Principal Auditor Resume Samples
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Principal Auditor Resume Samples
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DG
D Gerhold
Diamond
Gerhold
79456 Gulgowski Port
New York
NY
+1 (555) 415 3495
79456 Gulgowski Port
New York
NY
Phone
p
+1 (555) 415 3495
Experience
Experience
Chicago, IL
Principal Auditor
Chicago, IL
Greenfelder, Green and Block
Chicago, IL
Principal Auditor
- Perform reviews of working papers to ensure accuracy and completion and assist in clearing any review points provided by team leads and / or audit management
- Manage third party content providers relationship, and develop new relationships
- Reviewing and providing expert opinions on action plans provided by clients, helping them to develop robust remediation plans
- Providing quarterly analysis to GA management and the product aligned audit teams, to inform them of the evolution of key market risk developments
- Reviewing and providing expert opinions on action plans provided by clients, helping them develop robust remediation plans
- Develop Self and Others:Develop self and support others’ development to achieve full potential
- Maintaining excellent and responsive working relationships with Management, Regulators and External Auditors
Philadelphia, PA
Group Audit Principal Auditor
Philadelphia, PA
MacGyver-Zieme
Philadelphia, PA
Group Audit Principal Auditor
- Reviews and provides expert opinions on action plans provided by clients, helping them develop robust remediation plans
- Assist Director in preparation to liaise with external regulators to provide assurance of DB’s audit coverage relating to Sanctions & Embargoes
- Executes day-to-day operational audit work and contributes to the delivery of audits (including risk assessment profiles and business monitoring)
- Reinforces an environment where people management and development is a key priority
- Communicates openly with divisional management and the internal stakeholders; keeps them informed of potential issues and escalate problems/delays accordingly
- Completes all assigned audit work in line with agreed budgets, including ad hoc projects and special investigations
- Complete all work assigned on a timely basis, including ad hoc projects and special investigations
present
Chicago, IL
Principal Auditor Operational Risk
Chicago, IL
Jacobi Inc
present
Chicago, IL
Principal Auditor Operational Risk
present
- Identifying risks and carrying out assessments
- Supporting the Operational Risk Management (ORM) Principal Audit Manager, in providing subject matter expertise to identify and assess operational risks throughout the Bank
- Providing quarterly analysis to Group Audit (GA) management and the product aligned teams, to inform them on the evolution of key operational risk developments and conducting periodic reviews of adequate reflection of these risks in the business aligned risk assessment profiles
- Monitoring business with key ORM and Business teams
- Keeping abreast of pertinent industry, regulatory and business practices including through industry networks
- Acting as a trusted partner and supporting the ORM function, in their ongoing framework transformation
- Carrying out audit coverage design
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Colorado State University
Bachelor’s Degree in Accounting
Skills
Skills
- Able to work in virtual, global teams in a matrix organisation, transferring knowledge and developing capability of team members
- Strong knowledge of Financial processes and the ability to identify and evaluate risks associated with these processes
- Excellent team working capabilities and an ability to build strong business and team relationships
- Ability to work in virtual, global teams in a matrix organisation, transferring knowledge and developing the capability of team members
- Proven ability for delivering quality work effectively in a fast pace environment with strict timetables
- Able to work in virtual, global teams in a matrix organisation, transfer knowledge and develop capability of team members
- Excellent written / verbal communication skills and the ability to communicate effectively at all levels
- Able to challenge and be challenged, whilst maintaining the highest levels of professionalism
- Very good knowledge of auditing standards and concepts
- Able to build strong relationships and work collaboratively with management teams and with other control functions
11 Principal Auditor resume templates
Read our complete resume writing guides
1
Principal Auditor Resume Examples & Samples
- 4+ years of Audit, Capital Markets, Business, and/or Risk Management experience with an Investment Bank
- Experience in a wide range of business activity, product lines including Structured Finance, Fixed Income, Commercial Real Estate, Valuations, Securitization, Credit and Market Risk
- Strong understanding of front to back activities and controls within the Sales and Trading environment
2
Principal Auditor Resume Examples & Samples
- 5+ years of working experience within an Investment Banking and/or Big 4 Accounting firm
- Previous experience with Equities, Policies & Procedures, and Risk Reporting / Analysis
- Strong understanding of front to back end processes (e.g. Front Office, Back Office/Operations, Controlling)
- Understanding of financial products and the ability to identify and evaluate risks associated with these products
3
Principal Auditor Resume Examples & Samples
- 8+ years of experience in an Investment Banking Audit / Risk role
- Understands key Risk topics and has a good appreciation of the various products in the investment banking businesses
- In depth knowledge of key Risks, such as: Market, Operational, Credit, Liquidity and Enterprise Risk
4
VP-principal Auditor Resume Examples & Samples
- 7+ years of Financial Services Audit experience
- Experience with a major financial services company
- Finance/accounting transformation experience
- Ability to multitask assignments and prioritize workload with limited supervision
- Comfortable working under pressure in a deadline-driven environment
- Excellent written/verbal communication skills
- Ability to communicate effectively at all levels within Group Audit and its client base
- Self-starter with ability to operate at senior levels of the company
- Experience with a global investment bank/broker dealer
5
Principal Auditor Resume Examples & Samples
- 7+ years of previous Audit experience
- Knowledge and experience of Financial Services particularly transaction banking products
- Exceptional project management and planning skills
6
Principal Auditor Resume Examples & Samples
- 3+ years of IT Auditing or IT Risk Management
- Understanding of Business Products and processes based on proven industry track record
- Previous experience with Internal / Application Controls
- Experience in the execution of IT General Controls
- CISA and/or Prince2 certification
7
Principal Auditor Resume Examples & Samples
- Strong SME skills in the outsourcing and vendor governance arena
- Proven track record in Audit or a related discipline
- Strong appreciation of Risks, Regulatory requirements and Controls in the third party vendor outsourcing and service delivery environment
- Proven track record of leading complex Audits, including those incorporating vendors in scope, and delivering to a high standard on time and on budget
- Expertise gained in the Banking environment
8
Principal Auditor Resume Examples & Samples
- 3+ years of experience in auditing and accounting
- 3+ years of experience in compliance or a combination
- 2+ years of experience in leading audits
- 1+ year experience in compliance, including consumer, Anti-Money Laundering (AML), brokerage, wealth management, and trust
9
Principal Auditor Resume Examples & Samples
- Bachelor's Degree or equivalent work experience
- 2-8 years of professional work experience
- CISA, ACA, and CPA
- Exceptional audit skills
- Demonstrates intellectual curiosity
- Ability to evaluate and understand risk
- Strong knowledge of auditing standards and concepts
- Solid understanding of global banking control environment and compliance issues in the banking/finance industry
- Experience in building and managing effective relationships
10
Principal Auditor Resume Examples & Samples
- 5+ years of Audit, Business, Risk Management, and Control Function experience in a global Investment Bank
- CPA, CFA, CIA, FINRA series
- Understanding of front to back end activities within the Sales and Trading environment
- Exposure to financial products and the ability to identify and evaluate risks associated with these products
11
FBO Principal Auditor Resume Examples & Samples
- 7-10 years of experience with a combination of financial services and Big 4 accounting firm exposure
- Working knowledge of key financial and regulatory reporting risks
- Strong understanding of banking and capital markets products, and key banking regulations
- Flexible, proactive, self sufficient and innovative individual
- Strong organizational and multitasking skills
- Excellent written / verbal communication skills
- Innovative mindset and ability to develop ideas
- CPA/ CFA or FRM
12
AVP / VP Principal Auditor Resume Examples & Samples
- Bachelor's Degree
- 4-5 years of experience within financial services in an AML/Compliance function or AFC Internal Audit role
- Internal audit and /or practical experience within the financial services industry covering Anti-Financial Crime topics
- Thorough understanding of banking risk and control environment
- In-depth knowledge of the regulatory environment
- CAMS and CFE certifications
- Legal degree
13
Principal Auditor Resume Examples & Samples
- Bachelor's Degree or equivalent from an accredited college or university, or equivalent work experience
- Professional/industry recognized qualifications, such as a CPA or CISA
- Sound audit/business knowledge and experience
- Demonstrated understanding of the legal and compliance risks and regulatory requirements in one or more of the following business/functional areas: Investment Banking, Transaction Banking, Retail & Corporate Banking, Asset & Wealth Management, Business Services (operations), Risk, Legal & Compliance, Finance and Information Technology
- Demonstrates intellectual curiosity and is able to understand and evaluate risk
- Excellent understanding of global banking control environment and compliance issues in the banking/finance industry
14
Principal Auditor Resume Examples & Samples
- 5+ years of Audit experience working within a major Investment Bank or Big 4 Accounting firm
- Previous Compliance and Internal Controls experience
- Significant knowledge of Audit execution and methodology
- Strong knowledge of Financial processes and the ability to identify and evaluate risks associated with these processes
- Knowledge / experience of locally applicable key regulations of the Financial Services industry
15
Principal Auditor Resume Examples & Samples
- 4+ years of IT Audit or IT Risk experience
- Professional / industry recognized qualifications (CISA, COBIT, Prince2, ITIL, etc.)
