Risk Auditor Resume Samples
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Risk Auditor Resume Samples
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MK
M Kling
Manley
Kling
15575 Rowe Loop
San Francisco
CA
+1 (555) 227 0191
15575 Rowe Loop
San Francisco
CA
Phone
p
+1 (555) 227 0191
Experience
Experience
Boston, MA
Market Risk Auditor
Boston, MA
Auer, Harvey and Pouros
Boston, MA
Market Risk Auditor
- Reporting on recommendation status to Audit Management on a regular basis including suggestions on the allocation of recommendations to the team members
- Perform risk assessment on the perimeter he/she is in charge of, ie definition of audit universe, scoring, organizing the interviews by the audit team
- Monitors the risk environment and assesses the emerging risks through the Business Monitoring process
- Pro-actively develops automated routines to help focus audit testing
- Lead internal projects to improve internal practices and tools, relying on teams of auditors and VIEs/Trainees
- Proactive follow-up on outstanding audit recommendations until implementation
- Provides coaching to team members in all phases of the audit process
San Francisco, CA
Risk Adjustment Auditor
San Francisco, CA
Bashirian-Schuster
San Francisco, CA
Risk Adjustment Auditor
- Create educational materials for HCC specific methodology and presents training to providers, 1:1 or in groups
- Directly communicates with multiple levels of organization, including peer staff, management, and providers
- Review of coder work on Provider audits
- Conduct focused HCC reviews on providers and clinics, tracking results and identifying trends and deficiencies for follow-up training
- Efficient Time management
- Abide by the standards of ethical coding as set forth by the American Health Information Management Association (AHIMA)
- Evaluate the impact of code selection on the Risk Adjustment assignment to ensure proper level of payment
present
Detroit, MI
Avp-senior Auditor Risk Mgmt
Detroit, MI
Crooks Inc
present
Detroit, MI
Avp-senior Auditor Risk Mgmt
present
- Establish strong relationships with management in Risk Management, related control groups, and audit colleagues
- Develop recommendations to strengthen internal controls and improve operational efficiency
- Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
- Perform audit projects from planning to reporting and deliver a quality product in line with department standards
- Stay up-to-date with evolving industry changes and market events impacting the Risk Management channels
- Monitor key risk indicators, significant change activities and escalation of emerging business issues to management in a timely fashion
- Provide coaching and feedback to other team members
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Ashford University
Bachelor’s Degree in Accounting
Skills
Skills
- Subject matter expertise in Risk Management and detailed knowledge gained as a practitioner risk manager
- Detailed understanding of control standards and a proven ability to promptly identify the root causes and materiality of control issues
- Strong leadership, management and team building skills and an ability to work across teams
- Detailed working knowledge of market, credit or liquidity risk management ideally gained through practitioner experience
- A demonstrated ability to produce quality work at all times
- Ability to influence and persuade auditees regarding control issues
- Ability to execute on multiple tasks
- Experience of operating as a key member of a risk audit function in an Investment bank
- Confident manner and well-developed communication (both oral and written), influencing, interpersonal and project management skills
15 Risk Auditor resume templates
Read our complete resume writing guides
1
Senior Risk / Operations Auditor Resume Examples & Samples
- Oversee and perform audits which includes managing several audits at a time, assigning, planning the testwork and reviewing the use of analytical reviews and other risk assessment techniques used to determine the audit scope, ensuring audits are performed within the time budget allotted and reviewing the workpapers submitted by the staff for completeness and accuracy
- Ensure compliance with the Company’s policies and procedures, applicable laws and regulations, accounting standards and keeping current on compliance related areas
- Evaluate the systems of internal controls using risk assessment and statistical models, in addition to other audit techniques to ensure adequacy and effectiveness
- Meet with departmental or project risk management owners (RMO) and assist them with identification and mitigation of key risk exposures and applicable mitigating controls within their respective business units. Assist in developing or recommending action plans to address any gaps in risk issues identified
- 4+ years audit/compliance experience preferred
- Banking auditing background preferred
- Bachelor’s degree in business, accounting, finance, or related field preferred
- Strong understanding of audit practices and trends, and risk analysis
- Strong decision and project management skills
- Strong organizational and time management skills in order to handle multiple tasks simultaneously and meet established deadlines
- Effectively work with new and changing situations including new industry regulations
- Good understanding of the bank regulatory environment and current regulatory issues
- Ability to evaluate control issues and concerns from a high level perspective
- Proficient in the use of Microsoft Word and Excel
2
Assistant VP-asia Risk Auditor Resume Examples & Samples
- Lead key aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation and follow up and verification of issue closure
- Maintain relationships with and provide control-related advice to senior business stakeholders within Risk
- Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of management controls. This is conducted in accordance with department and professional standards and will require the presentation of root cause analysis to senior client management
- Work collaboratively with global line of business and risk management auditors in the early identification of emerging control issues and reporting them to line of business and audit management
- Partner with other groups within Audit (Global Risk Audit team, Credit Review, Corporate and Investment Bank, Asset Management, Technology, etc.) to ensure the delivery of a seamless program of audit coverage across JPMorgan Chase
- Stay up to date with evolving regulatory, industry and market events impacting the firm's risk organization, particularly those unique to the region
- 8 years of experience in a financial services firm, with experience of and exposure to Market Risk, Credit Risk, Operational Risk and/or Country Risk
- Ability to lead audits, work effectively within a matrix organization, manage multiple projects and participate in audit assignments in a team environment
3
AVP Wholesale Risk Techology Senior Auditor Resume Examples & Samples
- Bachelor's degree in Technology, Accounting, Finance or related discipline with at least 4-7 years of internal or external auditing experience
- Certified Anti Money Laundering Specialist (CAMS), Certified Information Systems Auditor (CISA) and/or Certified Information Systems Security Professional (CISSP) designation considered an advantage
- Previous knowledge of Risk and/or Corporate Sectorbusiness processes (e.g. Human Resources, Global Real Estate, Global Security & Investigations, Sourcing & Procurement, Global Services and Global Resiliency, Third Party Oversight) a plus
- Knowledge of data center technologies and experience auditing data center controls (e.g. physical security and environmental controls)
- Exposure to both market and credit risk would be an advantage
4
Market Risk Senior Auditor Resume Examples & Samples
- As a Market Risk Senior Auditor (level 10) you have proficient understanding of internal audit processes including identifying and evaluating key risks, setting the audit scope and developing audit testing
