Operational Auditor Resume Samples
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Operational Auditor Resume Samples
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HG
H Gerhold
Hubert
Gerhold
7624 Nader Mills
New York
NY
+1 (555) 338 0471
7624 Nader Mills
New York
NY
Phone
p
+1 (555) 338 0471
Experience
Experience
San Francisco, CA
Operational Auditor
San Francisco, CA
Fadel, Spencer and McKenzie
San Francisco, CA
Operational Auditor
- Supporting and providing necessary training to operations
- Participating in projects related to process optimization and improvements
- Participating in redesigning the audit program and related working tools
- Assisting and supporting all projects in the Internal Audit & Compliance Department
- Interacting between customers, branches and other internal departments
- Preparing customer audits, building action plan with accurate recommendation within specific deadlines
- Analyzing and evaluating risks and controls
New York, NY
Senior Operational Auditor
New York, NY
Keebler LLC
New York, NY
Senior Operational Auditor
- Utilize continuous improvement in daily work to improve products, services, and products
- You have the opportunity to help facilitate positive change by examining business processes and recommending areas for improvement to corporate management
- Act as an internal champion and exemplar for best practices within the financial services industry, making recommendations for improvements as necessary
- Identifies best practices in control design and operational effectiveness, and develops cost-effective recommendations / solutions
- Conducts fieldwork in accordance with audit plan and approved programs and guidelines
- Engages in dialogue with management and various control partners identifying and assessing risks and controls
- Effectively and confidently developing audit issues that address the root cause of control deficiencies identified during the course of an audit
present
Phoenix, AZ
Director Operational Risk Internal Auditor
Phoenix, AZ
Goyette-Veum
present
Phoenix, AZ
Director Operational Risk Internal Auditor
present
- Manage the assignment team, budget and priorities while performing the audit reviews
- Deliver clear presentations to Senior Management and Internal Audit Management
- Participate in the recruitment, training and development of audit staff
- Follow up issued audit and regulatory recommendations and validate proper implementation
- Keep abreast of the evolution of Data Governance standards and related regulatory guidance through training, publications and seminars
- Investigate large incidents and fraud cases if and when necessary
- Add value to the Business by raising relevant recommendations
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Chapman University
Bachelor’s Degree in Accounting
Skills
Skills
- Highly organized
- Strong attention to detail
- Extensive knowledge and success interpreting financial regulation (SOX) and or exposure to regulators (e.g., FINRA, SEC)
- Experience covering these business areas and their processes; front-office trading, Operations, Finance (SOX), Compliance, and / or Risk Management (Operational, Market, Credit, Technology)
- Excellent communication skills (written and verbal)
- Great interpersonal skills
- Solid analytical skills
- Understanding of algorithmic trading, high frequency trading, and model-based trading
- CPA, CIA, CAMS, CFE or other related certifications
- 7+ years of experience in Internal Audit, Financial Audit (including SOX), Operational Risk, and/or Regulatory Audit in a Financial Services firm
8 Operational Auditor resume templates
Read our complete resume writing guides
1
Senior Auditor, Operational Risk Management Resume Examples & Samples
- Performs moderately complex audits relating to Consumer and Corporate Banking in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions
- Applies solid understanding of internal audit standards, policies, and local regulations to provide timely audit assurance
- Written and verbal communication in Spanish, English and Portuguese is a plus
- Knowledge of the Latin America & Mexico (in general) business markets
2
Operational Auditor Resume Examples & Samples
- 7+ years of experience in Internal Audit, Financial Audit (including SOX), Operational Risk, and/or Regulatory Audit in a Financial Services firm
- Bachelor's Degree in Accounting, Finance, Economics, and/or a Business related field
- CPA, CIA, CAMS, CFE or other related certifications
- Extensive knowledge and success interpreting financial regulation (SOX) and or exposure to regulators (e.g., FINRA, SEC)
- Experience covering these business areas and their processes; front-office trading, Operations, Finance (SOX), Compliance, and / or Risk Management (Operational, Market, Credit, Technology)
- Understanding of algorithmic trading, high frequency trading, and model-based trading
3
Senior Operational Auditor Resume Examples & Samples
- Participation in all aspects of the audit including the planning, risk and control analysis, testing, issue development and reporting phases as a team lead or contributing team member
- Developing an external focus by establishing and maintaining key business relationships with the management teams in the related businesses, remaining current on business developments, industry trends, emerging risks, and changes to the financial and regulatory environments
- A minimum of 3-7 years of audit experience
- Strong risk assessment and control analysis skills, including solid knowledge of operational, vendor, information technology and compliance risk concepts
- Strong project management skills with an ability to multi-task and manage competing priorities
- Outstanding communication skills, both oral and written
- Ability to effectively and confidently discuss issues with management and develop business-focused recommendations to strengthen controls is essential