- Good knowledge of auditing standards and concepts (e.g. ISO27001, COBIT, SOx)
- Strong understanding and a natural awareness of the expected Global Banking IT control environments and current Compliance findings in the Banking / Finance industry
- Familiarity with Operational requirements of a Global Bank
- Solid relationship management, analytical, problem solving, and presentation skills
16
Principal Auditor Resume Examples & Samples
- 4+ years of related experience
- Bachelor's Degree in Accounting, Finance, or related discipline
- Audit or relevant Business Line / Risk Management experience
- Strong knowledge of Basel regulatory capital rules and their interpretation in the financial services industry and by regulators
- Strong knowledge of Capital Planning, Capital Management, Stress Testing, Financial Forecasting and/or CCAR Reporting
- CPA, CFA, FRM or similar certification
17
Principal Auditor Resume Examples & Samples
- 4-5 years of experience within financial services in an AML/Compliance/KYC function or other relevant role
- Internal audit and /or practical experience within the financial services industry covering Know Your Client / Anti-Financial Crime topics
- Thorough understanding of banking risk and control environment, regulatory changes and in-depth knowledge of the regulatory environment specific to the AFC/KYC
- Proven record of excellent written / verbal communication skills
- Proven track record of operating in an audit role, including leading and delivery audits and is now seeking to apply these skills within a global SME and local product capacity closely supporting the Principal Audit Manager
18
Principal Auditor Resume Examples & Samples
- Leading a team on individual assignments as well as assisting in the scheduling and staffing of audit engagements
- Documenting activity flows of processes to be reviewed, identifying risks and the key actual controls in place to mitigate the identified risks, as well as attending meetings with internal stakeholders when required
- Executing audit fieldwork in line with the agreed audit approach testing of key controls, to determine whether it is operating effectively in accordance with divisional standards
- Completing all assigned work in line with agreed budgets, including ad hoc projects and special investigations
- Developing and maintaining professional working relationships with colleagues, the business and respective support areas
- Partnering with other divisions and teams during audit engagement, to guarantee an integrated approach
- Presenting complex and sensitive messages such as audit issues, comprehensively and professionally in order to reduce complex topics to simple statements
- Participating in exit meetings, drafting high quality audit reports for review by audit management, facilitating issue tracking, validating the closure of issues and approving closure of important issues
19
Principal Auditor Resume Examples & Samples
- Responsible for executing audits to the highest industry standards within a global risk-based audit plan covering Enterprise Risk, using GA’s Methodology and Process System audit methodology
- Risk identification and assessment
- Act as an SME to support the Principal Audit Manager (PAM) in identifying and assessing existing and emerging enterprise/regulatory risks throughout the Bank
- Support and input research and expertise within the quarterly analysis of key ERM risk topics to GA management
- Ongoing business monitoring with ERM stakeholders as well as keeping abreast of pertinent industry, regulatory and business practices
- Recommend plan adjustments and scope enhancements to the PAM based on identification of emerging risks through ongoing risk monitoring
- Deliver risk-led reviews and input into team oversight of adequate coverage of key risks under ERM responsibility
- Deliver training and up-skilling of team and wider department, based on existing expertise and relevant audit coverage
- Develop key relationships with stakeholders covering specific ERM areas, as agreed with PAM
- Maintain excellent and responsive working relationships with management, business stakeholders, regulators and external auditors
20
Principal Auditor Resume Examples & Samples
- Evaluate the adequacy and effectiveness of internal controls relating to AFC risks in accordance with group audit methodology and the established risk assessment framework
- Conduct AFC risk assessment for UK & CEEMEA region and contribute to risk assessment / business monitoring conducted at the country level by country heads
- Undertake audit assignments, draft audit issues for review by audit management, facilitate issue tracking and validate closure of issues. Participate in meetings with business auditors and provide input business lead audits
- Pro-actively develop and maintain professional working relationships with colleagues, the business and respective support areas and work in an integrated manner with fellow team members both locally and globally
- When required assist in training other Group Audit staff on AML and oversee execution of the AFC audit program
- Develop and maintain broad regulatory experience. Keep current on business/industry changes and their affect on the audit plan/approach and risk assessments
21
Principal Auditor Resume Examples & Samples
- Evaluate the design and operating effectiveness of internal controls relating to CRegO/CEOs divisional risks in accordance with group audit methodology and the established risk assessment framework
- Conduct CRegO/CEOs divisional risk assessment for the Americas region and contribute to risk assessment/business monitoring conducted at the country level by country Audit Heads
- Undertake audit assignments, draft audit issues for review by audit management, conduct issue tracking and validate closure of issues. Participate in meetings with business auditors and provide input for business-led audits
- When required, assist in training other Group Audit staff on CRegO/CEOs related topics and oversee execution of the CRegO/CEOs audit program
- Develop and maintain broad regulatory knowledge & experience. Stay abreast of business/industry changes and their effect on the department’s audit plan, methodology and risk assessments
22
Principal Auditor Resume Examples & Samples
- 4+ year of Public Accounting/Private Industry and/or Private Internal Audit experience out of the Financial Services industry
- Knowledge and experience of Financial Services, particularly Transaction Banking Products including Cash Management; Trade Finance and Securities services
- Solid strategic and analytical thinking skills
23
Principal Auditor Resume Examples & Samples
- Conduct AFC risk assessment for US and South America region and contribute to risk assessment / business monitoring conducted at the country level by country heads
- When required assist in training other GA staff on AML and oversee execution of the AFC audit program
- Minimum 4-5 years of experience within financial services in an AML/Compliance function or AFC Internal Audit role
- Internal audit and /or practical experience within the financial services industry covering Anti-Financial Crime topics (e.g., AML, anti-bribery and corruption, fraud)
- Thorough understanding of banking risk and control environment, regulatory changes and in depth knowledge of the regulatory environment
- Excellent written / verbal communication skills and be able to communicate effectively at all levels within Group Audit and with the client
24
Principal Auditor Resume Examples & Samples
- Executing a global risk-based audit plan covering Market Risk, using GA’s Methodology and Process System audit methodology
- Identifying and assessing risks
- Providing subject matter expertise to support the Principal Audit Manager (PAM) in identifying and assessing market risks throughout Deutsche Bank
- Providing quarterly analysis to GA management and the product aligned audit teams, to inform them of the evolution of key market risk developments
- Conducting periodic reviews of adequate reflection of these risks, in the business aligned risk assessment profiles
- Monitoring business with key Market Risk Management stakeholders, as well as keeping abreast of pertinent industry, regulatory and business practices
- Recommending plan adjustments to the Market Risk PAM, based on the identification of emerging risks, through ongoing risk monitoring
- Delivering risk led reviews in areas of expertise and providing oversight of adequate coverage of key risks under responsibility, in business aligned reviews
- Providing support for the subject matter expert team members as per the coverage model and the audit plan
- Acting as GA’s relationship manager and primary point of contact for areas of responsibility as agreed with Market Risk PAM
- Maintaining excellent and responsive working relationships with management, regulators and external auditors
25
Principal Auditor Resume Examples & Samples
- Coordinate Basel related audit coverage and be involved in various audit activities including performance of risk assessments, audit planning, testing, documentation, control evaluation and reporting to senior management
- Undertake audit assignments, draft audit reports for review by audit management, facilitate issue tracking and validate closure of issues
- Minimum 5-7 years audit or relevant business line/risk management experience
- Strong knowledge of capital planning, capital management, stress testing, financial forecasting and/or CCAR reporting
- Excellent communication and interpersonal skills required with ability to present complex and sensitive issues to management
- Ability to multiple tasks concurrently in an efficient and effective manner and with minimal supervision
26
Principal Auditor Asset Management & Wealth Management Resume Examples & Samples
- In addition, significant audit experience in a major Investment Bank or Asset Manager is a pre-requisite
- We are seeking a senior audit professional who is a self starter and is able to operate with and communicate to senior levels of the company
- The candidate should be flexible, pro-active, self sufficient and innovative with strong organisational skills to take ownership and responsibility of agreed targets and meet them within budget to enable a timely and efficient completion of audit projects. They will be a natural role model and reference point for their peer group
27
Principal Auditor Resume Examples & Samples
- Conduct AFC risk assessment for the Americas region and contribute to risk assessment/business monitoring conducted at the country level by country Audit Heads
- When required, assist in training other GA staff on AML topics and oversee execution of the AFC audit program
- Develop and maintain broad regulatory knowledge & experience. Stay abreast of business/industry changes and their affect on the department’s audit plan, methodology and risk assessments
28
Principal Auditor Resume Examples & Samples
- The candidate will be required to evaluate the adequacy and effectiveness of internal controls relating to the Americas’ Finance group, including the following infrastructure groups: Legal Entity Controllers, Product Controllers, Treasury, Valuations and Tax supporting the different business areas within the bank in accordance with Group Audit Methodology and the established risk assessment framework
- The candidate will contribute to Risk Assessment Profiles/ Business Monitoring and overall implementation of Group Audit Methodology
- The candidate will be a team member, or may lead an audit team during fieldwork, and will be required to implement dynamic planning through continuous monitoring of the business
- He or she will be required to successfully implement, and contribute to, risk based audits both locally and globally
- The candidate will undertake audit assignments, draft audit reports for review by audit management and facilitate issue tracking and validate closure of issues
- The candidate will be required to complete all work assigned to them on a timely basis. This may also include ad hoc projects and special investigations
- The candidate will be expected to proactively contribute to an environment in which people want to do their best and are proud to be members of the team
29
Principal Auditor Resume Examples & Samples
- Developing and maintaining professional, consultative, working relationships in order to gain a better understanding of the business, key developments and risk drivers and supporting the continuous audit assessment and dynamic audit planning processes
- Executing day to day operational audit work and contributing to the delivery of audits (including the updating of Risk Assessment profiles and the Continuous Audit Assessment process)
- Undertaking audit assignments, drafting audit reports for review by Audit Management, facilitating issue tracking and validating closure of issue
- Executing audit fieldwork in line with the agreed budgets, including ad hoc projects and special investigations
- Pro-actively developing and maintaining professional working relationships with Colleagues, the business and respective support areas
- Partnering with other audit teams such as Credit, Finance and Group Technology & Operations during audit engagements to ensure comprehensive coverage and an integrated approach to front to back audits of Corporate Finance and associated support functions
- Communicating openly with GA Management and the internal Stakeholders; keeping them informed of potential issues and escalating problems / delays accordingly
- Keeping abreast of pertinent Industry, Regulatory and Business practices
30
Principal Auditor Resume Examples & Samples
- 7+ years of Asset Management and/or Wealth Management experience
- Strong knowledge of institutional/retail Asset Management and Private Banking, including Offshore Banking, Real Estate Asset Management, and Private Equity
- Significant audit experience in a major Investment Bank or Asset Manager
- Collaborative and innovative mindset
31
Principal Auditor Resume Examples & Samples
- Leading and / or participating in front-to-back Trading and Sales audits, including Global audits
- Assisting the PAM with continuous monitoring of the assigned businesses and with the development of risk assessments to feed into the audit plan. This will involve building and maintaining numerous relationships with key stakeholders across the business and internally
- Leading the full audit lifecycle from planning to conducting exit meetings and drafting high quality audit reports for review by audit management
- Facilitating issue tracking and validating the closure of risk issues
- Close liaison and coordination with other GA teams, both in the US and elsewhere, to provide comprehensive front-to-back coverage. This includes working with functional specialists across Finance, Market Risk, Credit Risk, Compliance and Operations
- Execute all audit work in line with GA audit methodology
- The PA may also be required to lead, or participate in, ad hoc projects; and
- 6+ years audit experience in a global investment bank
- Considerable experience in leading front-to-back trading audits, preferably including global audits
- Excellent understanding of front-to-back processes within the Trading and Sales environment (e.g. Front Office, Market Risk, Credit Risk, Finance, Operations and Compliance)
- Extensive product knowledge across Fixed Income and FX (Derivatives and Cash), and the ability to identify and evaluate the key risks associated with these products
- Excellent project management and planning skills
- The candidate must be able to multi-task assignments and prioritize their workload with limited supervision and be resilient under pressure
- Creative, tenacious and delivery oriented
