VP / Audit Manager Resume Samples
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VP / Audit Manager Resume Samples
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RK
R Koch
Rosalinda
Koch
241 Nadia Manor
Detroit
MI
+1 (555) 475 1294
241 Nadia Manor
Detroit
MI
Phone
p
+1 (555) 475 1294
Experience
Experience
Los Angeles, CA
Audit Manager, VP
Los Angeles, CA
Koelpin-Quigley
Los Angeles, CA
Audit Manager, VP
- Review quantitative modeling processes of Credit Risk (models and analytical tools); and validations of development, implementation and ongoing monitoring
- Provide Subject Matter Expert (SME) support on credit risk analytics in other cross-matrix Internal Audit engagements
- Run audits, manage projects and participate in audit assignments in a team environment to ensure on-time delivery and quality control
- Review quantitative modeling processes of Stress Testing (from scenario generation, to models and analytical tools and to ratio calculations); and validations of development, implementation and ongoing monitoring
- Review model risk management on stress testing model use scope and limit-setting, remediation of validation findings, and ongoing monitoring processes in both CCAR and DFAST
- Provide Subject Matter Expert (SME) support on stress testing analytics (Credit, Equity, Market, Operation, Balance Sheet and PPNR) in other cross-matrix Internal Audit engagements
- Assign and review the work of audit team members for assigned engagements in coordination with Audit Director
San Francisco, CA
VP / Audit Manager
San Francisco, CA
Welch, Strosin and Rolfson
San Francisco, CA
VP / Audit Manager
- Effectively manage team members during audit engagements including performing timely reviews and providing constructive feedback
- Establish and maintain relationships and provide control advice to Finance senior management
- Effectively manage audit engagement teams, performing timely review and providing honest and constructive feedback
- Work closely with colleagues in the early identification of emerging issues and ensure timely reporting to Audit senior management and business stakeholders
- Lead audit engagements covering Corporate Sector functions including risk assessments, audit planning, audit testing, control evaluation, audit report drafting and follow-up and verification of issue closure
- Communicate audit findings to management and identify opportunities for improvement in the design and effectiveness of key controls while strengthening the control framework
- Lead audit engagements covering Corporate Sector functions including risk assessments, planning, testing, control evaluation, reporting and issue validation with a focus on Legal team
present
Chicago, IL
VP Privacy SME Audit Manager
Chicago, IL
Treutel, Brekke and Emmerich
present
Chicago, IL
VP Privacy SME Audit Manager
present
- Lead audit engagements from planning to reporting with limited supervision and deliver a quality product in line with department and industry standards and expectations
- Identify risks, evaluate, test and report on the adequacy and effectiveness of management controls
- Finalize audit findings and use judgment to provide an overall opinion on the control environment
- Provide subject matter expertise on Data Protection and Privacy to the Control Organization and across the Audit Department, globally
- Build and maintain strong relationships with Corporate Privacy Office, Privacy-Legal, and other relevant stakeholders, establishing a culture of engagement while adding value
- Identify cross-business issues and trends and communicate those across audits teams to affect changes to planned coverage. Escalate key control issues to senior management
- Set aggressive standards for efficient management of time and budgets
Education
Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
Indiana University
Bachelor’s Degree in Finance
Skills
Skills
- Strong attention to detail
- Strong verbal and written communication, including the ability to write clear, concise, non-technical and persuasive risk evaluation reports
- Microsoft Excel proficient
- Great interpersonal skills
- Solid analytical, mathematical, and research skills
- Excellent communication skills (written and verbal)
- Highly organized
- Ability to identify and understand controls in changing environments
- Ability to interact and communicate effectively with senior leadership, regulators, and staff at all levels
- Ability to manage (in-charge) and execute the full life cycle of an audit, from planning to audit close
2 VP / Audit Manager resume templates
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1
VP / Audit Manager Resume Examples & Samples
- Lead audits from planning to reporting with limited supervision and deliver a quality product in line with department standards and expectations
- Employ computer-assisted auditing tools where possible to maximize the efficiency of sampling
- Bachelors degree in Accounting, Finance or related discipline
- Minimum 6-8 years of experience in public accounting, banking, risk management or internal audit
- Relevant financial services industry experience, preferably within audit or risk and control functions
- Knowledge of capital planning, capital management, stress testing, financial forecasting and/or CCAR reporting
- Knowledge of Basel regulatory capital and relevant supervisory requirements/guidance
- Experience engaging with regulators is highly preferred but not required
- Excellent communication (verbal and written) and interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change
- CPA, CFA, FRM or similar certification strongly preferred
2
VP / Audit Manager Resume Examples & Samples
- Lead audit engagements covering Corporate Sector functions including risk assessments, audit planning, audit testing, control evaluation, audit report drafting and follow-up and verification of issue closure
- Effectively manage team members during audit engagements including performing timely reviews and providing constructive feedback
- Proactive coordination/interaction with the Global Corporate Sector auditors and Line of Business Audit teams
3
VP / Audit Manager Resume Examples & Samples