- Ability to work productively in a team environment as well as independently
- Experience in the use of data analytics is a plus
- Bachelor's Degree is required and an MBA and relevant certifications (e.g., CIA CPA) is a plus
4
Senior Operational Auditor Resume Examples & Samples
- Participates in all aspects of audits of Harman International businesses including the planning, control analysis, testing, issue development and reporting phases
- Leads audit engagements. Produces final audit reports which require minimal re-work from supervisor
- Conducts fieldwork in accordance with audit plan and approved programs and guidelines
- Engages in dialogue with management and various control partners identifying and assessing risks and controls
- Identifies best practices in control design and operational effectiveness, and develops cost-effective recommendations / solutions
- Collaborates with other team members to execute across a wide array of business process reviews
- Audits financial statements for compliance with Generally Accepted Accounting Principles
- Knowledge of audit theories/principals including risk assessment methodologies
- Ability to work independently and produce a finished product with minimal supervision
- Minimum of 3 years experience in Audit. Public accounting (Big 4) experience strongly preferred
- A four year degree (or equivalent) in business, accounting, finance, or related field
- Possessing or currently pursuing one of the following certifications: CPA, CIA, CISA or CFE
- Knowledge of SOX compliance and US GAAP requirements
- Strong interpersonal skills – ability to work closely with people at all levels of the organization and facilitate the implementation of corrective actions
- Ability to plan and organize work to meet schedules and timelines in an environment with occasionally changing priorities
- Ability to maintain confidentiality of information obtained at the company
- Initiative and self-motivation
- Sound independent judgment in the determination of actions to be taken
- Must possess tact, assertiveness, and reasonableness in identifying and communicating recommendations
- Project management experience including project leadership
- Strong analytical and interview skills/experience
- Ability to multitask and manage competing priorities
- Proficient in MS Office
- Advanced business-related degree
- Bilingual – Spanish preferred
- Effectively handle situations where short notice is given in advance of travel and to work hours beyond a normal work week
5
Senior Operational Auditor Resume Examples & Samples
- Plan, develop, conduct, and lead operational audits to assess risks of complex company systems, operations, processes, functions, and activities
- Lead and coach staff to ensure successful completion of the audit plan
- Partner with clients to understand their processes in order to determine their needs and asses current/future business risks and challenges
- Utilize analytical and creative problem solving skills to improve processes, minimize risk, and add value to a wide variety of business operations
- Review or perform, as needed, detailed analysis on pertinent data and materials through the use of sampling techniques and software analysis tools with an added emphasis on data analytics the client can leverage in their operations
- Write the present comprehensive audit reports describing scope, objectives, findings and conclusions. When applicable, develop recommendations to share with key process owners and stakeholders
- Lead meetings with key client personnel to describe the audit process and findings
- Negotiate and manage with clients and others
- Lead special investigations and other functions requiring the application of specialized auditing principles and practices
- Assist other audit functions, as needed
- Utilize continuous improvement in daily work to improve products, services, and products
6
Senior Operational Auditor Resume Examples & Samples
- Degree qualified with Certified Internal Auditor quals
- Australian Banking / Financial Audit Management experience is essential
- Extensive post qual Audit experience across Audit categories
7
Senior Operational Auditor Resume Examples & Samples
- Minimum of 3 years experience in Audit / Finance, Public accounting (Big 4) experience strongly preferred
- A four year degree (or equivalent) in business, accounting, finance, information technology, or related field
- Bilingual – English and Hungarian
- Bilingual – German, Chinese, Portuguese
8
Senior Operational Auditor Resume Examples & Samples
- 3-7 years of audit experience
- Bachelor's Degree; MBA and relevant certifications (e.g., CIA CPA) is a plus
- Solid knowledge of operational, vendor, information technology and compliance risk concepts
- This position is based in Newark, New Jersey but may require travel not to exceed 15%, but may vary depending on the audit plan
9
Operational Auditor Resume Examples & Samples
- Assisting and supporting all projects in the Internal Audit & Compliance Department
- Testing of operational and financial controls
- Preparing customer audits, building action plan with accurate recommendation within specific deadlines
- Interacting between customers, branches and other internal departments
- Participating in redesigning the audit program and related working tools
- Supporting and providing necessary training to operations
- Participating in projects related to process optimization and improvements
10
Senior Accounting Operational Auditor Resume Examples & Samples
- Analyze operating business units by checking for compliance with policies and procedures
- Independently perform audits and analyze findings
- Communicate recommendations to operations management
- Train and supervise junior auditors and get involved with recruiting efforts for new auditors