- Highly motivated, confident, and enthusiastic
- Ability to challenge and be challenged, whilst maintaining the highest levels of professionalism
32
Principal Auditor Resume Examples & Samples
- Lead and/or participate on multiple audit engagements and projects simultaneously ensuring each engagement is conducted in an efficient and effective manner
- Demonstrated leadership potential
- Ability to quickly develop an understanding of business processes, risks and controls, and apply auditing standards to assignments through practical application
- Consistently demonstrate an ability to remain flexible and flourish in a fast-paced, complex environment with competing priorities and deadlines, including a willingness to adapt to new surroundings, circumstances, information, challenges and flexibility to work in an environment with shared work space both on and at off-site locations
- Perform other assigned tasks successfully as required
- Flexibility to work in excess of a standard 40 hours per week to complete each audit on time and deliver the annual audit plan
33
Principal Auditor Resume Examples & Samples
- 2+ years of professional experience in Auditing or Financial Accounting
- Previous experience working within a Financial Services company
- Solid Audit (Financial, Operational, Products) and Internal / Infrastructure Control background
- Previous experience working within a Global Investment Bank / Broker Dealer
34
Principal Auditor Resume Examples & Samples
- Bachelors degree in Accounting, Finance or a related field
- Obtained or working towards a relevant certification/ industry accreditation
- 6+ years of audit experience in a global investment bank
- Considerable experience in leading front-to-back trading audits, preferably global audits
- Excellent understanding of front-to-back processes within the Trading and Sales environment
- Extensive product knowledge across Fixed Income and FX (Derivatives and Cash)
- Ability to identify and evaluate the key risks associated with these products
35
Principal Auditor Resume Examples & Samples
- 2-3 years of information technology experience and / or IT auditing, IT risk management experience
- Solid understanding of IT, business products and processes based on proven industry track record
- Experience of the execution of IT General Controls and good control awareness preferably within Financial and Risk Systems
- COBIT and ITIL frameworks knowledge
- Knowledge and experience of financial services products
- Experience working within the operational requirements and regulatory environment of a global bank
- Proven track record of meeting client needs in a financial services environment
- Understanding of investment banking control environment and financial services products
- An understanding of Regulatory and senior management (internal / external to Group Audit) reporting requirements
- CISA, Prince2 and/or FRM certification
36
Principal Auditor Resume Examples & Samples
- 4+ years of Audit (Financial, Operational, Products) experience
- Knowledge and experience of Financial Services particularly Corporate Finance products
- Previous experience with Fixed Income, Internal Controls, and Mergers & Acquisitions
- Solid strategic and analytical thinking
37
Principal Auditor Resume Examples & Samples
- Supporting the Global Lead Principal Audit Manager (PAM), to deliver the audit plan
- Understanding the structured credit and especially securitisation marketplace, and responding to expectations while continually developing your technical expertise relevant to the industry
- Planning (or supporting the planning of) audit engagements based upon a risk-based approach, using Group Audit (GA) methodology
- Supporting the execution of planned audits, including execution of fieldwork, identification of issues, drafting issues and final reports, and discussion of these with key stakeholders within the business/control areas and GA
- Timely closure and validation of reported issues
- Monitoring the performance of ongoing Continuous Audit Appraisals (CAA), to confirm that risk assessment profiles for areas of responsibility remain up to date
- Recommending plan adjustments to the PAM based on identification of emerging risks, through ongoing risk monitoring
- Participating in departmental initiatives, internal projects and potentially in special investigations
- Providing coverage in locations other than London
- Experience auditing various XVA, including Credit Valuation Adjustment (both accounting as well as regulatory) and Funding Valuation Adjustment (FVA) in a large, complex and multinational financial institution
- Knowledge of securitised credit and structured products (beneficial)
- Experience in a finance function of a large, complex multi national bank or having to audit one whilst with one of the Big-4 accountancy firms (beneficial)
- Good experience of analysing and managing credit risk
- Experience of securitised products (beneficial)
- Knowledge/coverage of other applicable risks including market/credit/operational risk, finance, legal, compliance, regulatory, etc
- The ability to multi-task assignments and prioritise workload with limited supervision
- Excellent written/verbal communication skills and the ability to communicate effectively with business/control areas
38
Principal Auditor Resume Examples & Samples
- 7+ years of experience within financial services in an Internal Audit role
- Proven track record of operating in an audit role
- Thorough understanding of the risks and controls, and in-depth knowledge of the regulatory environment
- Professional credentials, including degree-level education and relevant professional qualifications
- Proven record of excellent written and verbal communication skills
- Ability to communicate effectively at all levels within Group Audit and with Stakeholders
- Able to take ownership and responsibility of agreed targets
39
Principal Auditor Resume Examples & Samples
- Providing subject matter expertise to support the Principal Audit Manager in identifying and assessing market risks throughout Deutsche Bank
- Experience in auditing, which is focused on market risk
- Investment banking experience, either in a financial institution or a professional practice environment
- A solid understanding of financial services products
- An understanding of market risk and the broader risk management frameworks
- A thorough understanding of market risk issues, in a global banking control environment
- A solid understanding of risk management techniques and regulatory requirements
- Excellent partnering and stakeholder management skills
- Excellent analytical and communication skills (both oral and written)
- A degree-level education or to the equivalent
- A relevant risk professional qualification (professional risk manager, financial risk manager, certificate of quantitative finance)
- Able to build strong relationships and work collaboratively with management teams and with other control functions
- Able to convey complex concepts and ideas on issues requiring interpretation and opinion
- Strongly self-motivated
- Able to challenge and be challenged, whilst maintaining the highest levels of professionalism
40
Principal Auditor Resume Examples & Samples
- 4+ year of Audit experience (Financial, Operational, Products)
- Knowledge and experience of Financial Services industry, particularly Corporate Finance products including: Mergers & Acquisitions (M&A); Equity Capital Markets (ECM); and, Debt Capital Markets (DCM)
- Previous experience with Fixed Income, Internal Controls, and Mergers and Acquisitions
- Solid strategic / analytical thinking skills
41
Principal Auditor Resume Examples & Samples
- Executing day-to-day operational audit work and contributing to the delivery of audits (including risk assessment profiles and the Continuous Audit Assessment process)
- Implementing dynamic planning through Continuous Audit Assessment of the business
- Executing audit fieldwork in line with the agreed audit approach e.g. testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with divisional standards
- Pro-actively developing and maintaining professional working relationships with colleagues, the business and respective support areas
- Partnering with other divisions / teams during audit engagement to guarantee an integrated approach
- Reviewing and providing expert opinions on action plans provided by clients, helping them to develop robust remediation plans
- Presenting complex and sensitive messages (such as audit issues) comprehensively and professionally and reducing complex topics to simple statements
- Acting as a competent partner and challenger to Clients in the closure process of findings
- Communicating openly with divisional management and the internal stakeholders; keeping them informed of potential issues and escalating problems / delays accordingly
- Leading a team on individual assignments (where required)
- Expertise in one or more areas of model risk and controls
- Sound audit / business knowledge and experience and an understanding of the risks and regulatory requirements
- Able to demonstrate intellectual curiosity and understand and evaluate risk
- Good knowledge of auditing standards and concepts
- Good understanding of the global banking control environment and compliance issues in the banking / finance industry
- Able to work in virtual, global teams in a matrix organisation, transferring knowledge and developing capability of team members
- Strong relationship management, analytical, problem solving, influencing, planning and presentation skills
- Strong communication skills, communicating with clarity, both verbally and in writing, in a logical order and with a structured approach. Fluent in English (written and verbal) and local languages if necessary
- Educated to Bachelors degree level (preferably Masters degree or PhD) in quantitative subject supplemented with relevant work experience in model development, validation, or audit coverage thereof (or equivalent qualification)
- Holder of professional/industry recognised qualifications e.g. Accountancy qualifications such as Association of Chartered Accountants (ACA) and Certified Public Accountant (CPA); other industry qualifications such as Financial Risk Manager (FRM), Professional Risk Manager (PRM), Certificate in Quantitative Finance (CQF), Chartered Financial Analyst (CFA)
42
Principal Auditor Resume Examples & Samples
- Preparation and delivery of Internal Audit programs relating to Volcker
- Evaluate the adequacy and effectiveness of internal controls relating to key financial and regulatory reporting operations in accordance with group audit methodology and the established risk assessment framework
- Contribute to risk assessment profiles/business monitoring and the overall implementation of group audit methodology
- Develop and maintain broad financial services experience, Bank knowledge and technical expertise. Keep current on business/industry changes and their affect on the audit plan/approach and Risk Assessments
- Sound understanding of the Volcker Rule
- Minimum of 5+ years relevant experience managing a front/middle office support environment, audit team or in a consulting or project management capacity with a similar remit
- Strong financial markets product and/or risk knowledge across multiple asset classes
- Minimum 5 years of experience with a combination of financial services, audit and/or big 4 accounting firm exposure
- Must possess excellent written and communications skills and show comfort interfacing with senior stakeholders across trading desks, product control, legal, and technology
- Good written / verbal communication skills and be able to communicate effectively at all levels within Group Audit and with the client
- Project management experience is a plus
43
Principal Auditor Resume Examples & Samples
- Executes day-to-day operational audit work and contributes to the delivery of audits (including risk assessment profiles and business monitoring)
- Reviews and provides expert opinions on action plans provided by clients, helping them develop robust remediation plans
- Proactively keeps abreast of pertinent industry, regulatory and business practices
- Sound audit/business knowledge and experience and an understanding of the risks and regulatory requirements in Asset & Wealth Management
- Good understanding of global banking control environment and compliance issues in the banking/finance industry
- Strong relationship management, analytical, problem solving, communication, influencing, planning and presentation skills
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Principal Auditor, GM Equities Resume Examples & Samples
- Identifying and assessing key risks and controls and designing appropriate testing methodologies
- Ensure timely completion of audit work/assignments in line with agreed milestones and budgets
- Keeping abreast of pertinent industry, regulatory and business practices
- Understanding of front-to-back processes within the Trading and Sales environment (e.g. Front Office, Market Risk, Credit Risk, Finance, Operations and Compliance)
- Product knowledge across Equities (Derivatives and Cash) and Prime Brokerage is a plus
- Deep understanding of the financial services industry with the ability to provide insight into key developments, challenges and risks
- The candidate must be able to multi-task assignments and prioritise their workload with limited supervision and be resilient under pressure
- Strong communication (oral and written) and influencing skills
- Team player with a positive attitude and willingness to accept responsibility
- Develops technical expertise continuously
- Unquestionable personal integrity and ethics; and
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Principal Auditor Resume Examples & Samples
- Have a strong appreciation of risks, regulatory requirements and controls in the third party vendor outsourcing and service delivery environment. SME experience of working directly with vendors (e.g. audit reviews of vendor locations), vendor governance, relevant specialist skills (such as service billing forensics, third party due diligence) or in a vendor delivery environment supporting clients is an advantage
- Be capable of carrying out planning, preparation, coordination and execution of audits, including those in international vendor locations, and be able to facilitate issue tracking and validate closure of issues
- Confidence, drive and enthusiasm
- A willingness to accept responsibility, a positive attitude and a delivery focus
- Strong English communication skills, both oral and written. Fluency in other languages to a business standard is advantageous, but not mandatory
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Principal Auditor Operational Risk Resume Examples & Samples
- Identifying risks and carrying out assessments
- Supporting the Operational Risk Management (ORM) Principal Audit Manager, in providing subject matter expertise to identify and assess operational risks throughout the Bank
- Providing quarterly analysis to Group Audit (GA) management and the product aligned teams, to inform them on the evolution of key operational risk developments and conducting periodic reviews of adequate reflection of these risks in the business aligned risk assessment profiles
- Monitoring business with key ORM and Business teams
- Keeping abreast of pertinent industry, regulatory and business practices including through industry networks
- Acting as a trusted partner and supporting the ORM function, in their ongoing framework transformation
- Carrying out audit coverage design