- You have more than 5 years relevant work experience in market risk management, internal audit and/or within an audit firm. You have been working in or with a major bank or financial institution
- You are familiar with market risk concepts and the regulatory environment with respect to ECB
- You are a team player who pro-actively coaches colleagues, while being keen on continuously learning from subject matter specialists. Work is being performed in a critical, curious and independent way
5
Risk Mangement & Controls Auditor Resume Examples & Samples
- Support the local risk/opportunity management approach and risk mitigating strategy
- Establish auditing and monitoring checklists and procedures
- Support the establishment of an annual monitoring work plan
- Execute the monitoring activities according to the annual plan
- Report monitoring findings to relevant functions
- Track and support the resolution of the findings from monitoring activities
- Maintain monitoring documentation
- Maintain a comprehensive register of all findings as well as on implementation of corrective actions
- Maintain the Business Ethics Incident Reporting
- Act as liaison with external parties in case of forensic investigations as well as lead special investigations resulting from speak-up cases
- Support and deputize the other Compliance Manager positions within the organization
- Support local affiliate on design and implementation of a process to identify, evaluate and properly handle potential ethics and compliance issues and concerns
6
PB Credit Risk Management Auditor Resume Examples & Samples
- Delivery of front-to-back internal audits in all areas of PB Credit Risk including Lombard, Mortgages, Corporate, Aircraft and Ship Finance, as well as CTF and Operations related activities
- Active involvement during audit planning, field work and presentation of findings
- Identification and assessment of key risks and key issues impacting Business
- Interaction with Business and Support functions across our entire organization
- Collaboration in bank-wide initiatives and special projects
- Networking opportunities, direct contacts with Senior Management and excellent platform for further career progression
- A degree-level education (or equivalent), post graduate/professional qualifications or willingness to gain such qualifications (CPA, CIA, CFA, etc.)
- High affinity towards risk issues, control matters as well as Banking regulations
- Fast learner with high motivation for continuous development
- Excellent aptitude to work under pressure and deliver quality work against challenging timelines
- Teamplayer
- Excellent command of English and German
7
Avp-senior Auditor Risk Mgmt Resume Examples & Samples
- Establish strong relationships with management in Risk Management, related control groups, and audit colleagues
- Lead audit engagements covering Risk Management including risk assessments, audit planning, audit testing, directing audit staff, control evaluation, audit report drafting, and follow-up and verification of issue closure
- Monitor key risk indicators, significant change activities and escalation of emerging business issues to management in a timely fashion
- Stay up-to-date with evolving industry changes and market events impacting the Risk Management channels
- Perform audit projects from planning to reporting and deliver a quality product in line with department standards
- Partner with colleagues, regulators, clients and control community members to develop, evaluate, test and report on the adequacy and effectiveness of control environment
- Must have 4+ years of relevant experience in internal/external auditing, or consulting
- Minimum Bachelor's degree in Management Information Systems, Finance, Accounting, or other related discipline. An MBA degree and/or professional certification, such as CPA, CIA, or CISA is a plus
- Working knowledge of regulatory compliance
8
Risk Auditor Resume Examples & Samples
- Define the scope of and execute assurance work over Risk audits, preferably specializing in Credit Risk, However, experience in Market Risk will also be considered
- Work with other members of the audit function identifying the key controls over the control frameworks supporting Risk Management and the requisite assurance work
- Working closely with the global counterparts, he/she has the primary responsibility for risk assessing the Risk Audit entities under his/her responsibility
- Remaining current on any changes to Nomura�s risk profile through carrying out an effective Continuous Monitoring of the assigned area of responsibility and establishing close contact with key risk stakeholders. This includes a quarterly formal report that opines on (1) Changes to the Audit Universe; (2) Changes to underlying risk assessments, and; (3) Changes to the Audit Plan
- Actively involved in all the key phases of the risk audit, from agreeing the audit plan to approving testing plans, completing and reviewing work-papers, producing draft reports and monitoring budgets and deadlines. Work with the Risk audit team to define an appropriate engagement model on individual product audits - the front to back reviews for a particular business line
- Be responsible for effective follow up and closure verification of issues raised in reports
- Subject matter expertise in Risk Management and detailed knowledge gained as a practitioner risk manager
- Detailed current understanding of regulatory requirements impacting Risk including but not limited to Basel III, CRDIV and Dodd Frank
- Strong leadership, management and team building skills and an ability to work across teams
- Ability to execute on multiple tasks
- Confident manner and well-developed communication (both oral and written), influencing, interpersonal and project management skills
- Detailed working knowledge of market, credit or liquidity risk management ideally gained through practitioner experience
- Experience of operating as a key member of a risk audit function in an Investment bank
- Ability to influence and persuade auditees regarding control issues
9
Senior Auditor, Credit Risk Audit Resume Examples & Samples
- Contribute to the planning, risk assessment and/or execution of assigned audits across the different business units noted above
- Execute audit tests in accordance with audit standards ensuring audit work is thorough, accurate and complete, and risks are appropriately addressed
- Present objective and independent conclusions regarding the adequacy of internal controls in accordance with audit standards. This includes presenting findings and related recommendations to the client in a concise and professional manner
- Effectively communicate with the client during and after audit fieldwork
- Execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with established standards and time lines as assigned
- Keep abreast of emerging issues and evolving regulatory requirements; assess potential impacts across the audited business units and ensure issues are communicated to audit management
- Build and maintain positive working relationships by effectively communicating and regularly sharing information, issues, points of interest and knowledge with audit management, colleagues, and internal and external business partners
- In-depth knowledge of Retail Banking processes related to Product Groups, , Credit Cards, Auto Finance and Risk Management
- Effective time management, multi-tasking and organization skills to meet tight time lines and adapt to changing priorities
10
Associate Credit & Country Risk Auditor Resume Examples & Samples
- Participate in all audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, workpaper documentation, follow-up and tracking of management's corrective actions in response to findings, and validation of issue closure
- Disseminate best practices and lessons learned to colleagues and clients
- Identify and follow up on specific audit issues and ensure appropriate involvement with significant business development efforts or projects. In this capacity, members of the team are often asked to join the steering or program control committees of major projects in order to provide continuous feedback on control issues or compliance with best practice standards
