VP, Internal Audit Resume Samples

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K Windler

Keith

Windler

39890 Zieme Unions

Dallas

+1 (555) 414 0337

39890 Zieme Unions

Dallas

Phone

p +1 (555) 414 0337

Experience Experience

Boston, MA

VP, Internal Audit

Boston, MA

Larkin, Kshlerin and Swaniawski

Boston, MA

VP, Internal Audit

Collaborate with A&F’s leadership team, ensuring strong communication, support, and buy-in
Present findings and recommendations to the Audit Committee and the COO/CFO on the status of outstanding deficiencies and actively monitor audit-related remediation and management action plans
Be a key influencer of operational efficiency and well-controlled change management
Identify and monitor key significant risks for areas such as fraud, regulatory compliance, and adherence to internal corporate policies (corporate travel, vendor selection, etc.)
Drive annual, quarterly and on-going Sarbanes-Oxley 404 compliance, certifications and compliance training
Continue to refresh the store audit program to ensure responsive to greatest store-related risks, both in the US and internationally
With legal, support annual associate training on Corporate Ethics, Code of Conduct, Insider Trading, Confidentiality and Anti-Corruption (Foreign Corrupt Practices Act)

San Francisco, CA

Second VP, Internal Audit

San Francisco, CA

Kub Group

San Francisco, CA

Second VP, Internal Audit

Serve as the senior Audit liaison and strategic business partner to key business area(s), which includes establishing and maintaining productive relationships with area leadership
Oversee all assurance and advisory service projects in assigned business area(s)
Continuously develop and maintain strong business area expertise; stay abreast of all business area operational changes and emerging risks; provide subject matter knowledge to the Audit Department
Lead and manage the corresponding internal audit annual risk assessment process, as well as ongoing risk evaluation, for the assigned business area(s)
Develop, plan and oversee the annual audit plan for the assigned business area(s)
Complete and support an annual audit opinion on assigned business area(s)
Lead, manage and execute complex assurance and advisory projects in accordance with best practices, established methodologies and professional standards

present

Houston, TX

VP, Internal Audit, Mortgage Services

Houston, TX

Kessler-Dibbert

present

Houston, TX

VP, Internal Audit, Mortgage Services

present

Work effectively with management to evaluate our mortgage insurance businesses, related risks, and related controls including monitoring of aggregate exposures as well as operational and financial processing risks
Preform annual risk assessments, develop annual internal audit plans for the organization's mortgage (re)insurance entities and contribute to the ACGL level risk assessment and internal audit plan
Execute the internal audit plans, revise those plans and individual audit scopes as necessary
Establish objectives and scopes for audits, oversee the procedures and effectively communicate audit observations and recommendations with senior management
Prepare clear and concise written audit reports and Audit Committee meeting presentations
Facilitate the sharing of best practices across the Company's entities
Audits include areas such as risk management, underwriting, premiums, policy/contract administration, claims, ceded reinsurance, financial reporting and information technology

Education Education

Bachelor’s Degree in Business

New York University

Bachelor’s Degree in Business

Skills Skills

Strong analytical, organizational and time management skills, able to work independently
Self-reliant and have strong initiative as well as possess solid business judgment
Enthusiastic, self-motivated, strong interest in learning, effective under pressure and willing to take personal responsibility/accountability
Strong knowledge of information technology systems and infrastructure
Strong diplomatic and negotiation skills
Commitment and strong work ethic
Strong project management, organizational, and presentation skills
Ability to synthesize and articulate complex ideas
Ability to manage projects within our function and across the company while multi-tasking
Ability to develop and maintain effective working relationships with peers and business partners

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VP, Internal Audit Resume Examples & Samples

Set the direction for the global Internal Audit department with a full understanding of the connection between business strategy and operational execution
Lead the Internal Audit team to deploy best in class audit methodologies appropriate to A&F’s business operations
Collaborate with A&F’s leadership team, ensuring strong communication, support, and buy-in
Demonstrate a confident and well-developed communication style that establishes credibility and facilitates clear understanding of audit issues
Recruit and develop high-quality talent to support future needs of the Internal Audit department and to provide a talent pool for rotation into other departments
Present findings and recommendations to the Audit Committee and the COO/CFO on the status of outstanding deficiencies and actively monitor audit-related remediation and management action plans
Be a key influencer of operational efficiency and well-controlled change management
Identify and monitor key significant risks for areas such as fraud, regulatory compliance, and adherence to internal corporate policies (corporate travel, vendor selection, etc.)
Perform post-reviews of strategic decisions, such as capital expenditures and key company initiatives, to determine adequacy of decision processes and support culture of accountability
Drive annual, quarterly and on-going Sarbanes-Oxley 404 compliance, certifications and compliance training
Continue to refresh the store audit program to ensure responsive to greatest store-related risks, both in the US and internationally
With legal, support annual associate training on Corporate Ethics, Code of Conduct, Insider Trading, Confidentiality and Anti-Corruption (Foreign Corrupt Practices Act)
Partner with external auditor to plan and coordinate internal audit activities so as not to duplicate control testing
Deep knowledge of leading internal audit practices
Minimum of fifteen (15) years experience, including audit and/or internal audit experience with a major public accounting firm or in a senior leadership position in Finance, Accounting or operations in a public company
Executive-level experience presenting to board of directors and senior management
Exposure to multinational operations and financial reporting across multiple jurisdictions in Europe and/or Asia
Knowledge of U.S. Generally Accepted Accounting Principles (GAAP), International Financial Reporting Standards, and Sarbanes-Oxley requirements
Strong academic credentials with a BS/BA
Experience working in branded specialty retail or consumer oriented environments
CPA, Chartered Accountant or local equivalent preferred