- Supporting the ORM Principal Audit Manager, in designing the coverage approach for Operational Risk, New Product Approval/New Transaction Approval and Reputational Risk globally, including in regard to the clarity of minimum testing to be conducted in business led reviews
- Coordinating with the Business aligned teams, and regional Risk & Financial reporting Privat Anlage Management (PAM), in order to drive a comprehensive coverage of key risks in the audit plan
- Recommending plan adjustments based on the identification of emerging risks, through ongoing risk monitoring
- Executing the audit plan, delivering risk led reviews as well as contributing in business aligned reviews
- Acting as GA’s Relationship Manager and primary point of contact, maintaining excellent and responsive working relationships with Management, the wider GA team, Regulators and external Auditors
- Very strong investment banking experience, either in a financial institution or a professional practice environment, with a strong expertise in ORM and/or product/transaction management
- A strong understanding of risk management frameworks, for the operational risks in a global banking control environment, with a sound knowledge of banking activities, including capital market products, risk management techniques and regulatory requirements
- A strong understanding of operational risk issues in a global Banking control environment
- Excellent analytical and communication skills, oral and written English, together with advanced presentation and interactive skills
- Direct experience as an Auditor, or an understanding of the audit processes from prior roles in a control function
- Professional credentials, including degree-level education and a relevant Risk or Accounting qualification or the equivalent experience in a relevant area
- Able to build strong relationships, successfully navigate a complex and multi-national organisation, and work collaboratively with Management teams and with other Control functions
- An awareness of cost to drive the efficient management of resources
- Effective in operating in a diverse team, appraising and developing your own and Team Member’s abilities and potential
- Independent in judgment and with unquestionable personal integrity and ethic
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Principal Auditor Resume Examples & Samples
- Leads the execution and reporting on the quality of controls across all risk creating areas including, but not limited to perations, finance, regulatory, technology, M&A, and clearing
- Leads and provides expertise on multiple concurrent projects, managing conflicting priorities to achieve results on time and remaining accountable when managing through unintended impediments and adjusting scope and resources as necessary
- Manages the planning, interviewing, and assessment of controls and procedures of specialized and complex audit assignments
- Provides an educative and consultative approach when counseling smart control recommendations
- Reviews the findings and written internal audit recommendations
- Ensures sufficient audit tools are used in the audit assignments
- Regarded as the technical expert in their particular field
- Senior leaders within NASDAQ seek them out for development and new product development
- As the senior expert, acts as the escalation point for both internal and external people as it relates to technical expertise
- Anticipates business and regulatory issues; recommends product, process or service improvements
- Is visionary from a new solutions/products perspective, considering ‘what is possible’
- Is involved in functional strategy formulation; can over-ride functional directives when required
- Challenges the status quo through openness without judgment
- Leads projects with notable risk and complexity; develops the strategy for project execution
- Proactively thinks ahead, planning for future business needs, and personal competency needs to reach goals
- Leads others to solve complex problems. Often will facilitate global working group for issue resolution
- Solves unique and complex problems with broad impact on the business; requires conceptual and innovative thinking to develop solutions
- By words and actions is able to create, manage and inspire change across the organization
- Impacts the direction and resource allocation for program, project or services; works within general functional policies and industry guidelines
- Is involved in senior leadership decisions, being the expert reference on an issue
- Communicates complex ideas, anticipates potential objections and persuades others, often at senior levels, to adopt a different point of view based on sound reasons
- Acts as a role model when it comes to sharing knowledge and expertise across organizational boundaries
- Shows initiative to deliver better results than expected and often offers his/her help to others in order to achieve shared goals
- Ensures team and stakeholders know their roles in decreasing control and exposure problems and mitigation plans; maintains dialogue and transparency
- Facilitates audit and control activities and discussions with stakeholders, ensuring cognizance of business objectives and compliance with audit standards
- Anticipates potential issues and risks and generates contingencies to ensure successful plan completion
- Possesses a deep understanding of the organization’s primary systems and reporting mechanisms, troubleshooting when necessary and suggesting areas for improvement
- Provides expertise regarding company system use and application, challenging viewpoints when proper systems aren’t being utilized
- Reviews anomalies or unique data and analyses, ensuring that colleagues are reviewing accurately and efficiently
- Provides expertise and guidance on novel analyses and unique questions, presenting findings to customers and varying audiences
- Leverages subject matter expertise to provide and identify valuable insights and creative suggestions on proposed audit plans
- Identifies complex inconsistencies between work products and supporting analyses and recommendations; leads team to resolve them
- Identifies unique control and processing risks during the course of an audit by viewing them from another perspective, shifts audit testing focus accordingly
- Recommends risk management improvements and provides guidance to others on risk management concepts and their consequences
- Applies functional and technical knowledge and expertise to complex, non-routine problems/issues provides guidance to other associates regarding trends
- Combines knowledge and skills in more than one technical area to promote effectiveness in the business unit and enhance the strategy; shares knowledge with the team to increase effectiveness
- Employs expert knowledge of own technical areas and a broad understanding of related disciplines to create advanced programs/processes; promotes the use of best-in-class practice
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Principal Auditor Resume Examples & Samples
- Implementing dynamic planning through continuous monitoring of the business and successfully implementing risk based audits both locally and globally in accordance with Group Audit methodology
- Coordinating Audit assignments involving large teams, liaising with the Subject Matter Experts from Financial Reporting, Information Technology, Compliance, Operations and Risk Audit teams and managing numerous stakeholders, both internal and external to Group Audit
- Validating the closure of management action plans and findings
- Completing all work on a timely basis
- Developing relationships across the Deutsche Bank franchise and communicating the results of audit work to clients at all levels
- Understanding the client’s marketplace and responding to expectations
- Continuing to develop technical expertise relevant to the industry
- Travelling when required - whilst the audit work is based in London, the team is responsible for coverage in other locations including Americas, Europe and Asia Pacific
- Prior experience in Global Markets audit
- Strong knowledge of Foreign Exchange, Rates and Credit Products
- Demonstrable knowledge of Risk and Profit and Loss, Valuations, Operations, Compliance and Regulatory requirements and processes
- Ability to lead global audits
- A self-starter who is able to operate at all levels of the company
- Innovative with strong organisational skills
- Ability to take ownership and responsibility to enable a timely and efficient completion of Audit projects
- Ability to draft Audit reports for review by the PAM
- Ability to multi-task assignments and prioritise workload with limited supervision
- An excellent written and verbal communicator across all levels within Group Audit and with clients
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Principal Auditor Equities Resume Examples & Samples
- Executing day-to-day audit work on the basis of Deutsche Bank Group Audit Methodologies (conducting risk assessments, designing tests to assess control effectiveness for key risks, drafting audit reports for management review, facilitating issue tracking and validating closure of issues)
- You will have the opportunity to lead and successfully deliver Equities audits, or participate in integrated business audits, both locally and globally
- Discussing exceptions found during fieldwork with Principal Auditor/Vice Presidents and Principal Audit Manager
- Communicating with Principal Audit Manager regarding audit progress and escalating problems/delays
- Completing audit work/assignments in line with agreed budgets
- Participating in internal projects
- Contributing to Risk Assessment Profiles and Continuous Audit Assessment for relevant business areas
- Pro-actively developing and maintaining professional working relationships with colleagues, the business and respective support areas and working in an integrated manner with fellow team members in London and other locations
- Developing and maintaining broad financial services experience and Bank knowledge. Keeping abreast of business/industry changes and your impact on the Deutsche Banks plan/approach
- Extensive experience of audit or control function experience in a global investment bank
- Significant experience of auditing in an investment banking environment including audit of capital markets products (particularly Equities)
- Ability to identify and evaluate risks within the control environment. Sound judgment on the impact of issues raised
- Strong analytical, communication, and project management skills
- Big 4 accounting experience is a plus
- Educated to Bachelors Degree level (or equivalent qualification or work experience), and accountancy or other equivalent professional qualification (e.g. ACA, CIA, CISA)
- Take ownership and responsibility of agreed targets and meet them within budget to enable a timely and efficient completion of audit projects
- Ability to work independently with limited day to day oversight
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Principal Auditor Resume Examples & Samples
- Develop and execute the audit plan
- Develop Junior Staff members
- Identify opportunities to improve business processes
- Aid Senior Manager in management meetings for European business
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Principal Auditor Resume Examples & Samples
- Executing a global risk-based audit plan covering Market Risk, using Group Audit's (GA) Methodology and Process System audit methodology
- Conducting periodic reviews of these risks in the business aligned risk assessment profiles
- Recommending plan adjustments to the Market Risk PAM, based on the identification of emerging risks through on-going risk monitoring
- Maintaining excellent and responsive working relationships with Management, Regulators and External Auditors
- Experience in auditing with a focus on Market Risk
- A solid understanding of Financial Services products
- An understanding of Market Risk and the broader risk management frameworks
- A degree-level education or equivalent qualification / work experience
- A relevant risk professional qualification (Professional Risk Manager, Financial Risk Manager, Certificate of Quantitative Finance)
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Principal Auditor Resume Examples & Samples
- Developing and maintaining an in-depth understanding of business areas, its products and supporting functions
- Executing audit testing and co-ordinating with team members to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards
- Identifying risks, assessing mitigating controls and making recommendations on improving the control environment
- Preparing commercially effective audit conclusions and findings, presenting to GA Senior Management and business clients
- Following-up on open audit findings and their resolution
- Participating in department-wide initiatives aimed at continually improving GA’s processes and supporting Infrastructure
- Occasional international travel is required from time to time
- Strong experience in either a professional or internal audit role within the Financial Services / Banking industry or a related Control function
- Educated to Bachelor degree level (or equivalent qualification / work experience)
- Solid knowledge of Compliance, Regulatory Risk and / or Conduct Risk management functions within a Financial / Banking institution or other organisation including: Government & Regulatory Affairs, Corporate Governance, Operational Risk Management, Regulatory Reporting
- Strong leadership, interpersonal and relationship management skills
- Highly motivated with the ability to multi-task and remain organised in a fast-paced environment with minimal supervision
- Solid understanding of financial concepts and / or operations related to Corporate and Investment Banking, Asset & Wealth Management, Private and Retail Banking (beneficial)
- Knowledge in any of the following areas: MiFID (II) / MiFIR, MAD (I and II) / MAR, SM&CR, EMIR, The Dodd–Frank Wall Street Reform and Consumer Protection Act (beneficial)
- Educated to Master’s degree level (or equivalent qualification / work experience) (beneficial)
- Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, NASD Series) (beneficial)
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Principal Auditor Resume Examples & Samples
- The individual will lead audit teams, primarily in the areas of utility, regulatory operations, on highly complex, sensitive and/or specialized projects regarding employee health and safety, or audits having a major significance/risk to the Company by following the audit protocols and work program
- The individual willprimarily perform work in the various areas of Utility Operations, Security, and EHS processes, including regulatory compliance processes, on highly complex, sensitive and/or specialized projects. The individual may, based on capability and situations, lead audits
- Develop and provide recommendations based on audit field work for inclusion in audit reports to senior management that strengthens internal controls, enhance compliance, improve worker safety, reduce risks and improve operations. Audit Observations/Recommendations are identified during fieldwork, and must be supported by persuasive evidence including descriptions of tests performed, sample population, deviations from identified processes including significant gaps or deficiencies. Audit teams should strive to identify the cause of the Observation and not simply point out symptoms. Significant contributing factors (gaps) if articulated effectively as part of the condition assessment can help management understand the basis for the recommendations and develop corresponding corrective action plans to address the underlying causes and increase the effectiveness, efficiency and economy of their operations. This position would assist the audit team in the identification of potential recommendations