- Build effective contacts and relationships with client management and colleagues through strong collaboration and innovating thinking
- Stay up-to-date on evolving regulatory, industry, and market events impacting the firm's risk organization
- At least 3 years of experience in a Financial Services, consulting, or public accounting firm, with an appropriate level of exposure to and involvement with Risk Management particularly Credit Risk. Market Risk and Model Risk considered a plus
- Ability to participate in audit assignments in a team environment
- Experience in risk analysis, report preparation, risk assessment, issue/impact analysis, and executive report preparation a plus
- Works well individually and in teams, shares information, supports colleagues, and encourages participation
11
Senior Auditor, Market Risk Management Resume Examples & Samples
- Performs moderately complex audits related to Market Risk Management in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions
- Prepares Business Monitoring Quarterly Documents
- Partners with VPs, SVPs and Directors to develop approaches for addressing broader corporate emerging issues
- BA/BS in Finance, Business, Accounting or Math. Masters degree preferred but not required
- Extensive knowledge of financial markets with a broad understanding market risk concepts and measurement of risks
- Professional qualification (Finance, Risk Management or similar professional Audit qualification) preferred
12
Snr Auditor Market Risk Resume Examples & Samples
- Relevant Risk or Accounting professional qualifications
- Experience in auditing a control function
- Strong understanding of risk management frameworks and methodologies
- Experience in end to end delivery of Risk Audits within a bank
13
Enterprise Risk Solutions Senior Auditor Resume Examples & Samples
- Efficiently manage time to complete assigned projects and meet project objectives
- Complete and review projects in a timely manner; advise Management of any material delay or adjustment required to complete projects
- Prepare work papers to ensure that they reflect work performed and that they properly document findings and exceptions
- Prepare draft reports for projects and coordinate corrective action with management
- Support Management in special projects as required
- Perform all phases of Sarbanes-Oxley compliance engagements including planning and scoping, documentation and testing, evaluation and reporting
- Coordinate Sarbanes-Oxley engagements with External Auditors
- Assist in the development and creation of test plans and perform walkthroughs
- Identify and evaluate control deficiencies for Sarbanes-Oxley compliance engagements
- Coordinate and review remediation efforts with Client Management
- Assist with budget creation for projects and monitor budget to actual throughout engagements
- Bachelor’s degree in Accounting/Finance or related field: CIA or CISA is required
- 4-6 years of risk management/internal audit/SOX experience is required
- Experience in public accounting or national consulting practice desirable
- Experience in a progressive Internal Audit Dept. is desirable
- Knowledge of ITGCs is a plus
- Great communication and interpersonal skills
- Highly developed planning, time management, and organizational skills
- Knowledge of flow charts and ability to create them is a plus
14
Avp-senior Auditor Risk Mgmt Resume Examples & Samples
- Stay up to date with evolving regulatory, industry and market events impacting the firm's risk organization
- Partner with other groups within Audit (Investment Bank, Commercial Bank, Consumer Bank, Asset Management,
- 5+ years experience in a Financial Services firm or in public accounting, with an appropriate level of exposure to and involvement with Risk management. Knowledge of Operational Risk, Credit Risk, Model Risk, Basel and CCAR is considered a plus
- Knowledge of banking industry preferred
15
AVP Wholesale Risk Techology Senior Auditor Resume Examples & Samples
- Bachelor's degree in Technology, Accounting, Finance, or Business with at least 4+ years of internal or external auditing experience, with a good level of technology background
- Certified Information Systems Auditor (CISA) and / or Certified Information Systems Security Professional (CISSP)
- Knowledge of system development life cycle concepts with an ability to quickly learn a complex, distributed computing environment
16
Auditor Market Risk Resume Examples & Samples
- Support the strategic development and implementation of Market Risk audits within the IA function
- Builds an understanding of how internal audit collectively integrates with line management and control functions to accomplish the objectives of the function and overall business
- Supports the audits related to Consumer or Investment Banking, technology management; project/program management; or supplier management in accordance with corporate methodologies and professional standards, including participation of drafting of audit reports, presenting issues to the business and discussing practical solutions
- Provides support on assigned audits within budgeted timeframes, and budgeted costs
- Build a solid understanding of internal audit standards, policies, and local regulations to provide timely audit assurance and the effects on Audit
- Builds an understanding of the market risk Concepts and the emerging risks
- Participates in the Business Monitoring process
- Participates in providing recommendations on appropriate and pragmatic solutions to risk and control issues
- Contributes to the Identification of inconsistencies in data or results, business issues and providing recommendations on policies, procedures or practices
- Develops relationships through IA and the business to understand the different areas of Risk Management and Internal Audit
- Participates in Field work
- Provide localised support of centrally defined initiatives, to enhance the reporting and assessment of the annual audit plan for the Citi Chief Auditor, Executive Committee and the members of IA
- Basic to intermediate level experience in a related role with experience in Market Risk business or Internal Audit function and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables
- Understanding of Market Risk Concepts
17
Senior Auditor, Credit Risk Resume Examples & Samples
- Demonstrates a strong ability to execute assigned audit procedures accurately, timely, and with minimal supervision
- Banking laws, rules, and regulations as they relate to lending
- Loan underwriting and structure
- Uniform Commercial Code
- Capital markets and other non-traditional credit areas including off-balance sheet credit risk
- Enterprise Risk Management Activities
- Common law and trust regulations; account administration (including ERISA requirements); operations; investment management; mutual funds (including SEC requirements); real estate; trust tax; financial reporting (including FDIC and state call reporting requirements, GAAP, and SEC requirements); related systems; etc
18
Senior Auditor, / Ii-enterprise Credit Risk Resume Examples & Samples
- Clearly and accurately document the execution of specific audit procedures as defined by the projects’ objectives and planned audit approach. Prepare written reports, supporting audit opinions
- Participate in special projects and ad hoc requests as needed
- 3 – 5 years of relevant work experience: Credit Risk, Audit, Compliance, Operational Risk, Finance, Operational Risk, Market Risk or General Business
- Excellent project management, interpersonal, oral and written communication skills; strong attention to detail and accuracy
- Unquestionable business and personal integrity and values congruent with those of the organization
- Knowledge of Bank of America card products and related operating systems
19
Counterparty Credit Risk-senior Auditor Resume Examples & Samples
- Collect and analyze complex data and identify and evaluate risk and control measures
- Exercise judgment and critical thinking to influence business partners, senior business managers and peers. Help business partners to balance their business strategy with appropriate risk management controls