- Establish and maintain relationships and provide control advice to Finance senior management
- Manage staff
- Manage finance-focused audits and use judgment to provide opinions on the control environment effectiveness
- Perform ongoing analysis of risk trends through the development and execution of continuous audit coverage
- Work closely with colleagues in the early identification of emerging issues and ensure timely reporting to Audit senior management and business stakeholders
- Complete periodic risk assessments that form the basis for audit plans, and assist with ensuring comprehensive coverage of finance topics across the JPMC audit department
- Stay up-to-date with evolving industry and accounting changes impacting the Firm
- Minimum 7+ years of experience in auditing, accounting, risk management or finance
- Strong knowledge and past experience of accounting and other controller-type functions
- Strong management, team building, communication and interpersonal skills with ability to present complex and sensitive issues to senior management
- Strong analytical skills and ability to assess the probability and impact of an internal control weakness
- Bachelor's degree in Accounting, Finance, or related disciplines
- Professional certifications, such as CIA or CPA are a plus
- Flexibility to travel as required, as audit stakeholders are also located in New York, NY, and Wilmington, DE
4
VP Privacy SME Audit Manager Resume Examples & Samples
- Lead audit engagements from planning to reporting with limited supervision and deliver a quality product in line with department and industry standards and expectations
- Provide subject matter expertise on Data Protection and Privacy to the Control Organization and across the Audit Department, globally
- Build and maintain strong relationships with Corporate Privacy Office, Privacy-Legal, and other relevant stakeholders, establishing a culture of engagement while adding value
- Identify cross-business issues and trends and communicate those across audits teams to affect changes to planned coverage. Escalate key control issues to senior management
- Set aggressive standards for efficient management of time and budgets
- Provide continuous monitoring and relationship management for certain key groups
- Maintain and encourage a business climate and culture that encourages integrity, respect, excellence and innovation
- Proactive partnership/interaction with the Global Corporate Sector auditors, line of business audit teams, and regulators; as needed
- Travel to business and audit locations (0-10%)
5
VP / Audit Manager Resume Examples & Samples
- Lead audit engagements covering Corporate Sector functions including risk assessments, planning, testing, control evaluation, reporting and issue validation with a focus on Legal team
- Communicate audit findings to management and identify opportunities for improvement in the design and effectiveness of key controls while strengthening the control framework
- Build and maintain key relationships with business stakeholders, Regulators and external clients to establish a culture of engagement while adding value
- Proactive coordination/interaction with the Global Corporate Sector auditors and Line of Business Audit teams in cross-functional audits
- Participate in related committees and forums
6
Audit Internal Audit Manager VP Luxembourg Resume Examples & Samples
- Support the assessment of the control environment of the businesses, with a view to providing recommendations to strengthen internal controls and improve operational efficiency
- Perform, in cooperation with the Chief Internal Auditor, audit engagements covering the Luxembourg CIB business and the audits required by local regulations (e.g. AML / CFT, ICAAP, remuneration policy, depositary bank), including risk assessments, audit planning, audit testing, control evaluation, drafting of report and follow-up and verification of issue closure
- Provide Chief Internal Auditor and internal stakeholders timely updates and insight on the design and effectiveness of business, risk, operation and technology control practices
- Support the ongoing continuous audit coverage for the Luxembourg functions
- Stay up-to-date with evolving Luxembourg and European regulatory changes and market events impacting the business
- Bachelor's degree in Accounting, Finance, Economics or related discipline
- Previous audit experience preferably in Securities Services businesses
- Good knowledge of fund administration, custody, depository bank products and services
- Proven ability to be able to multi task and be able to change priorities
- Works well individually and in team, shares information and supports colleagues
- Enthusiastic, self motivated, effective under pressure and willing to take personal accountability
- Strong analytical skills particularly in regard to assessing internal control weakness
7
Audit Manager, Technology Infrastructure, VP Resume Examples & Samples
- Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget; possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management
- Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking; consulted often by others for advice and opinions and recognized as a leadership role model
- Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues; analyzes reporting findings; Recommends appropriate interventions where needed; proposes creative and pragmatic solutions for risk and control problems, partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
- Specific subject matter expertise regarding technology control disciplines and a strong technology infrastructure knowledge, with a sound understanding of the financial services provided by Citi, especially those associated with the ASPAC region
8
VP / Audit Manager Resume Examples & Samples
- 8+ years of related experience in public accounting (Big 4 – external/internal audit) or financial services industry, including Internal Audit experience with large complex financial institutions
- Significant experience with Commercial Credit
- Strong verbal and written communication, including the ability to write clear, concise, non-technical and persuasive risk evaluation reports
9
Audit Manager, Consumer Credit Risk, VP Resume Examples & Samples
- Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals; recruits staff, develops talent, builds effective teams, and manages a budget; possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including Consumer or Investment Banking, Technology Management; Project/Program Management, Regulatory Compliance or Supplier Management
- Demonstrates strong judgment, political astuteness and sensitivity to cultural diversity
- Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues; analyzes reporting findings, recommends appropriate interventions where needed; proposes creative and pragmatic solutions for risk and control problems; partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
10
Audit Manager, VP Resume Examples & Samples
- Deep knowledge of risk assessment, audit methodology, and audit execution Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)
- Strong verbal and written communication skills Other skills as required in assigned areas of responsibility OTHER
- Compliant with MUFG Union Bank Code of Conduct, exhibits strong ethical behavior, and adheres to other similar professional requirements
11
Audit Manager, VP Resume Examples & Samples
- Review quantitative modeling processes of Stress Testing (from scenario generation, to models and analytical tools and to ratio calculations); and validations of development, implementation and ongoing monitoring
- Review model risk management on stress testing model use scope and limit-setting, remediation of validation findings, and ongoing monitoring processes in both CCAR and DFAST
- Provide Subject Matter Expert (SME) support on stress testing analytics (Credit, Equity, Market, Operation, Balance Sheet and PPNR) in other cross-matrix Internal Audit engagements
- Run audits, manage projects and participate in audit assignments in a team environment to ensure on-time delivery and quality control
- Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of management controls which is conducted in accordance with department policies and procedures, industry professional standards and supervisory rule and guidance (e.g. SR 12-7, SR 11-7 / OCC 11-12); and will require periodic reporting to senior client management
- Interact and maintain relations with regulators and internal clients
- MA/MS/Ph.D in analytical fields (Finance, Economics, Statistics, Engineering)
- 6 to 10 years of relevant experience in stress testing, risk modeling (credit loss and OTTI) and/or financial modeling (PPNR and Balance Sheet) within the Financial Services industry
- Hands-on model development or validation experience with a solid grasp of risk and control framework in the end-to-end stress testing process
- Exposure to a wide variety of bank products and derivatives, balance sheets, risk analytics, validation methodologies and regulatory requirements
- Highly organized and attentive to detail in project management
- Strong interpersonal skills, enthusiastic, self-motivated, effective under pressure
- Detailed knowledge and experience of model development/validation with capital/risk/derivative pricing models across multiple asset classes
- Some experience in financial services or in public accounting firms, with an appropriate level of exposure to and involvement with the products related to Credit Lending, Trading and Treasury businesses
- Internal audit experience is a plus
12
Audit Manager, VP Resume Examples & Samples
- Review quantitative modeling processes of Credit Risk (models and analytical tools); and validations of development, implementation and ongoing monitoring
- Review model risk management on credit model use scope and limit-setting, remediation of validation findings, and ongoing monitoring processes by the first line and second line of defense in Credit Risk
- Provide Subject Matter Expert (SME) support on credit risk analytics in other cross-matrix Internal Audit engagements
- Ability to run audits, manage projects and participate in audit assignments in a team environment to ensure on-time delivery and quality control
- Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of management controls which is conducted in accordance with department policies and procedures, industry professional standards and supervisory rule and guidance (e.g. Basel III, SR 11-7 / OCC 11-12); and will require periodic reporting to senior client management
- MA/MS/Ph.D. in analytical fields (Finance, Economics, Statistics, Engineering)
- 6 to 10 years of relevant experience in Basel Advanced Approaches, credit analysis, quantitative finance or data-mining analytics within the Financial Services industry
- Hands-on model development or validation experience with a solid grasp of risk and control framework in wholesale credit, commercial credit, and/or retail credit space
- Exposure to wide variety of credit products and derivatives, risk analytics, validation methodologies and regulatory requirements
- Some experience in a financial services firm or in public accounting, with an appropriate level of exposure to and involvement with the products related to these credit underwriting businesses
13
Audit Manager Wholesale Banking, VP Resume Examples & Samples
- Bachelor’s degree and 5+ years of audit / internal controls or Big 4 assurance experience in financial services, including experience with large complex financial institutions
- Product knowledge / experience with either Wholesale/Corporate Lending, Capital Markets (FX, interest rate derivatives) or Transaction Banking products preferred but not required
- Exposure to Dodd-Frank Swap Dealer, Volcker Rule (and other relevant regulatory requirements), and knowledge of financial products and services is a plus
- Approximately 25% travel may be required
14
BSA / AML Ofac Audit Manager, VP Resume Examples & Samples
- CAMS certification preferred and must have audit experience with OFAC and Sanctions compliance
- Preferred experience interacting with regulators, including the OCC, Federal Reserve and NYDFS
- Strong oral and written communication skills, including the ability to write clear, concise, and persuasive risk evaluation reports
- Exhibits strong ethical behavior, and adheres to other similar professional requirements