- Maintain contact with inter- and intra-department personnel, managers and supervisor; participate in periodic meetings with Operating Unit management up to and including Principal Managers and Directors
- Must have a minimum of 10 or more years of operational auditing experience in the areas of environmental, health and safety, regulatory compliance, physical security, or utility or process related operations
- Utility or Process Industry experience is highly desirable. Detailed knowledge of select business functions such as T&D and/or Power Production
- Certified Industrial Hygienist (CIH), Certified Hazardous Material Manager (CHMM), Certified Professional Environmental Health & Safety Auditor (CPEA) in active status, preferred
- Demonstrated experience performing risk analysis and assessments
- Demonstrated technical knowledge of hazard assessments, engineering and internal controls, and auditing standards
- Broad operational knowledge of Electric Utility Organizational Units such as Transmission & Distribution, Power Production, Customer Service, Operations Support including Safety, Environmental and Security, and Regulatory Policy such as CPUC Rules, General Orders, and Rate functions
- Demonstrated basic experience with data analytics approaches including
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Principal Auditor Resume Examples & Samples
- Executing day-to-day operational audit work and contributing to the delivery of audits (including risk assessment profiles and business monitoring)
- Leading a team on individual assignments
- Drafting high quality audit reports for review by Audit Management, facilitating issue tracking, validating and improving the closure of issues
- Executing audit fieldwork in line with the agreed audit approach e.g. documenting Activity Flows, identification of key risks, testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with divisional standards
- Completing all assigned audit work in line with agreed budgets, including ad hoc projects and special investigations
- Pro-actively keeping abreast of pertinent industry, regulatory and business practices
- Establishing and maintaining a client service / relationship approach in order to understand business needs. Interpreting stakeholder feedback on key business developments / risks and understanding the clients’ marketplace in order to address their needs and expectations whilst delivering ‘one voice’ to the client in all communications and correspondence
- Sound audit / business knowledge and experience, an understanding of the risks and regulatory requirements in Asset & Wealth Management
- International experience, coupled with a familiarity of working within the operational requirements of a global Bank. Demonstrates intellectual curiosity and is able to understand and evaluate risk
- Good understanding of the global banking control environment and of compliance issues in the Banking / Finance industry
- Ability to work in virtual, global teams in a matrix organisation, transferring knowledge and developing the capability of team members
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Principal Auditor Deutsche Asset Management Resume Examples & Samples
- Implementing dynamic planning through business monitoring
- Planning audits: documenting activity flows of the processes to be reviewed, identifying risks and the key actual controls in place to mitigate the identified risks and attending meetings with internal stakeholders as and when required
- Potentially leading a team on individual assignments
- Drafting high quality audit reports for review by audit management, facilitating issue tracking, validating the closure of issues and approving closure of important issues
- Reviewing and providing expert opinions on action plans provided by clients, helping them develop robust remediation plans
- Communicating openly with Divisional Management and the internal stakeholders, keeping them informed of potential issues and escalate problems and delays accordingly
- Presenting complex and sensitive messages (such as audit issues) comprehensively and professionally, reducing complex topics to simple statements
- Establishing and maintaining a client service / relationship approach with clients in order to understand their business needs
- Interpreting stakeholder feedback on key business developments and risks and understanding the clients’ marketplace in order to address their needs and expectations
- Delivering ‘one voice’ to the client in all communications and correspondence
- Sound audit / business knowledge and experience and an understanding of the risks and regulatory requirements in Asset and Wealth Management
- International experience, coupled with a familiarity of working within the operational requirements of a global Bank
- A good understanding of the global banking control environment and compliance issues in the Banking / Finance industry
- Able to work in virtual, global teams in a matrix organisation, transferring knowledge and developing the capability of team members
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Global Markets Principal Auditor Resume Examples & Samples
- Executes day-to-day operational audit work on the basis of DB Group Audit Methodologies (conducts risk assessments, designs tests to assess control effectiveness for key risks, drafts audit reports for management review, facilitate issue tracking and validate closure of issues)
- Discuss exceptions found during fieldwork with Principal Auditor/VPs and Principal Audit Manager
- Develops and maintains broad financial services experience and Bank knowledge
- Keeps abreast of business/industry changes and their effect on the DB plan/approach
- Communicates with Principal Audit Manager regarding audit progress and escalates problems/delays
- Pro-actively develop and maintain professional working relationships with colleagues, the business and respective support areas and work in an integrated manner with fellow team members in New York and other global locations
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Ofac Sanctions Principal Auditor Resume Examples & Samples
- Evaluate the adequacy and effectiveness of internal controls relating to OFAC/Sanctions risks in accordance with group audit methodology and the established risk assessment framework
- Assist in conducting OFAC/Sanctions risk assessment for the Americas region and contribute to risk assessment/business monitoring conducted at the country level by country Audit Heads
- When required, assist in training other GA staff on OFAC/Sanctions topics and oversee execution of the OFAC/Sanctions audit program
- A minimum of 3-5 years of experience within financial services in an Internal Audit role covering OFAC/Sanctions or relevant first/second line OFAC/Sanctions experience
- Working knowledge of OFAC/Sanctions system requirements, understanding of algorithms and scenarios, experience with validating data integrity, mapping fields from source systems to OFAC/Sanctions software, etc
- Thorough understanding of the banking risk and control environment, and knowledge of the regulatory environment specific to OFAC/Sanctions
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AFC Principal Auditor Resume Examples & Samples
- Evaluate the adequacy and effectiveness of internal controls relating to AFC risks (e.g., KYC, Transaction Monitoring, Anti-Bribery and Corruption, Fraud, etc.) in accordance with group audit methodology and the established risk assessment framework
- When required, assist in training other GA staff on AFC topics and oversee execution of the AFC audit program
- A minimum of 5-7 years of experience within financial services in an Internal Audit role covering AFC topics (e.g., AML, Anti-Bribery and Corruption, Fraud, etc.) or relevant first/second line AFC experience
- Working knowledge of AML system requirements, understanding of algorithms and scenarios, experience with validating data integrity, mapping fields from source systems to AML software, etc
- Thorough understanding of the banking risk and control environment, and in-depth knowledge of the regulatory environment specific to AFC
- Furthermore, maintaining the highest professional and ethical standards - and the ability to stand your ground when challenged - are key to succeed in this role
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AFC Principal Auditor Resume Examples & Samples
- Assist in conducting AFC risk assessment for the Americas region and contribute to risk assessment/business monitoring conducted at the country level by country Audit Heads
- A minimum of 3-5 years of experience within financial services in an Internal Audit role covering AFC topics (e.g., AML, Anti-Bribery and Corruption, Fraud, etc.) or relevant first/second line AFC experience
- Thorough understanding of the banking risk and control environment, and in-depth knowledge of the regulatory environment specific to AFC. Professional credentials, including degree level education and relevant professional qualifications
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Senior Internal Auditor / Principal Auditor Resume Examples & Samples
- Develop, plan, execute, and lead audits following IIA guidelines and all Company audit procedures
- Conduct risk assessments and review past audits and current information to help develop the audit plan that will contain the nature, timing, and extent of testing
- Prepare and present reports that reflect audit�s results and document process
- Identify areas for improvement in efficiency by reducing bottlenecks, simplifying processes, and focusing on risk mitigation
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Ofac / Sanctions Principal Auditor Resume Examples & Samples
- Conduct OFAC/Sanctions risk assessment for the Americas region and contribute to risk assessment/business monitoring conducted at the country level by country Audit Heads
- Undertake audit assignments, draft audit issues for review by audit management, conduct issue tracking and validate closure of issues
- Participate in and lead meetings with business auditors and provide input for business-led audits
- Complete all work assigned on a timely basis, including ad hoc projects and special investigations
- Assist Director in preparation to liaise with external regulators to provide assurance of DB’s audit coverage relating to OFAC/Sanctions
- Bachelor's degree in Accounting, Finance or related discipline. Advanced Degree (e.g., Masters, Juris Doctor) and professional certification (e.g., CPA, CIA, CAMS, CFE, etc.) preferred
- A minimum of 5-7 years of experience within financial services in an Internal Audit role covering OFAC/Sanctions or relevant first/second line OFAC/Sanctions experience
- Proven track record of operating in an audit role, including leading and delivering audits
- Thorough understanding of the banking risk and control environment, and in-depth knowledge of the regulatory environment specific to OFAC/Sanctions. Professional credentials, including degree level education and relevant professional qualifications
- Flexible, pro-active, self-sufficient and innovative, with strong organizational and multi-tasking skills
- Able to take ownership and responsibility of agreed targets and deliver on your commitments within budget, in order to ensure timely and efficient completion of audit projects
- A role model and reference point for your peer group, demonstrating the highest professional and ethical standards in all aspects of the role
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Principal Auditor Resume Examples & Samples
- Executing day-to-day audit work on the basis of the Deutsche Bank Group Audit Methodologies (conducting risk assessments, designing tests to assess control effectiveness for key risks, drafting audit reports for management review, facilitating issue tracking and validating the closure of issues)
- Participating in, leading and successfully delivering Global Credit Trading audits, or participating in integrated business audits, both locally and globally
- Discussing exceptions found during fieldwork with Principal Auditors / Vice Presidents and the Principal Audit Manager
- Communicating with the Principal Audit Manager regarding audit progress and escalating problems and delays
- Completing audit work and assignments in line with agreed budgets
- Developing and maintaining broad financial services experience and Bank knowledge. Keeping abreast of business / industry changes and their impact on the Deutsche Bank plan / approach
- A strong background of audit or control function experience in a global Investment Bank
- Significant experience of auditing in an Investment Banking environment including audit of capital markets products
- Previous exposure to financial products and the ability to identify and evaluate the risks and controls associated with these products
- Ability to identify and evaluate risks within the control environment. Acts with sound judgment on the impact of issues raised
- Strong analytical, communication and project management skills
- Excellent written / verbal communication skills with the ability to communicate effectively at all levels within Group Audit and with the client
- Big 4 accounting experience (beneficial)
- Educated to Bachelor’s Degree level or higher (or equivalent qualification / work experience) with an accountancy or other equivalent professional qualification (e.g. Association of Chartered Accountants (ACA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA))
- Flexible, pro-active, self-sufficient and innovative with strong organisational and multi-tasking skills
- Ability to take ownership and responsibility of agreed targets and meet them within budget to enable a timely and efficient completion of audit projects
- Ability to be a natural role model and reference point for peer group
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Principal Auditor Resume Examples & Samples
- Evaluating the adequacy and effectiveness of internal controls relating to risks involved in the relevant areas in accordance with Group Audit Methodology and the established risk assessment framework
- Supporting the implementation of the Group Audit risk-based methodology including performing coverage of automated business processes and the respective technology environment and supporting structured ongoing risk assessment via Continuous Audit Assessment
- Leading and successfully delivering Technology audits, or participating in integrated Business and Technology audits, both locally and globally
- Generating impactful issues and drafting audit reports for review by senior Group Audit Management with minimal intervention, facilitating issue tracking and validating closure of issues
- Completing all work assigned promptly including ad-hoc projects and special investigations
- Pro-actively developing and maintaining professional working relationships with colleagues, the business and respective support areas. Working in an integrated manner with fellow team members both locally and globally
- Understanding the client’s marketplace and expectations and continuing to develop technical expertise relevant to the industry
- Robust knowledge of capital markets processing with demonstrable experience of IT auditing in an Investment Banking context (e.g. audits of automated business controls)
- Experience of auditing IT applications supporting trading and the trade processing lifecycle. Relevant instruments could include interest rate products, credit products, commodities, futures and foreign exchange products
- Experience of risk based auditing and clearly understanding the relationship between IT risk and underlying business risk