- Contribute ideas/opinions to the audit team and listen/respond to other team members' views. Bring potential opportunities to the team's attention
- Demonstrate professionalism and competence. Stay informed of current economic developments relevant to the business
- 3 – 5 years of relevant work experience within Counterparty Credit Risk either in a Credit Risk, Audit, Compliance, Operational Risk, Market Risk or relevant business line capacity
- Creative thinker who can map out creative solutions and lead their implementation
- PC proficiency, including spreadsheet, word processing and presentation software applications
- Knowledge of Bank of America businesses and related operating systems
- Prior experience with Counterparty Credit Risk and relevant regulations, including Central Clearing Houses/ Exchanges
- Understanding of Global Markets business, including strong traded products knowledge
- Six Sigma Green Belt, Lean, or DFSS certification a plus
- Prior Financial Services experience within Risk, Audit, Compliance, Finance, or Public Accounting
- CIA, CISA, CBA, CPA, CFA, CRCM or CAMS certification a plus
20
Senior Auditor, Credit Risk Audit Resume Examples & Samples
- Execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with established standards and timelines as assigned
- In-depth knowledge of Retail Banking processes related to Product Groups, Cards, Auto Finance, Small Business Banking and Risk Management
- Effective time management, multi-tasking and organization skills to meet tight timelines and adapt to changing priorities
21
Market Risk Auditor Resume Examples & Samples
- Provide operational supervision of several audit missions in parallel (typically 3 to 4)
- Staff the audit mission in coordination with other supervisors and the Group Head of Audit for the team (“Group Head”)
- Ensure that a risk based approach is developed during the diagnosis phase, sign off the diagnosis tollgate documents before submission to the Group Head
- Ensure that the missions under his/her supervision are executed as per budget and agreed timeframes, identify any risk of deviation and escalate to the Group Head if necessary
- Review the workpapers of the different missions to make sure that testing is documented as per internal audit standards
- Alert the Group Head to significant issues identified during the course of the mission
- Review the audit report and ensures that recommendations properly address the root cause of the identified anomalies, and that the executive summary reflects the strengths and weaknesses to be brought to management’s attention
- Prepare the appraisal of the head of mission and review the appraisal of the teams prepared by the heads of missions
- Provide human resource management and supervision
- Provide assistance, advice and practical training to less experienced staff on the audit process/ methodology and SG businesses and products
- Provide honest, constructive and timely performance feedback to team members
- Set annual objectives and perform yearly appraisals of the team he/she is in charge of
- Identify potential candidates to fill open positions, in liaison with HR, and perform interviews to assess candidate’s profiles
- Oversee the Risk Assessment process and Continuous Monitoring Program
- Perform risk assessment on the perimeter he/she is in charge of, ie definition of audit universe, scoring, organizing the interviews by the audit team
- Propose audit plan / missions
- Perform continuous monitoring on the perimeter he/ she is in charge of and ensure regular communication with this perimeter
- Ensure continued coordination with external auditors to share areas of risks with them and include their results in the audit works
- Proactive follow-up on outstanding audit recommendations until implementation
- Ensure timely and rigorous (i.e. reviewed, validated and well-documented) follow-up of internal audit or regulators’ recommendations
- Adequately assign open recommendations to the auditors, in order to ensure efficient follow up activities; review status updates prepared by auditors and approve their reasoning before justifications are reported in the recommendations tracking tool
- Anticipation and identification of delays and issues in relation to deliverables and discussing these as part of ongoing Continuous Monitoring
- Reporting on recommendation status to Audit Management on a regular basis including suggestions on the allocation of recommendations to the team members
- Participate to the department transversal initiatives
- Develop audit methodologies and improve audit processes
- Lead internal projects to improve internal practices and tools, relying on teams of auditors and VIEs/Trainees
- Participate to the improvement of DCPE tools as well as tools that can ease and facilitation audit fieldwork execution
- Create and manage the model audit team
- Ensure that the team has or develop adequate skills on a variety of model types (derivatives products valuation, market risk, liquidity, regulatory capital calculation, AML, CCAR)
- Ensure that Model Risk Management function is reviewed as per US regulatory standards
- Manages co-sourcing or external consultants if and when required
- Ensure communication, sharing of knowledge/standards and agree on work allocation with Paris model audit team
- Develop and maintain expertise on market risk in the audit team
- Quantitative expertise on models
- Strong knowledge of products and related risk management processes relevant to the assigned perimeter of responsibility
- 8+ years of experience in internal auditing within corporate/investment bank on capital markets activity, or equivalent relevant positions
- Individuals with IS/IT experience at Big 4 firms will be considered
- MBA/Master’s degree in a business discipline
- Preferred certifications: CIA, CPA, CIDA, Series 7
22
Senior Auditor, / Ii-credit Risk Resume Examples & Samples
- 3 – 5 years of relevant work experience: Credit Risk, Audit, Compliance, Enterprise Risk, and Accounting/Finance
- Direct experience and familiarity with enterprise allowance frameworks and methodologies
- Prior experience with Credit Risk, Collections, Operations, or Consumer Banking
23
Auditor Credit Risk Audit Resume Examples & Samples
- Audit Execution
- Execute assigned audit activities independently as a team member under the direction of the OIC on assignments. This includes completion of audit testing, discussions with management and documentation of work performed
- Follow the department's audit methodology on engagements
- Ensure audit results are gathered, determine the root cause of the problem and the associated impact and report accordingly
- Confirm the audit results with the auditee
- Ensure written communications and reports reflect a comprehensive understanding of issues and the associated impact in accordance with the Department Audit Methodology and that recommendations to resolve issues demonstrate a good understanding of the “root cause”
- Self/Staff Development and Teamwork
- Prepare periodic and annual performance self-assessments, personal goals and objectives for measurement of performance, a career development and training plan and monitor quarterly for achievement/completion
- Maintain effective internal communication through the ongoing sharing and acquiring of information
- Execute agreed upon procedures for specific projects or investigations of a low to moderate complexity. May assist other audit staff in more complex projects that Audit may be requested to perform
- Plan, document and seek agreement in advance to the project approach and confirm conclusions upon completion in writing
- Assist work performed on behalf of the external auditors as assigned
- General knowledge of the Bank’s organizational structure
- Proven ability to work independently and as part of a team of professionals
24
Risk Management Auditor Resume Examples & Samples
- Communicates project status, process standards and changes, and issues and workarounds, clearly and succinctly to business and operations support team
- Owns the research and data analysis for complex projects; may lead low complexity projects
