Controls
Ability to communicate and work effectively with external auditors
Must have knowledge of standard auditing practices and procedures and the ability to apply them
Must be able to thrive in a fast -paced setting
Basic Microsoft Excel and Word skills
A Bachelor's degree in Accounting, Business or Finance is required
2 years of work experience with a proficient understanding of the Sarbanes-Oxley Act origin, purpose and requirements

Internal Control Analyst Resume Examples & Samples

Good understanding and knowledge of Generally Accepted Accounting Principles (GAAP) or equivalent
High level of attention to detail and accuracy
Good understanding of the integrated systems of internal control and the relationship to disclosure and financial reporting
Good understanding of audit standards and requirements can independently use the knowledge
Knowledge in MS Office, especially in Excel
Strong communication skills. Fluent English
Experience in financial accounting assignments and/or internal control. 1-3 Years

Internal Control Analyst Resume Examples & Samples

Work with the Internal Controls & Governance Director on the implementation of the Internal Control department’s demand management program, and perform additional testing and reporting work as the demand program establishes it’s priorities
Work on executing the update of the Internal Control program risk assessment processes at the SHUSA (Santander Holdings USA) level to analyze, map, define and document key reporting risks, processes, and controls
Design and perform adequate and timely testing procedures over the design and operating effectiveness of key reporting controls, including issue identification, escalation, and reporting
Work with the first line business units to identify opportunities to refine and improve the current control environment
Assist in the development of reports for testing and reporting practices, and other ad hoc deliverables required of the Internal Control Department to meet the reporting needs of multiple stakeholders
Work on other special projects as directed by the Internal Controls & Governance Director
At least 3 years of audit, internal controls, compliance, operational risk, or any other related experience is required
Working experience with SOX, CCAR, is nice to have
Must have a Bachelor’s Degree or equivalent, and an advanced degree is preferred
A CPA, CIA, CFE, or CFA Certification is preferred
Strong skills with Microsoft Office applications (particularly Excel, Word, Access and PowerPoint) is required, and experience in flowcharting a plus
Previous Banking or Financial Services industry experience is preferred
Strong communication, organizational, and analytical skills are required
Must be adaptable, and able to manage multiple projects with shifting priorities
Must be able to travel