- Strong organisational skills to take ownership of agreed targets to enable efficient completion of audit projects
- An innovative mind-set and the ability to develop ideas which are implemented and have a positive impact
- The ability to multi-task assignments and prioritise workload, delivering to deadlines with limited supervision and resilience under pressure
- Excellent written and verbal communication skills and the ability to communicate effectively at all levels within Group Audit and with Senior clients
- A self-starter who is able to interact effectively at senior levels within the Bank
- A natural role model with the ability to act as a reference point for your peer group
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Asset & Wealth Management Principal Auditor Resume Examples & Samples
- Evaluate the adequacy and effectiveness of internal controls relating to risks involved in the relevant business areas in accordance with Group Audit Methodology and the established risk assessment framework
- Contribute to Risk Assessment Profiles and Business Monitoring for Americas region
- Participate in audits and/or lead audits through planning, testing and reporting with high quality standard workpapers
- Undertake audit assignments, draft audit reports for review by audit management and facilitate issue tracking and validate closure of issues
- Complete all work assigned in a timely manner. This may also include ad hoc projects and special investigations
- Develop and maintain broad regulatory knowledge & experience regarding AM and WM products. Stay abreast of business/industry changes and their effect on the department’s audit plan, methodology and risk assessments
- The majority of the audit work is based in New York, however, the team is also responsible for coverage in other U.S. cities. Occasional travel may therefore be required
- Bachelor's degree in Accounting, Finance or related discipline. Advanced Degree (e.g., Masters) and professional certification (e.g., CPA, CIA, CFE, etc.) preferred
- Significant internal or external Audit experience – 7+ years of experience (in a major bank, broker/dealer, Asset Manager or Big 4 accounting firm) is a pre-requisite and ideally a good understanding of Asset Management
- Active (Equity, Fixed Income, Cash Management), Passive (ETFs), Alternatives (Real Estate, Infrastructure, Liquid Real Assets, Sustainable Investments, Private Equity and Hedge Funds businesses) and Wealth Management products including regulatory requirements
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VP / Principal Auditor of CBS IT Resume Examples & Samples
- 7+ years of IT Audit experience out of a Public Accounting and/or Private Industry
- Exposure to Investment Banking clients and a robust knowledge of Capital Markets processing
- Experience with IT auditing in an Investment Banking context
- Experience with Auditing IT General Controls
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Principal Auditor Resume Examples & Samples
- The role requires close liaison and co-ordination with PAMs and staff from other Audit teams to facilitate effective coverage of vendor risk across the GA audit universe and to ensure the timely delivery of the audit plan
- Executes day-to-day audit work on the basis of DB Group Audit Methodologies (conducts risk assessments, designs tests to assess control effectiveness for key risks, drafts audit reports for management review, facilitate issue tracking and validate closure of issues)
- Develops and maintains broad financial services experience and Bank knowledge. Keeps abreast of business/industry changes and their effect on the DB plan/approach
- Have a strong appreciation of risks, regulatory requirements and controls generically and in particular the third party vendor outsourcing and service delivery environment
- Take responsibility for their own skills development, sharing expertise to help develop the capability of their colleagues, and contributing to the ongoing development of the global Sourcing team and GA in general
- Flexible, pro-active, self-sufficient and innovative individual with strong organizational and multi-tasking skills
- A creative, tenacious and delivery oriented “self- starter”, the candidate will also need to demonstrate
- Notable (5-7 years) audit or related experience, including working with vendors, is a pre-requisite. Expertise gained in the Banking environment is beneficial, but not critical. The role will require some travel regionally and globally
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CIB IT Principal Auditor Resume Examples & Samples
- The candidate will support implementation of the Group Audit risk-based methodology including; performing coverage of automated business processes and the respective technology environment and supporting Continuous Audit Assessment
- The candidate will work on Front to Back Audits along with the CIB operational audit team and cover the IT application and related infrastructure controls of the global and regional CIB application landscape
- The candidate will be required to generate impactful draft audit reports for review by senior Group Audit management and to facilitate issue tracking and validate closure of issues
- They will understand CIB’s business needs and expectations for Technology support and will continue to develop technical expertise relevant to the industry
- The candidate may be required to travel to other offices to provide audit coverage at these locations
- The candidate should have significant exposure to COO Technology and CIB stake holders and a robust knowledge of IT processes and as well as general understanding of CIB business
- The candidate should have significant, demonstrable experience of IT auditing (e.g. audits of automated business controls and of the implementation of new banking systems). Experience of audits of IT general controls is a pre-requisite and CISA certification an advantage
- The candidate should be conversant with risk based auditing and should clearly understand the relationship between IT risk and underlying business risk
- The candidate should be flexible, pro-active and self-sufficient with strong organizational skills to take ownership of agreed targets to enable efficient completion of audit projects. They will be a natural role model and reference point for their peer group
- The candidate should be able to demonstrate an innovative mindset and can develop ideas, which are implemented and have a positive impact
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Principal Auditor Operational Risk Resume Examples & Samples
- Drafting high quality audit reports for review by Management, facilitating issue tracking, validating the closure of issues and approving closure of important issues
- Executing audit fieldwork in line with the agreed audit approach e.g. documenting activity flows, identifying key risks, testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with divisional standards
- Acting as a competent partner and challenger to clients in the closure process of findings
- Communicating openly with divisional management and internal stakeholders
- Presenting complex and sensitive messages (such as audit issues) comprehensively, professionally and reducing complex topics to simple statements
- Participating in exit meetings as required
- Sound audit and business knowledge and experience with an understanding of the risks and regulatory requirements in one or more of an Investment Bank’s business / functional areas
- A good understanding of the global banking control environment and compliance issues in the banking / finance industry
- International experience beneficial, coupled with a familiarity of working within the operational requirements of a global organisation
- Strong communication skills - communicating with clarity, both orally and in writing, in a logical order and with a structured approach
- Fluent in English (written and verbal), additional languages beneficial
- Able to work in a fast-paced business environment
- A professional / industry recognised qualification e.g. Certified Information Systems Auditor (CISA) or Accounting qualification
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Principal Auditor Resume Examples & Samples
- Leading a team on individual assignments when required
- Drafting high quality audit reports for review by Audit management, facilitating issue tracking, validating the closure of issues and approving the closure of important issues
- Partnering with other divisions and teams during audit engagement to guarantee an integrated approach
- Completes all assigned audit work in line with agreed budgets, including ad-hoc projects and special investigations
- Communicating openly with divisional management and the internal stakeholders, keeping them informed of potential issues and escalating problems and delays accordingly
- Establishing and maintaining a client service / relationship approach in order to understand business needs
- Interpreting stakeholder feedback on key business developments and risks, understanding the clients’ marketplace in order to address their needs and expectations whilst delivering ‘one voice’ in all communications and correspondence
- Sound audit, business knowledge and experience and an understanding of the risks and regulatory requirements in Asset and Wealth Management
- Has a good understanding of the global banking control environment and compliance issues in the banking / finance industry
- Strong communication skills, communicating with clarity, both orally and in writing, in a logical order and structured approach
- Fluent in English (written and verbal)
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Principal Auditor Resume Examples & Samples
- The candidate will evaluate the adequacy and effectiveness of internal controls in accordance with group audit methodology and the established risk assessment framework
- The candidate will contribute to Risk Profiling & Continuous Audit Assessment in line with the overall Group Audit Methodology
- The candidate will be a team member, or may lead the team, and will be required to implement dynamic planning through continuous monitoring of the business and successfully implement risk-based audits both locally and globally
- The candidate will provide subject matter expertise for front-to-back audits, driving risk-based dynamic planning and supporting delivery of the global audit plan
- Candidate will undertake audit assignments, draft audit reports for review by audit management and facilitate issue tracking and validate closure of issues
- The candidate will be required to complete all work assigned to him/her timely. This may also include ad hoc projects and special investigations
- The candidate will be expected to develop relationships across the DB franchise and to communicate orally and in writing the results of his/her work to clients at all levels
- The candidate will be required to proactively develop and maintain professional working relationships with colleagues, the business, and respective support areas. He/she will work in an integrated manner with fellow team members both locally and globally
- The candidate will develop and maintain broad financial services experience and Bank knowledge. Keep abreast of business/industry changes and their affect on the DB plan/approach
- Bachelors degree required in Accounting or Finance
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Group Audit Principal Auditor Resume Examples & Samples
- Plans audits e.g. documenting activity flows of the processes to be reviewed, identifies risks and the key actual controls in place to mitigate the identified risks and attends meetings with internal stakeholders as and when required
- May lead a team on individual assignments
- Acts as a competent partner and challenger to clients in the closure process of findings
- Presents complex and sensitive messages (such as audit issues) comprehensively, professionally and reduces complex topics to simple statements
- Reinforces an environment where people management and development is a key priority
- Sound audit/business knowledge and experience and an understanding of the risks and regulatory requirements in one or more of the following business/functional areas: Investment Banking, Transaction Banking, Retail & Corporate Banking, Asset & Wealth Management, Business Services (operations), Risk, Legal & Compliance, Finance and Information Technology
- Strong communication skills, communicating with clarity, both orally and in writing, in a logical order and structured approach. Fluent in English (written and verbal) and local languages if necessary
- Able to work in virtual, global teams in a matrix organisation, transfer knowledge and develop capability of team members
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Assistant VP-principal Auditor Resume Examples & Samples
- Plan audits e.g. documenting activity flows of the processes to be reviewed, identifying risks and the key actual controls in place to mitigate the identified risks and attending meetings with internal stakeholders as and when required
- Execute audit fieldwork in line with the agreed audit approach e.g. testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with divisional standards
- Partner with other divisional/teams during audit engagement to guarantee an integrated approach
- Present complex and sensitive messages (such as audit Findings) comprehensively and professionally and reduce complex topics to simple statements
- Review action plans provided by stakeholders and provide expert opinions to help them develop robust remediation plans
- Be a competent partner and challenger in the closure process of findings
- Participate in stakeholder meetings and internal audit tollgates, draft high quality audit reports for review by audit management, facilitate Finding tracking & closure validation and approve closure of Important Findings
- Keep abreast of pertinent industry, regulatory and business practices
- Take ownership for own development and career management, seeking opportunities to develop personal capability and improve performance contribution
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Dbmn-principal Auditor Resume Examples & Samples
- Drafts high quality audit reports for review by audit management, facilitates issue tracking, validates the closure of issues and approves closure of Important issues
- Communicates openly with divisional management and the internal stakeholders; keeps them informed of potential issues and escalate problems/delays accordingly
- Participates in exit meetings as required
- At least 5 years of financial accounting, internal audit and/or big 4 audit experience in the financial services industry
- Strong understanding of IFRS and key accounting concepts
- Sound Audit/business knowledge and experience and an understanding of the risks and regulatory requirements in Finance
- Treasury, Tax and/or financial instruments valuation knowledge will be desirable
- International experience, coupled with a familiarity of working within the operational requirements of a global bank. Demonstrates intellectual curiosity and is able to understand and evaluate risk
- Excellent written/verbal communication skills, communicating with clarity, both orally and in writing, in a logical order and structured approach. Fluent in English (written and verbal)
- Self-starter and ability to operate at senior levels of the bank
- Ability to work in a fast-paced business environment
- Ability to multi-task assignments, prioritize workload with limited supervision and be resilient under pressure when faced with tight deadlines