- Represents the needs of the business or function during moderately complex process improvement projects
- Collaborates with operational teams and business stakeholders to gather business requirements, supporting the design of new or improved processes of moderate complexity, and understand business/customer impact
- Utilizes standard project management and quality improvement methodologies in process improvement approaches
- Drives projects and implements process changes in order to meet ongoing business objectives
- First-level university degree or equivalent experience; may have advanced university degree
- Typically 4-6 years of related experience in IT/business operations
- Typically 3-5 years of project management experience
- Quality improvement training required
- Thorough knowledge of HP operational processes, industry trends, and customer/partner requirements
- Broad understanding of core HP businesses and the revenue cycle
- Strong communication skills (i.e. written, verbal, presentation). Mastery in English and local language as well as other languages as required
- Strong knowledge of process area, experience with process improvement projects and ability to provide suggestions for process improvements
- Demonstrated project management, problem solving, and analytical skills
25
Risk Management Auditor Resume Examples & Samples
- Define the scope of and execute assurance work over Risk audits regionally and globally, as required
- Working closely with the global counterparts, he/she has the primary responsibility for risk assessing the Risk Audit entities under his/her specific responsibility
- Remain current on any changes to Nomura�s risk profile through continuously monitoring the assigned area of responsibility and establishing close contact with key risk stakeholders. This includes a quarterly formal report that opines on (1) Changes to the Audit Universe; (2) Changes to underlying risk assessments, and; (3) Changes to the Audit Plan
- Stay actively engaged in all phases of the risk audit, from agreeing the audit plan to approving testing plans, completing and reviewing work-papers, producing draft reports and monitoring budgets and deadlines
- Work with the Risk Audit team to define an appropriate engagement model on individual product audits - the front to back reviews for a particular business line
- Ensure all audit work is executed in accordance with Departmental Audit Methodology and documentation standards. Ensure that each audit is completed within budget (time and effort)
- Be responsible for effective follow up and verifying raised in reports are closed
- Carry out special projects, ad hoc investigations and advisory work, keeping the Head of Risk Audit up to date on all key findings and emerging issues
- Subject matter expertise in risk management in general and a detailed knowledge of operational risk and /or new business approval ideally gained as a practitioner
- Detailed understanding of control standards, best practice frameworks and a proven ability to promptly identify the root causes and materiality of control issues
- Detailed current understanding of regulatory requirements impacting Risk such as Basel
- A demonstrated ability to produce quality work at all times
- Accounting, Audit and /or Risk Management professional qualifications
- Ability to effectively discuss control issues with senior auditees
- Ability to lead the development of risk based audit plan under the audit methodology to assess the effectiveness of Nomura�s Risk Management functions
- Ability to develop, manage and own the regional audit plan and assist auditors in other regions as needed
- Experienced in forging internal relationships to drive change
- Have previously managed effective working relationships with regulators
- Possesses strong understanding of multi-jurisdictional regulatory environment and trends
26
Senior Credit Risk Auditor Resume Examples & Samples
- 5+ years of related Audit experience
- Previous experience in a Senior-level Credit Risk Review experience
- Expertise in Credit Risk Management and Financial Analysis
- Experience with Corporate Credit and Derivative exposures in relevant industry sectors (e.g. Asset Securitization, Commodity, Leveraged, Oil and Gas, Mining, Project Finance and Asset Finance type transactions)
- CFA or other relevant certifications
- Commercial Underwriting or Asset Recovery experience
27
Credit Risk Review Senior Auditor Resume Examples & Samples
- Monitors credit risk through planning and executing lending unit examinations of large and/or complex portfolios. Evaluates the larger, more complex lending relationships within the bank
- Classifies as appropriate those loans not properly risk rated by line officers
- Maintains thorough knowledge of bank policy and regulatory requirements
- Verifies accuracy of underlying loan documentation
- Assesses borrower compliance with loan agreements
- Assesses borrowers’ ability to repay according to terms and conditions
- Supports the Head of Assignment by assisting with audit scoping, planning, evaluating, and reporting
- Contributes to the completion of continuous monitoring activities for assigned auditable entities and escalates matters that may impact the timing of the next audit assignments
- Prepares and updates risk assessments for assigned auditable entities for supervisory review
- Validates the sufficiency and suitability of business corrective actions to address audit recommendations for supervisory review
- Six to ten years of experience in credit analysis, credit approval and loan review
- Commercial and industrial lending
- Commercial real estate
- Trade finance
- Consumer lending
- Financial statement analysis
- Accounting standards
- Credit and Counterparty Activities
28
Risk & Control Framework Auditor Resume Examples & Samples
- Development of a plan and methodology for how the assurance of the Risk and Control framework will be achieved
- Undertake regular compliance reviews with the different control owners to ensure that the controls are being actively managed across the Capita TfL business
- Administering the effective reporting of assurance progress and action status, and escalation of any issues/risks, findings and recommendations to the Architecture & Assurance Director
- Manage and own the process for demonstrating Capita compliance to Risk and Control Framework when requested by TfL
- To support the any future project work that introduces changes to the Risk and Control Framework and ensure that any new or amended controls are firstly appropriate and acceptable to Capita and secondly to have them agreed and signed off with TfL
- Strong Risk Management knowledge and experience
- A self-motivated individual with the ability to drive and develop the role
- High standards of planning skills, together with a sense of urgency and the ability to deliver results
- Good organisational skills, together with the ability to prioritise
- Good challenging and investigative skills
- Commercial understanding
- Strong communication skills and a helpful and positive manner, pragmatic, and flexible approach to change
- Ability to work with staff at senior levels
- Education to A or degree level. Financial and/or industry qualifications are also desirable but not mandatoryWhat’s in it for you?What we hope you will do nextCapita operates as an equal opportunities employer and we welcome all applications regardless of gender, marital status, sexual orientation, pregnancy, race, colour, ethnic origin, nationality, religion or beliefs, disability, age, political opinions or trade union membership
- Listen | Create | Deliver
- Help us find out more about you by completing our short application process – click apply now
- At Capita, we understand what it is like to work as a Contractor and do everything we can to make it a simple process for you – this includes a dedicated On-Boarding and Extension teams and access to a web based timesheet portal allowing you to submit your timesheets wherever you are. And of course there are plenty of opportunities available throughout Capita
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Operations Risk Auditor Resume Examples & Samples