- Master’s degree in Accounting or Business Administration
- 1-3 years work experience, preferably with a “Big Four” Public Accounting firm or large regional firm
- Ability to travel 30-35% of the time
- Experience in reviewing findings with senior management is a plus
11
AVP, Senior Operational Auditor Resume Examples & Samples
- Prepares high level flowcharts or control narratives, risk assessment and audit program of the audit area/function/department to determine the nature of the operations and the existence of sufficient internal controls used to achieve established objectives and minimize the risk exposure to the Bank
- Reviews, verifies and analyzes transactions, documents, records, and reports for accuracy, completeness and appropriateness
- Evaluates the adequacy and effectiveness of internal control methods, policies, and procedures
- Determines that duties are performed in accordance with company policies, operating procedures, other management instructions, and regulatory requirements
- Determines that transactions are recorded promptly and accurately
- Conducts interviews with appropriate Company personnel to supplement assigned audit test
- When acting as Auditor-in-Charge, performs the following additional duties
- Education: BA/BS in accounting, business, finance or related field
- Experience: At least 5+ years audit experience, including at least 3 years in financial services
- Skills/Ability: Effective oral, written, and analytical skills with demonstrated ability to deal effectively with all levels of management. Strong understanding of internal control theory and audit techniques, and a good understanding of computer assisted audit techniques. Strong understanding of internal control theory and audit techniques. Effective project management skills. Strong analytical skills and a good understanding of computer assisted audit techniques. Must be a team player. Ability to perform assigned duties with minimum supervision. Ability to travel, including occasional overnight and overseas assignments
- Certifications: Hold or be actively pursuing certification, such as CIA, CPA, CFSA, and/or CISA
12
Director Operational Risk Internal Auditor Resume Examples & Samples
- Lead large complicated, integrated audits as the Head of Assignment. Responsible for the related audit scoping, planning, evaluating reporting, and supervising
- Understand the underlying risk applicable to the area of audit responsibilities through continuous monitoring activities. Require strong audit, risk, compliance, banking, and/or product knowledge. Expected to be a subject area expert on Operational Risk in a Bank
- Review and prepare risk assessments
- Acquire a good understanding of the audited businesses and activities by showing initiative
- Manage the assignment team, budget and priorities while performing the audit reviews
- Employ analytical skills to analyze activities and processes using the BNP Paribas Audit Methodology and Tools
- Take ownership of the quality and reliability of the audit reports, findings and deliverables
- Add value to the Business by raising relevant recommendations
- Deliver clear presentations to Senior Management and Internal Audit Management
- Follow up issued audit and regulatory recommendations and validate proper implementation
- Investigate large incidents and fraud cases if and when necessary
- Participate in the recruitment, training and development of audit staff
- Improve personal and professional development by keeping up-to-date with changes in financial services and products and attending training courses / sitting exams
- Write reports with value added recommendations
- Keep abreast of the evolution of Data Governance standards and related regulatory guidance through training, publications and seminars
- Adopt and promote strong ethical values
13
Senior Operational Auditor w / Data Analytics Resume Examples & Samples
- Evaluate whether risks to the company are identified and minimized, acceptable internal policies and procedures are followed
- Understand the organization and develop relationships to provide value-added solutions and best-practices to top Management
- Represent the internal audit department on company initiatives and special projects, both domestic and international
- BS/BA in Business, Accounting/Finance or related field
14
Senior Operational Auditor Resume Examples & Samples
- CIA or CPA designation is also required for the senior auditor position
- Strong technical skills, including experience with data extraction software (such as IDEA or ACL) is preferred
- Strong leadership, analytical/critical thinking, decision-making, and problem solving skills
- Proven experience leading audits and control reviews
- Knowledge of insurance operations is preferred
- Travel approximately 5-10%
15
Auditor, Operational Resume Examples & Samples
- Internal candidates should have a strong working knowledge of store IT systems and business processes
- Process and solution oriented
- Spanish speaking a plus
16
Senior Technology / Operational Auditor Resume Examples & Samples
- Research, plan, and perform individual audit assignments in a timely manner, with appropriate documentation of procedure performed and results obtained. There will be involvement in multiple projects at any given time. Audit areas may involve business application systems, authentication, interface controls, change management and logical access (SOD). In addition, audit projects may include advisory services for business transformation projects, new technologies and technical assistance to financial/operational auditors
- Maintain favorable working relationship with audit customers and outside personnel