- Bachelor Degree (or equivalent) from an accredited college or university (or equivalent) or equivalent work experience
- Professional/industry recognised qualifications e.g. CISA (for IT auditors), Accounting qualifications such as ACA and CPA
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Principal Auditor Resume Examples & Samples
- With the introduction of ESMA MIFIR Requirements, manage the benchmark registration process for Nasdaq products
- Understand the legislative and procedural requirements on benchmark regulations, ensure compliance with regulations, and work with internal stakeholders to adhere to registration requirements
- Candidate will need to draft code of conduct which includes internal procedures, statements, guidelines regarding benchmarks, and develop and implement reporting tools to ensure compliance
- Business development and impact to understand risks and identify opportunities for growth
- Develop customer relationships with the contributors to ensure contributors are compliant with the regulations and that governance structure adopted by Nasdaq is sustainable
- Product management experience will also be required, develop a strategy to sell market data services to third party content providers which can leverage our technology, processes, and team to develop their own content business
- Manage third party content providers relationship, and develop new relationships
- No supervisory responsibilities; accountable for developing technical contribution
- Completes routine activities by using company systems and technologies
- Learns how to identify basic inconsistencies between work products and supporting analyses
- Develops an understanding of basic control and processing risks and how to assess them during the course of an audit
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Principal Auditor Resume Examples & Samples
- Co-ordinating the delivery of assigned audits or parts of audits with limited supervision by the Principal Audit Manager and contributing to the successful delivery of risk-based audits both locally and globally within the COO area of the Bank in line with Group Audit standards
- Translating identified exceptions into audit findings and supporting the agreement of these findings and clearance of the audit report with the relevant management
- Reviewing and tracking open audit findings and validating of finding closure requests
- Pro-actively developing and maintaining professional working relationships with the COO area
- Executing dynamic planning through continuous monitoring of areas under responsibility
- Supporting the identification of emerging risks and respective adjustments to the plan
- Maintaining business and process knowledge and seeking to keep up to date with best practice, new developments and changes in the market
- Providing training and advisory services to other Auditors on technical areas of expertise
- Providing subject matter expertise together with the team and maintaining relationships with other audit teams to support integrated, efficient and comprehensive coverage of related key risks
- Supporting the Principal Audit Manager in preparing senior management and other briefing packs
- Knowledge and experience of financial services products and familiarity working within the operational requirements and regulatory environment of a large global Bank
- An understanding of regulatory requirements and developments impacting the operations of an Investment Bank
- Experience of investment banking audits with a key focus on operations activities such as trade client on-boarding, trade capture, reconciliations, confirmations, collateral management, settlements, payments, regulatory reporting, tax operations and corporate actions (beneficial)
- Educated to Bachelor's degree level education and holds a relevant professional qualification (or equivalent qualifications or experience)
- Proven communication and presentation skills
- Very good analytical, project management and communication skills on all levels of management
- The ability to work effectively as part of a team whilst being flexible in approach
- Ability to work effectively under pressure, multi-tasking assignments and prioritising workload with minimal supervision
- Demonstrates the highest professional and ethical standards, personal gravitas and the ability to stand ground when challenged
- Strong strategic and analytical thinking skills with the capacity to respond to and support positive change
- Continues to develop technical expertise
- Responsive to ad-hoc requests from senior management
- Creative, innovative, self-motivated and delivery oriented, you will also be able to demonstrate confidence and a ’can-do / will-do’ attitude
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Principal Auditor Resume Examples & Samples
- Executing day-to-day operational audit work and contributing to the delivery of audits related to liquidity risk, capital management, funds transfer pricing (including risk assessment profiles and business monitoring)
- Completing all assigned audit work in line with agreed budgets, including ad-hoc projects and special investigations
- Contributing to the development of audit processes improvements
- Audit experience preferred in public accounting or internal audit, focusing on Financial Services – Treasury, Liquidity Risk Management, Funding, Asset Liability Management, Funds Transfer Pricing, etc. Experience in Treasury or Risk would be beneficial, with proven abilities in taking responsibility for delivering quality work effectively in a fast pace environment with strict timetables
- Strong relationship management and influencing skills
- Able to demonstrate intellectual curiosity and is able to understand and evaluate risk
- Fluent in English (written and verbal). Additional languages beneficial
- Analytical with problem solving abilities
- A relevant professional / industry recognised qualification e.g. Association of Chartered Accountants (ACA) or Certified Public Accountant (CPA)
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Principal Auditor Embargoes & Sanctions Resume Examples & Samples
- Assisting in conducting Embargoes and Sanctions risk assessment for the United Kingdom (UK) region and contributing to risk assessment and business monitoring conducted at the country level by country Audit Heads
- Undertaking audit assignments, assisting in drafting audit issues for review by Audit Management, conducting issue tracking and validating closure of issues. Participating in meetings with Business Auditors and providing input for business-led audits
- Pro-actively developing and maintaining professional working relationships with colleagues, the business and respective support areas and working in an integrated manner with fellow team members both locally and globally
- Completing all work assigned on a timely basis, including ad-hoc projects and special investigations
- Developing and maintaining broad regulatory knowledge and experience. Staying abreast of business and industry changes and their effect on the department’s audit plan, methodology and risk assessments
- Strong experience within Financial Services in an Internal Audit role covering Embargoes and Sanctions or relevant first / second line experience
- Demonstrates a thorough understanding of the banking risk and control environment and knowledge of the regulatory environment specific to Embargoes and Sanctions
- Proven record of excellent written and verbal communication skills, with the ability to communicate effectively at all levels within Group Audit and with Stakeholders
- The ability to multi-task assignments and prioritise workloads with minimal supervision
- Ability to maintain the highest professional and ethical standards - and to stand your ground when challenged
- Acts as a role model and reference point for peer group
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Group Audit Principal Auditor Resume Examples & Samples
- Conduct Sanctions & Embargoes risk assessment for India, including DBOI (Deutsche Bank Operations India), and the APAC region and contribute to risk assessment/business monitoring conducted at the country level by country Audit Heads
- Undertake audit assignments, draft audit issues for review by audit management, conduct issue tracking and validate closure of issues. Participate in and lead meetings with business auditors and provide input for business-led audits
- When required, assist in training other GA staff on Sanctions & Embargoes topics and oversee execution of the Sanctions & Embargoes audit program
- Assist Director in preparation to liaise with external regulators to provide assurance of DB’s audit coverage relating to Sanctions & Embargoes
- A minimum of 5-7 years of experience within financial services in an Internal Audit role covering Sanctions & Embargoes or relevant first/second line Sanctions & Embargoes experience
- Working knowledge of sanctions system requirements, understanding of algorithms and scenarios, experience with validating data integrity, mapping fields from source systems to sanctions software, etc
- Thorough understanding of the banking risk and control environment, and in-depth knowledge of the regulatory environment specific to Sanctions & Embargoes. Professional credentials, including degree level education and relevant professional qualifications
- A robust and independent personality
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Principal Auditor Resume Examples & Samples
- Undergraduate or equivalent degree
- 3-6 years of prior audit experience within financial services
- Ability and willingness to work in a high-pressure environment and deliver under tight deadlines
- Prior internal audit experience at an investment bank or broker-dealer
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IT Risk Management Principal Auditor Resume Examples & Samples
- 1) Develops and implements a robust IT Risk Management strategy that articulates the principles, methodologies, and standards for Blue Cross’ IT risk management, audit and compliance initiatives
- 2) Directs the implementation and maintenance of a comprehensive IT controls framework that incorporates industry best practices in identifying and addressing risks, controls, and control deficiencies in all facets of Blue Cross’ IS operation
- 3) Develops and executes a dynamic IT risk assessment plan, which includes interaction with IS, other business areas and selected Blue Cross affiliates to collaborate on risk assessment and test plans, scheduling of testing activities, and ongoing maintenance of the plan as business relationships, technology, people, processes, and requirements change
- 4) Researches and stays abreast of regulatory changes and industry best practices related to governance. Works with Legal and Corporate Compliance to interpret regulatory changes and assess their potential impact on Blue Cross’ IS operation
- 5) Provides input to the Chief Information Officer, Chief Information Security Officer, and other senior leadership in their determination of the appropriate level of IT risk tolerance for Blue Cross
- 6) Identifies and recommends specific governance initiatives that align with enterprise risk management and governance objectives to further enhance Blue Cross’ IT general controls
- 7) Prepares and/or presents periodic management reporting to senior IT leadership, Information Security Officer, the Organizational Integrity Committee and the Audit Committee of the Board on significant IT risk and audit findings, and status of IT audit compliance
- 8) Manages IT audit (internal or external) activities on behalf of all IT areas to ensure audit requests are fulfilled in a timely manner and information provided to auditors is relevant, accurate, and complete
- 9) Guides, educates and mentors Blue Cross IT leadership and other individuals who have key roles in IT governance and audit on the adopted IT controls framework and risk assessment methodology, ensuring proper recognition and evaluation of risks and controls, and implementation of remediation plans for the mitigation of control deficiencies
- 10) Provides consulting services to Blue Cross and its affiliates in their risk analysis of technology-related initiatives (e.g., system migrations, technology acquisitions, retirement, outsourcing, co-sourcing, joint ventures, merger and acquisitions, major process changes) to ensure that new solutions are both (a) regarded as standards of good practices in the industry and (b) supportive of corporate risk management objectives
- 11) Serves as primary liaison between IT and other internal and/or external entities such as Internal Audit, external auditors, business areas, affiliates, and the Legal and Corporate Compliance function on audit compliance and IT Risk management matters, ensuring consistency of contact and representation of IS
- 12) Represents Blue Cross and its IT risk management function on various internal process committees, review boards, project teams, and to affiliates, Blue Cross Blue Shield Association and industry organizations
- 13) Coaches and mentors other IT risk management staff to create a skilled and motivated team
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Principal Auditor, Embargoes & Sanctions Resume Examples & Samples
- Evaluating the adequacy and effectiveness of internal controls relating to Embargoes and Sanctions risks in accordance with group audit methodology and the established risk assessment framework
- Assisting in training other GA staff on Embargoes and Sanctions topics and overseeing the execution of the Embargoes and Sanctions audit program
- Demonstrates working knowledge of Embargoes and Sanctions system requirements, an understanding of algorithms and scenarios and experience with validating data integrity, mapping fields from source systems to Embargoes and Sanctions software etc
- Flexible, pro-active, self-sufficient and innovative, with strong organisational skills
- Educated to Bachelor's degree level in Business Administration, Accounting, Finance or related discipline. Advanced Degree (e.g., Masters) and professional certification (e.g., Certified Internal Auditor (CIA), Institute of Internal Auditors (IIA) etc) (or equivalent qualifications / work experience)
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Principal Auditor, Embargoes & Sanctions Resume Examples & Samples
- Conducting Embargoes and Sanctions risk assessment for the United Kingdom (UK) region and contributing to risk assessment and business monitoring conducted at the country level by country Audit Head
- Undertaking audit assignments, drafting audit issues for review by Audit Management, conducting issue tracking and validating closure of issues. Participating in and leading meetings with Business Auditors and providing input for business-led audits
- Assisting in training other GA staff on Embargoes and Sanctions topics and overseeing the execution of the Embargoes and Sanctions audit program (as required)
- Completing all work assigned on a timely basis, including ad hoc projects and special investigations
- Assisting the Director with preparations to liaise with external regulators to provide assurance of Deutsche Bank’s audit coverage relating to Embargoes and Sanctions
- Extensive experience within Financial Services in an Internal Audit role covering Embargoes and Sanctions or relevant first / second line experience
- Demonstrates a thorough understanding of the banking risk and control environment, and in-depth knowledge of the regulatory environment specific to Embargoes and Sanctions
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IT Risk Management Principal Auditor Resume Examples & Samples