- Perform audits, or reviews, of processes within Freedom Departments to identify key Risks
- Identify Controls in place to mitigate any identified risks
- Identify areas at an acceptable risk level and ensure management is made aware
- Identify any potential process improvements or system enhancements that could assist a Department with control improvements
- Assist departments with process improvements or suggestions as to how risk can be mitigated within a process of a department
- Generate Audit Reports at the conclusion of an audit that provides scope, purpose, outcome, and any management recommendations
- Perform audits within required timelines and meeting all deadlines
- Perform various audits related to Operational Risks, as identified by manager
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Senior Auditor, Market Risk Resume Examples & Samples
- This is an excellent opportunity for you to join an industry leading audit function within a large and complex financial services organisation
- You’ll help build the function's reputation for integrity, providing independent assurance
- This role will give you a platform to develop your knowledge and experience in risk management or internal audit, with a clear route for personal and professional development
- Holding open and effective discussions on key risks, engaging with business stakeholders, and on occasions coaching less experienced auditors
- Knowledge of market risk measures and methodologies including VaR, Stressed VaR, RNIV, IRC and Greek
- Working knowledge of relevant areas of regulation, such as CRD4 and FRTB, and working knowledge of stress testing and back testing
- Working knowledge of building or validating risk management or pricing models
- The interpersonal skills and confidence to manage relationships with senior stakeholders
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Senior Auditor, Enterprise Wide Risk Resume Examples & Samples
- Collaborating to produce a final report compiling the audit findings into a high quality document, providing important insight to the business heads on adequately managing their risks
- Project managing assigned parts of engagements, and driving the delivery of efficient and effective assurance
- A strong understanding of principles of good risk management, with a thorough grounding in monitoring and testing effective controls
- The ability to communicate clearly and concisely, both verbally and in writing
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Credit Risk Auditor Resume Examples & Samples
- Maintaining subject matter expertise in credit risk management, including: best practices, regulatory requirements and key control processes
- Participate in the delivery of audit plan relating to credit risk management processes and credit risk measurement approaches to ensure the use of sound risk management controls and regulatory compliance
- Assist the Head of Audit in the execution of a program of continuous risk and performance monitoring (e.g. business developments, emerging risks and control issues
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Risk Internal Auditor Resume Examples & Samples
- Strong analytical skills, preferably having worked as a gained within internal audit in a major bank/Financial institution
- Familiarity with Basel 2/3 and CRR rules, particularly relating to operational risk
- Being able to manage portions of risk management audit reviews that he/she is assigned responsibility for
- Being able to clearly document findings in work papers to ensure they meet internal standards
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Senior Auditor Market Risk Resume Examples & Samples
- Academic degree and preferably in the possession of a certification in Internal Control / Administrative Organisation
- (International) experience in complex organisations and knowledge of ING’s business and market risks, and associated controls
- Using analytical skills when performing individual audits, being pro-active and searching for missing information based on own initiative. You have strong verbal and written communicative skills. Therefore, you know how to ask the right questions and get the right information; also when you have to overcome resistance first. You are accurate and describe yourself as a team player who is very capable of working in international teams, as well as independently when the task at hand requires
- Fluent in English and a basic understanding of Dutch (fluency in other languages is much appreciated)
- Ability to work at all levels in the organisation and able to bridge between different people and different cultures
- Assisting in the audit close-out meeting and preparing draft audit findings which include the identified control deficiencies and recommendations
- Willing to travel 6-10 weeks per year
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Auditor, Risk Adjustment Resume Examples & Samples
- Assist in the daily operations of all aspects of risk adjustment data validation related activities, including, but not limited to: progress tracking, chart retrieval, file transmissions, and adherence to applicable timelines
- Support all risk adjustment audit related projects to ensure goals, objectives, milestones and deliverables are met
- Evaluate results from audit activities to address barriers, gaps, opportunities for improvement, and implement corrective action plans as necessary
- Acts as an audit liaison with other departments, health plans, and external vendors
- Develop and implement processes and procedures to ensure accuracy, completeness, and compliance with Centers for Medicare and Medicaid Services (CMS) regulations and guidelines of risk adjustment data
- Understand and oversee RAPS and EDPS data transmission and assist in identification of issues that impact data integrity and accuracy
- Identify opportunities for data mining to ensure data gaps are minimized
- Apply best practices to ensure accuracy of risk adjustment payment in all markets
- Performs monthly audit on internal Molina Coding Specialists
- Audits external Molina Vendors
- 3 Years in coding and medical record chart review and experience with risk adjustment data validation
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Auditor Specialty Risk Resume Examples & Samples
- Assists in the investigation, evaluation, negotiation and resolution of insurance claims
- Assures cost-effective resolution
- Coordinates potential fraud investigations
- Auditing experience
- Offer friendly, considerate, and efficient claims service at the same time effectively communicating next steps
- Recent working experience and confidence using Microsoft Office
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Assigned Risk Premium Auditor Resume Examples & Samples
- Organize audit orders and structure a schedule that will enable the audits to be completed by deadline for submission
- Contact customer and agent via all appropriate methods to schedule and conduct audit
- Visit customer, accountant or agent to conduct physical audit when required, or conduct audit via non-physical procedure
- Discuss class of business and payroll trends with the customer
- Complete and submit an audit worksheet with accurate, well organized information
- All other duties as assigned by Assigned Risk management
- Two years of insurance, premium audit, accountant or related business experience
- Ability to review and understand experience modification worksheets and loss data
- Position requires local travel three to four days per week, and overnight travel occasionally
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Risk Adjustment Auditor Resume Examples & Samples
- Interpret health record documentation to code and abstract diagnoses and/or procedures for inpatient, outpatient, and clinic cases
- Mentor and lead Risk Adjustment Auditor I’s, including the review of scorecards
- Support coder instruction in HCC’s and Risk Adjustment auditing
- Create educational material and present training to providers, as needed
- Maintain HCC coder productivity metrics