- Develop audit reports and memorandums to clearly and accurately reflect the audit work performed, the results found, and appropriate recommendations in the format prescribed by the Department. Reports and memorandums will often be unique
- Keep informed of developments in the audit profession and continue to develop professionally to contribute to department expertise. Apply skills, including audit software capabilities, to the performance of key job responsibilities. Assist in training and development of other staff auditors
- This position requires up to 10% travel, which may include flying and/or driving and some over night stays
- Bachelor degree or equivalent experience
- Extensive educational background and experience in information systems or information technology auditing within the banking, insurance, or finance industries
- Knowledge of auditing techniques, banking or insurance principles, and information systems/technology fundamentals
- Knowledge of administrative/financial systems and related control requirements
- Knowledge of Sarbanes-Oxley, NAIC Model Audit Rule or FDICIA is a plus, including general computer control evaluation experience
- Understanding of data extraction techniques to include extracting data from multiple sources, platforms, and operating systems
- Knowledge of infrastructure systems and related configuration controls
- Sound judgment, inquisitiveness, and strong analytical ability
- Ability to travel up to 10% of the work period
- Knowledge of data analyses software, Audit Command Language
- Knowledge of internet commerce environment
- Knowledge of insurance products and services and the respective distribution channels
17
Operational Auditor Resume Examples & Samples
- Use data driven analytics to identify risk areas and drive audit results and provide valuable feedback to senior management
- Contribute to internal department initiatives, such as training and development, updates to internal audit policies and procedures and other internal projects, as requested
- BS/BA n Business, Accounting/Finance or related field
- Experience n audit & investigation with data analytics approach, such as the design and development of data analytics tools or experience performing and reporting data analytics
- Business process knowledge (such as Procure to Pay, Record to Report, Order to Cash)
- All candidates must be authorized to work in the USA and travel internationally (+/-25% travel)
- Consumer electronics experience is a plus
18
Senior Operational Auditor Resume Examples & Samples
- Complete Quality Assurance reviews, identifying thematic issues and root causes, and propose alternatives by partnering with Management to develop achievable solutions
- Review and evaluate audit work papers to ensure they accurately support the work performed and conclusions reached, in accordance with department and IIA Standards
- Maintain a detailed understanding of department policy, procedures, standards, and supporting technologies to identify potential risks or creative alternatives to mitigate risk exposure
- Ensure audit procedures are designed to effectively and efficiently assess relevant controls to support an opinion for the engagement
- Monitor established budgets and review project timelines with the audit team and leadership
- Administer customer satisfaction surveys at the conclusion of each audit and report on the results to the audit team
- Drive sustainable operational efficiencies by effective process development and support
- Identify and analyze root causes of inefficient audit department practices and propose alternatives by collaborating with Management to develop achievable solutions
- Act as an internal champion and exemplar for best practices within the financial services industry, making recommendations for improvements as necessary
- Enable decision making through reporting of metrics on the effectiveness and adequacy of controls
- Support development of audit skills through annual skills assessment, training delivery and management
- Minimum of three years of audit experience in conducting risk-based operational and compliance audits and projects, business process reviews and internal audits across regulated environments. Big 4 experience is a plus
- Demonstrated success in leading risk-based audits and projects and/or implementing audit best practices
- Excellent knowledge of Microsoft Excel and Word
- Ability to meet established deadlines
- Lean Six Sigma experience is a plus
19
Senior Operational Auditor Resume Examples & Samples
- A proven ability to work independently and with limited supervision. You are also organized, sensitive to deadlines, and able to set risk based priorities
- Able to participate in teams and coach colleagues
- Fluent written and spoken English, with any other European language an advantage, especially Spanish / Portuguese / French
20
Senior Operational Auditor Resume Examples & Samples
- Audits financial statements for compliance with International Financial Reporting Standards (IFRS)
- Minimum of 3 years experience in Audit. Public accounting experience strongly preferred
- Possessing or currently pursuing one of the following certifications: CPA, Chartered Accountant, CIA, CISA or CFE
- Knowledge of IFRS and Internal Controls
- Advanced business-related degree a plus
- Bilingual – Chinese, German, Spanish, Portuguese, or Hungarian a plus
21
International Operational Auditor Resume Examples & Samples
- Travel nine months a year to our head offices, factories or R&D centers throughout the world
- Prepare for audits by gathering feedback from senior management at our headquarters
- Carry out operational audits and identifying risks and providing value adding recommendations
- Be intensively exposed to senior management
- Master degree in Finance, Audit, Economics, Business Administration
- Bachelor degree in Business, Engineering or Law
- Fluency in English and two additional widely spoken languages