- Develops and implements a robust IT Risk Management strategy that articulates the principles, methodologies, and standards for BCBSM's IT Risk Management, Audit and compliance initiatives (e.g., HIPAA, SOX, SAS 70)
- Directs the implementation and maintenance of a comprehensive IT controls framework that incorporates industry best practices in identifying and addressing risks, controls, and control deficiencies in all facets of BCBSM’s IS operation
- Develops and executes a dynamic IT risk assessment plan, which includes interaction with IS and business areas, Internal Audit, and selected BCBSM affiliates to collaborate on risk assessment and test plans, scheduling of testing activities, and ongoing maintenance of the plan as business relationships, technology, people, processes, and requirements change
- Researches and stays abreast of regulatory changes and industry best practices related to governance. Works with Legal, Corporate Compliance and Internal Audit to interpret regulatory changes and assess their potential impact on BCBSM’s IS operation
- Provides input to the Chief Information Officer, Chief Information Security Officer, and other senior leadership in their determination of the appropriate level of IT risk tolerance for BCBSM
- Identifies and recommends specific governance initiatives that align with enterprise risk management and governance objectives t further enhance BCBSM’s IT general controls,
- Prepares and presents periodic management reporting to senior IT leadership, Information Security Officer, Corporate Compliance Committee and Internal Audit on significant IT risk and audit findings, and status of IT audit compliance
- Manages IT audit (internal or external) activities on behalf of all IT areas to ensure audit requests are fulfilled in a timely manner and information provided to auditors is relevant, accurate, and complete
- Guides, educates and mentors BCBSM IT leadership and other individuals who have key roles in IT governance and audit on the adopted IT controls framework and risk assessment methodology, ensuring proper recognition and evaluation of risks and controls, and implementation of remediation plans for the mitigation of control deficiencies
- Provides consulting services to BCBSM and its affiliates in their risk analysis of technology-related initiatives (e.g., technology acquisitions, retirement, outsourcing, co-sourcing, joint ventures, merger and acquisitions, major process changes) to ensure that new solutions are both (a) regarded as standards of good practices in the industry and (b) supportive of corporate risk management objectives
- Serves as primary liaison between IT and other internal and/or external entities such as Internal Audit, external auditors, business areas, affiliates, and the Corporate Legal and Compliance function on audit compliance and IT Risk management matters, ensuring consistency of contact and representation of IS
- Represents BCBSM and its IT Risk Management function on various internal process committees, review boards, project teams, and to affiliates, Blue Cross Blue Shield Association and industry organizations
- Coaches and mentors other IT Risk Management staff to create a skilled and motivated team
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Principal Auditor Resume Examples & Samples
- Successfully perform all key job functions of the Senior Internal Auditor role at a higher level of complexity, scope and autonomy
- Assist with coordinating and administering assignments, monitoring audit team progress and managing budgets and schedules. Serve as day-to-day project leader for audits ensuring projects are completed on-time and within scope and budget
- Identify risks and assess potential impact of risks on the organization; use a risk-based approach to develop and adjust audit plans as appropriate and determine areas requiring additional analysis. Review and finalize staff work papers and deliverables with Internal Audit Manager/Director. Review and finalize audit reports with Internal Audit Manager/Director
- Track results of prior audits and facilitate appropriate corrective action. Continually strengthen and improve the governance, risk and control environment of the organization acting as a key driver of change within Internal Audit and across the organization
- Provide day-to-day project management oversight of Internal Auditors and Senior Internal Auditors (including project guidance and informal coaching). Conduct first level review of Internal Auditor and Senior Internal Auditor work and documentation; leverage Internal Audit Manager/Director guidance as needed. Communicate project team and audit objectives; inspire and motivate team members to achieve results
- Planning and performing risk-based audits in large and complex organizations
- Understanding of fundamental risk management concepts with experience assessing risks
- Ability to research, synthesize information, and draw fact-based conclusions
- Experience collaborating across team boundaries and working in a team-based environment
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Principal Auditor Resume Examples & Samples
- Evaluate the adequacy and effectiveness of internal controls in accordance with group audit methodology and the established risk assessment framework
- Provide subject matter expertise to other audit teams as well as execute risk based audits both locally and globally
- Pro-actively develop and maintain professional working relationships with colleagues, the business and respective support areas and work in an integrated manner with fellow group audit staff both locally and globally
- Develop and maintain broad financial services experience and Bank knowledge. Keep abreast of business/industry changes and their effect on the DB plan/approach
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Principal Auditor Resume Examples & Samples
- 4+ years of IT / Technology Audit experience from Financial Services
- Significant exposure to Investment Banking clients and a robust knowledge of capital markets processing, with demonstrable experience of IT auditing in an investment banking context (e.g. audits of automated business controls)
- Experience auditing IT applications supporting trading and the trade processing lifecycle
- Experience auditing IT General Controls
- Experience with risk-based auditing and clearly understand the relationship between IT risk and underlying business risk
- Strong organizational skills to take ownership of agreed targets to enable efficient completion of audit projects
- Innovative mindset and be able to develop ideas which are implemented and have a positive impact
- Excellent written and verbal communication skills and ability to communicate effectively at all levels within Group Audit and with senior clients
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Principal Auditor Resume Examples & Samples
- Bachelor's degree (or higher) in Safety Sciences, Industrial Health and Safety, Business, or Engineering (Civil, Mechanical, Chemical, Industrial) or related field
- Certified Industrial Hygienist (CIH) in active status
- Ten years of operational auditing experience in the areas of environmental, health and safety, regulatory compliance, physical security, or utility or process related operations
- Certified Industrial Hygienist (CIH), Certified Hazardous Material Manager (CHMM), Certified Professional Environmental Health & Safety Auditor (CPEA), Certified Internal Auditor (CIA), Professional Engineer (PE) or Certified Safety Engineer (CSP) in active status, preferred
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Principal Auditor Resume Examples & Samples
- Executing day-to-day operational audit work and contributing to the delivery of audits (including the updating of Risk Assessment Profiles and the process), often in a lead or co-ordinator capacity
- Taking responsibility for developing GA’s audit approach for specific business(es), maintaining key stakeholder relationships and building knowledge to enable a high quality risk assessment of the given areas
- Executing audit fieldwork in line with the agreed audit approach (e.g. documenting activity flows, identification of key risks and testing of key controls) to determine whether they are properly designed and are operating effectively and documenting work in accordance with GA standards
- Completing all assigned work in line with agreed budgets, including ad-hoc projects and special investigations
- Coaching other team members in both audit methodology and Corporate Finance relevant topics
- Contributing towards the development of best practice in the team, including driving efficiency and quality initiatives
- Partnering with other audit teams such as Credit Risk, Finance and Group Technology & Operations during audit engagements to ensure comprehensive coverage and an integrated approach to front to back audits of Corporate Finance and associated support functions
- Communicating openly with GA management and the internal stakeholders; keeping them informed of potential findings and escalating problems / delays accordingly
- Knowledge and experience of financial services particularly Corporate Finance products including Mergers & Acquisitions (M&A), Equity Capital Markets (ECM) and Debt Capital Markets (DCM) coupled with familiarisation of working within the operational requirements and regulatory environment of a global bank. Committed to continuing development of technical expertise
- Educated to Bachelor’s degree level (or equivalent qualification / work experience) and a relevant professional qualification
- A proven track record of meeting client needs in a financial services environment
- Experience in delivering work under tight deadlines in a lead or co-ordinating capacity
- Ability to effectively multi-task in a fast paced environment; prioritising workload with minimal supervision and being resilient under pressure
- Excellent written / verbal communication skills and the ability to communicate effectively at all levels
- Strong strategic / analytical thinking
- The capacity to respond to and support positive change
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Principal Auditor Resume Examples & Samples
- Taking responsibility for overseeing the delivery of particular audits and business monitoring
- Leading the execution of day-to-day operational audit work and contributing to the delivery of audits related to liquidity risk, capital management and funds transfer pricing (including risk assessment profiles and business monitoring)
- Drafting high quality audit reports for review by audit management, facilitating issue tracking, validating the closure of issues and approving the closure of important issues
- Completing all assigned audit work in line with agreed budgets including ad-hoc projects and special investigations
- Developing and maintaining relationships with business stakeholders
- Contributing to the development of audit process improvements
- A relevant, professional or industry recognised qualification
- Audit experience preferred in public accounting or internal audit, focusing on Financial Services. Experience in Treasury or Risk beneficial
- Proven ability for delivering quality work effectively in a fast pace environment with strict timetables
- Strong communication skills both orally and in writing, in logical order and with a structured approach
- Ability to demonstrate intellectual curiosity and understand and evaluate risk
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Principal Auditor Resume Examples & Samples
- Evaluating the adequacy and effectiveness of internal controls relating to AFC risks in accordance with Group Audit methodology and the established risk assessment framework
- Conducting an AFC risk assessment for the United Kingdom (UK) region and contributing to risk assessment / business monitoring conducted at the country level by Country Heads and Divisional Auditors
- Strong experience within Financial Services in an AML / Compliance / KYC function or other relevant role
- Internal audit and /or practical experience within the Financial Services industry covering Anti-Financial Crime topics (e.g., AML / KYC, Anti-Bribery and Corruption, Anti-fraud)
- Thorough understanding of Banking risk and control environment, regulatory changes and in depth knowledge of the regulatory environment specific to AFC
- Educated to Bachelor’s degree level with a relevant professional qualification (e.g., Association of Certified Anti-Money Laundering Specialists (ACAMS)
- Proven record of excellent written / verbal communication skills and the ability to communicate effectively at all levels within Group Audit and with the client
- The ability to multi-task assignments and prioritise their workload with minimal supervision
- Acts with the highest professional and ethical standards, personal gravitas and has the ability to stand ground when challenged
- Appetite for international travel
- Flexible, pro-active, self-sufficient and innovative with strong organisational and multi-tasking skills in order to take ownership and responsibility of agreed targets and meet them within budget to enable a timely and efficient completion of audit projects
- Acts as a natural role model and reference point for the individual’s peer group
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Auditor / Principal Auditor Resume Examples & Samples
- Planning audits e.g. documenting activity flows of the processes to be reviewed, identifying risks and the key actual controls in place to mitigate the identified risks and attending meetings with internal stakeholders as and when required
- Drafting high quality audit reports for review by audit management, facilitating issuing tracking, validating the closure of issues and approving closure of important issues
- Proactively keeping abreast of pertinent industry, regulatory and business practices
- Educated to Bachelor’s degree or equivalent qualification / work experience
- A professional/industry recognized qualification e.g. CISA, or Accounting qualification such as ACA or CPA
- Sound audit/business knowledge and experience, with an understanding of the risks and regulatory requirements in one or more of the Bank’s business/functional areas
- International experience ideally, coupled with a familiarity of working within the operational requirements of a global bank
- A good understanding of the global banking control environment and compliance issues in the banking/finance industry
- Strong communication skills - communicating with clarity, both orally and in writing, in a logical order and structured approach
- Excellent planning and presentation skills
- Very good knowledge of auditing standards and concepts
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Principal Auditor Resume Examples & Samples
- Conduct Compliance & Regulatory risk assessments and business monitoring for the U.S. region
- Participate in meetings with business auditors and provide input for business led (‘front to back’) audits
- Pro-actively develop and maintain professional working relationships with colleagues, the business and respective support areas. Work in an integrated manner with fellow team members both locally and globally
- Strong experience of covering Compliance & Regulatory topics in an Internal Audit or examination role within the financial services sector
- A thorough understanding of banking and brokerage risk and control environment, and knowledge of the regulatory environment specific to the financial services sector. Professional credentials, including degree level education and relevant professional qualifications
- The ability to multi-task assignments and prioritize workloads with minimal supervision