VP / Internal Audit Manager Resume Examples & Samples

10+ years of audit experience
Background out of an AM, MF, PE, HF, SMAs
CIA, CPA, or CFA
Business experience within the investment area focusing on Research, Portfolio Management, Buy-Side trading, including quantitative/algo trading, Investment Management Operations, Institutional Sales and Marketing, Regulatory and Investment Compliance across various investment disciplines
Experience auditing mutual funds, hedge funds, private equity, separately managed accounts, etc
Strong capital markets knowledge

VP, Internal Audit Resume Examples & Samples

Bachelor’s in accounting or finance
8-10 years of audit, business, risk management, or control function experience in a global investment bank
CPA, CFA, CIA, or FINRA at least in progress
Accounting experience at a large firm a plus
Understanding of concepts related to corporate finance – including debt and equity origination and syndication as well as hedging of market and credit risk
Knowledge of recent regulatory changes and how these changes impact audit planning
Execute day-to-day operational audit work
Discuss exceptions found during fieldwork with principal auditor and principal audit manager
Develop and maintain broad financial services experience and keeps abreast of business and industry changes and their effect on the business’s strategy

VP Internal Audit Resume Examples & Samples

The ideal candidate will come from a leading international or local bank, strong international best practices or strong knowledge of local GCC market
CA/ACA/ACCA qualification and have previously worked within the Big 4 prior to joining and international or large local organisation within the Banking space
8 years plus experience (3 years of which from Big 4)
Team management experience and operate a hands on approach to that team

VP, Internal Audit Capital Management Resume Examples & Samples

Bachelor's degree and a minimum of 6 years of relevant experience; or High School/GED and 10 years relevant experience; in risk management or compliance, application/database architecture, audit, governance, internal controls, public accounting, corporate controls or equivalent
Fluent (speak, read and write) in English
Must be willing to travel up to 30% of the time. This role is eligible for a Referral bonus award that is 4X the current eligibility amount. The 4X Special Incentive Referral Bonus Program begins as of June 1st and runs through November 30th. Referrals will only be eligible for the 4X special incentive referral bonus payout based on date of referral submission during SPIF program eligibility dates. All other guidelines under the WDYK program are applicable
MBA, Masters or Bachelor's degree preferred
Experience in financial services industry and working with regulators such as FDIC, Federal Reserve, OTS, OCC
Understanding of FFIEC guidelines
Detailed understanding of industry accepted risk management and governance standards
Broad knowledge of internal auditing standards & requirements
Experience in flowcharting/process mapping, data mining and using analytical tools such as ACL
Excellent analytical/technical skills
Possess good project management skills, make sound decisions, and exhibit initiative and intuitive thinking; and

VP-internal Audit Taiwan Resume Examples & Samples

Assess the control environment of our CIB businesses based in Taipei, with a view to providing recommendations to local management for improvement where weaknesses are identified
Communicate audit results and issues effectively, both verbally and in written form
Manage relationships with local stakeholders, where required
Minimum Bachelor's degree in Accounting, Finance or related discipline
At least 6-8 years' audit or relevant business experience, within a financial services organisation or major accounting firm
Strong communication and interpersonal skills, enthusiastic, self motivated, effective under pressure and willing to take personal responsibility/accountability
Enthusiastic, self motivated and effective under pressure
Ability to travel within the Asia region (up to 20%)

Assistant VP Internal Audit Resume Examples & Samples

3+ years' risk/controls audit experience within financial services
Familiarity with financial products and services
Understanding of relevant regulatory environment
Displays willingness and initiative to learn about new products