- Directly communicates with multiple levels of organization, including peer staff, management, and providers
- Conduct focused HCC reviews on providers and clinics, as directed by management, tracking results and identifying trends and deficiencies for follow-up training of Risk adjustment coders and/or Providers
- Independently, or as directed, research complex coding HCC issues and keep abreast of coding and compliance changes as communicated by CMS, HHS, AHA, AMA, and the Federal Register pertaining to Risk Adjustment; share knowledge with co-workers
- Review of coder work on Provider audits
- Protect data integrity and validity
- Maintain and respect patient confidentiality for accessing and disclosure of health information
- Knowledge of ICD-10-CM and CPT coding conventions, and clinical documentation
- Knowledge of anatomy, physiology, pathological processes of disease, and medical terminology
- Knowledge of and compliance with standards of ethical coding as set forth by the American Health Information Management Association (AHIMA) and the American Academy of Professional Coders (AAPC)
- Experience providing physician feedback preferred. Group training experience preferred
- Critical thinking skills regarding chart abstraction and coding
- Efficient Time management
- Competence in use of Microsoft applications such as Word, Excel, and PowerPoint strongly preferred001
- Location/Facility – Scott & White Memorial Hospital, Temple
- Bachelor’s Degree or Equivalent Experience required
- 2+ years of HCC Coding or Risk Adjustment experience required
- CPC, COC, CCS, CCS-P, CIC, CFPC, CEMC, CRC, RHIT, or RHIA Certification Required
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Risk Adjustment Auditor Resume Examples & Samples
- The Risk Adjustment Auditor will have a coding Certification (CRC, CCA, CCS, CCS-P, CPC, or CPC-P)
- Demonstrated ability to perform accurate and complete chart reviews for risk adjustment
- Knowledge of and adherence to Official ICD-10 Coding Guidelines
- Demonstrates analytical ability to identify problems, develop solutions, and implement actions in a timely manner
- Focus on diagnosis only - there is no CPT coding in day-to-day tasks
- Experience in HCC Risk Adjustment coding a plus
- Demonstrated ability to identify and communicate trends in provider coding and documentation
- Demonstrated proficient PC skills and familiarity with corporate software, such as Word, Excel and Outlook
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Telecommuter Risk Adjustment Auditor Resume Examples & Samples
- Required High School/GED or Associate’s Degree
- Required: CPC /CPMA or CCA/CCS-P or RHIA experience required. Also CRC is required
- Required Risk Adjustment experience
- Required documented ICD-10 Proficiency from an accredited organization required
- Required abstracting and coding medical record information in the professional provider setting for the purpose of billing government or commercial insurance carriers or in support of risk adjustment/HCC . Remain current on changes to or new coding guidelines
- Required proven audit skills and the ability to interpret and apply Federal and State regulations, coding and billing requirements
- Required ability to provide feedback constructively and with sensitivity
- Required demonstrated ability to identify coding trends and risk areas
- Required demonstrated knowledge of CMS reimbursement methodologies, Hierarchical Condition or similar risk adjustment disease model categories
- Required demonstrated knowledge of HEDIS and STAR Measure rating and criteria
- Required excellent written, skills used to share audit findings
- Required ability to work with and maintain confidentiality of provider, patient, patient account data
- Required demonstrated critical thinking skills and ability to resolve complex coding issues and perform root cause analysis
- Must have experience with data entry into a database and/or software tool
- Must have experience with face to face provider education
- Must have demonstrated experience with ability to work independently
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Risk Adjustment Auditor Resume Examples & Samples
- Interpret health record documentation using knowledge of anatomy, physiology, pathological processes of disease, and medical terminology to code and abstract diagnoses and/or procedures for inpatient, outpatient, and clinic cases
- Abstract pertinent information from data files and records and is able to accurately transfer or coordinate transfer into the appropriate Health Plan System or Risk Adjustment Software
- Evaluate the impact of code selection on the Risk Adjustment assignment to ensure proper level of payment
- Conduct focused HCC reviews on providers and clinics, tracking results and identifying trends and deficiencies for follow-up training
- Create educational materials for HCC specific methodology and presents training to providers, 1:1 or in groups
- Work in collaboration with medical services, provider relations, configuration, claims, medical informatics and information systems staff on assigned projects to identify required coding sets for tracking/trending for data for multi-use reporting purposes
- Assist SWHP Provider Audit Committee as needed with provider documentation reviews related to coding on claims to identify potential fraud, waste or abuse related to coding
- Independently research complex coding issues and keeps abreast of coding and compliance changes as communicated by CMS, HHS, AHA, AMA and the Federal Register
- Abide by the standards of ethical coding as set forth by the American Health Information Management Association (AHIMA)
- Comply with official coding rules and guidelines to ensure high quality health information and accurate claims submission
- Demonstrate behavior that reflects integrity, supports objectivity, and fosters trust in professional activities
- Respect patient confidentiality for accessing and disclosure of health information
- Knowledge of ICD-9-CM and CPT coding conventions, and clinical documentation
- HCC experience preferred
- Experience providing physician feedback
- Group training experience preferred
- Ability to pass in-house coding exam with 90% or above
- Knowledge of Microsoft Word, Excel, and PowerPoint
- One of the following certifications are required: RHIT, RHIA, CPC, COC, CCS, CCS-P, CIC, CFPC, CEMC, CIMC or CRC
- Location/Facility – Baylor Scott & White Health, Temple
- 2 years of experience
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Business Risk Manager / IT Auditor Resume Examples & Samples
- Perform moderately complex audits, risk assessments and project risk assessments including scoping the project, developing tests, identifying and testing key controls, conducting data analysis, evaluating the level of residual risk, and presenting results and recommendations to management
- Conduct moderately complex consulting engagements to provide assistance to management in identifying or developing controls for new or recently changed business processes. Train and advise management and staff regarding the benefits of an effective control portfolio
- Establish and maintain effective contacts with business line management and staff to: review the BRM current plan; document divisional risks; and keep them abreast of environmental changes which may impact their risk exposure
- Where deficiencies exist in control portfolios or project management plans, ensure action plans are developed to reduce risk to an acceptable level
- Follow up on management's action plans by reporting the status of items in progress, examining evidence for items completed and reporting on next steps for overdue items
- Conduct pre- or post-implementation reviews for the development or purchase of new or enhanced IT software, hardware and processes to assure proper controls are designed and implemented
- Provide risk and control counsel as requested by management and staff through involvement in committees, task forces, re-design initiatives, etc
- Bachelor's degree in business administration, accounting, finance or IT. (Other degrees considered with sufficient, relevant work experience.)
- Minimum 6 years experience in public accounting or financial services with an emphasis on IT General Controls, Information Security, Application Controls and Business Continuity. Data Analytics a plus
- CIA, CPA, CISA (preferred), or PMP designation or attainment within 24 months of start date
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Credit Risk Management Internal Auditor Resume Examples & Samples
- Adequacy of and adherence to Risk policies and procedures,
- Quality of market data and risk data,
- On-going monitoring of risk exposures,
- Completeness, accuracy & timeliness of regulatory calculations
- Strong technical understanding of Credit Risk Management core concepts & methodologies, preferably having worked in risk management internal audit in a major bank/financial institution
- Strong understanding of Basel 2/3 and CRR rules, particularly relating to Credit Risk Management
- Strong analytical skills, with proven ability to perform audits on technical risk management concepts
- Strong understanding of financial products and experience of auditing sales and trading desks in a major bank
- Proven ability to build credible relationships with senior management in the Risk function
- Ability to manage portions of risk management audit reviews that he/she is assigned responsibility for
- Ability to clearly document findings in work papers to ensure they meet internal standards
- Strong communication and writing skills and the ability to write clear and concise findings and recommendations
- Good technology skills and the ability to analyse large amounts of complex data to identify potential issues
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Internal Risk Auditor Resume Examples & Samples
- Work closely with the global counterparts and other members of the EMEA audit function, he/she has the primary responsibility for risk assessing the Risk Audit entities under his/her responsibility
- Define the scope of and execute assurance work over Risk audits that include processes in market, credit, model, and liquidity risk management as well as stress testing
- Work with other audit teams such as Global Market audit and Finance audit as needed
- Keep current on any changes to Nomura�s risk profile through carrying out an effective Continuous Monitoring of the assigned area of responsibility and establishing close contact with key stakeholders. This includes a quarterly formal report that opines on (1) Changes to the Audit Universe; (2) Changes to underlying risk assessments, and; (3) Changes to the Audit Plan
- Be actively involved in all the key phases of the audits, from agreeing the audit strategy and approving testing plans to completing and reviewing work-papers, producing draft reports and monitoring budgets and deadlines. Work with the Risk audit team to define an appropriate engagement model on individual product audits - the front to back reviews for a particular business line
- Execute all audit work in accordance with Departmental Audit Methodology and documentation standards. Complete each audit within budget and deadlines
- Be responsible for effective follow up and closure verification of issues raised in audit reports
- Carry out special projects, ad hoc investigations and advisory work, keeping the Head of EMEA Risk Audit up to date on all key findings and emerging issues
- Detailed understanding of control standards and a proven ability to promptly identify the root causes and materiality of control issues
- Detailed understanding of current and upcoming regulatory requirements impacting Risk including but not limited to Basel III, CRD IV, Dodd Frank, FRTB and SA-CCR
- Detailed working knowledge of market, credit, model or liquidity risk management ideally gained through practitioner experience, specialisation in one of those being desirable
- A demonstrated ability to produce quality work at all times and to execute on multiple tasks
- Minimum undergraduate degree in accounting, finance or a related field. Additional risk and audit certifications are desirable. Accounting, audit and Risk Management Professional qualifications are desirable
- Ability to take on larger roles when needed
- Experience of operating as a key member an audit function in an Investment bank
- Ability to influence and persuade auditees regarding control issues resolution
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Risk Adjustment Auditor Resume Examples & Samples
- Location/Facility – Health Plan
- Specialty/Department/Practice –Risk Adjustment Auditor
- Shift/Schedule – Full Time
- Benefits –Our competitive benefits package includes*
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Risk Culture Auditor Resume Examples & Samples
- Acting as Secretariat for all Risk Mindset and Behaviours working group meetings, including managing agendas and actions, and making sure meetings follow proper governance
- Review relevant MI providing ad-hoc analysis of data when required
- Helping to keep the audit management tool up to date
- Supporting the Continuous Risk Assessment and Monitoring process, and working with internal teams to coordinate and optimise their inputs
- Helping to develop expertise by searching for theoretical base when needed
- A clear interest in organisational culture or change
- The drive and enthusiasm to develop your skill set
- The flexibility and entrepreneurship needed to flourish in what is an innovative field in the Internal Audit function
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Senior Auditor, Conduct Risk Resume Examples & Samples
- Retaining oversight during testing, ensuring that both the audits' quality and progress meet the standards expected, and that the testing completed fulfils the scope of the audit plan
- Setting standards for rigour and efficiency, and making sure that resources are allocated flexibly and effectively within your portfolio
- Contributing to high quality and impactful written engagement reports produced by your team, and providing the business leaders with advice on prudent risk management