VP, Internal Audit Resume Examples & Samples

Participate as an integral member of the Audit Leadership Team, including providing strategic direction and insight into the audit operations through identifying enhancements, areas of focus and personnel skill sets necessary for Charter execution
Interact with all levels of Visa Senior Management dealing with high level business and strategic issues and concerns
Act as an advisor to the Audit project teams relating to areas of specialization and expertise
Act as a quality control to the project execution and project conclusions reached in areas of specialization and expertise
Assist in monitoring and providing ongoing coaching to other Audit professionals
Prepare performance evaluations and recommend compensation changes for audit directors, senior auditors and auditors
Participate in the development of department budget and forecasts as appropriate, as well as adherence thereto
Direct and manage the design and successful execution of the audit plan and provide strategic and proactive consultation in identifying risk exposures and in evaluating solutions for internal control weaknesses and regulatory compliance issues
Manage progress in executing the Audit Plan, including the audit planning process and approval of audit scope, audit work program, and testing approach
Provide reports to managers/executive leadership/audit committee (as appropriate) on the effectiveness of their business unit's internal control structure along with recommendations that improve the effectiveness, efficiency and economic value of a control or process
Conduct special audits as requested by executive management or the Audit Committee to identify practices that are not consistent with Visa policies or fail to provide necessary controls. Act as a resource to executive management by conducting special studies of specific operations or issues. Conduct special investigations of unusual events
Participate in activities related to systems development, new products, mergers and acquisitions, and the analysis of new policies to ensure that control considerations are evaluated in the early stages of these activities
Provide control recommendations to management to assist in redesign efforts that improve the control environment
Address issues during the Audit process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem
Supervise selected projects involving both Audit professionals (self directed work teams) and professionals from Audit's co-sourcing provider. Supervision should include assessing project status and results and overseeing timely completion, including work paper review and report preparation
15 + years of experience in business, financial institutions, auditing or consulting, preferably internal audit experience and ideally in a technologically sophisticated global financial services environment
Bachelor’s degree in accounting, business, finance, systems, information management, etc
Expert knowledge of the professional practice of internal auditing, ideally demonstrated by achievement of professional certifications, particularly the CPA, CIA, and/or CISA designations
Advanced knowledge of COSO, COBIT, AICPA, IIA and other professional standards
Highly skilled in identifying and overseeing the effective and efficient delivery of staff development activities for a large, growing, and dynamic internal audit department
Excellent communication and collaboration skills, with an emphasis on client service
Outstanding written and oral communication skills
Outstanding ability to summarize complex and numerous activities and issues into succinct presentations for a wide-range of internal and external executive constituents
Superior skills in project management, project implementation, and cross-organizational networking and coordination
Proven ability to multi-task and meet aggressive targets in a high-energy, fast-paced, constantly changing environment
For Vice President – IT: Bachelor's degree in business, computer science, or management information systems

VP Internal Audit Credit Resume Examples & Samples

7+ years experience in risk based auditing
7+ years of Fixed Income products, relevant regulations and market working practices and trade lifecycle
Graduate degree and / or relevant professional qualifications / licenses (e.g. CIA, MIIA, ACCA, CISA, series 3,7, 24, 63)
Has practical experience of working in or auditing investment banking environment
Experience in dealing with senior client management

VP, Internal Audit Resume Examples & Samples

CPA, CFE, CISA, CIA or other relevant certification required
12+ years of experience in internal audit and/or public accounting; pharmacy or biotechnology experience preferred
5+ years of experience in an internal audit leadership role
Experience with FAR, DFARS and NIH Grant Policy Statement
Experience with Sarbanes-Oxley, COSO, COBIT and anti-fraud regulations
Flexibility to travel up to 20%

VP Internal Audit Equities & Prime Resume Examples & Samples

8+ years experience in risk based auditing
Graduate degree and / or professional qualifications / licenses (e.g. CIA, MIIA, ACCA, CISA, series 3,7, 24, 63)
Strong audit lead, management and execution skills and experience in risk based auditing
Exposure to trade life-cycle for cash equities, listed options, equity structured products, repo and equity financing and agency derivative services
You must be able to demonstrate that you live the Barclays values and behaviours

VP Internal Audit Macro Rates Resume Examples & Samples

Experience leading audits – lead auditor role experience
Has practical experience working in or auditing investment banking environment
Relevant professional qualifications (e.g. CIA, MIIA, ACCA, CISA, for audit roles; technical qualification for specialist risk team roles such as FRM; and graduate degree for all)

VP Internal Audit Resume Examples & Samples

Establish a risk-based internal audit program
Assess compliance with policy and procedures
Conduct audit testing in areas to identify operational and financial risk issues
Review effectiveness of controls that govern regulatory compliance programs and activities
Manage 3rd party auditors
Communicate findings with the audit board, executive leadership and risk committees
CIA preferred
5 to 7 years of public accounting auditing experience of financial institutions
Supervisory or management work experience in accounting or related field
Accounting experience in construction or related industries

VP, Internal Audit Resume Examples & Samples

10 years’ experience within a Big 4, or within investment banking audit
Proven experience working with teams and businesses across multiple locations and jurisdictions
Strong knowledge of regulatory requirements under the Basel framework

VP-internal Audit Change Resume Examples & Samples

Comprehensive knowledge and practical experience of Programme/ Project Management and the Change Delivery Lifecycle (Waterfall and Agile), either through project delivery, Programme/ Project Management Office, independent assurance or quality/ project assurance functions
Relevant professional qualifications (e.g. Prince2, MSP, CISA)
Practical understanding of the bank's global regulatory environment
Experience of managing and delivering technical Change audits
An understanding of Change delivery risks and experience in providing audit assurance
Experience in developing and maintaining senior internal audit client relationships and working in partnership with other internal risk and assurance functions
Knowledge about new and emerging trends in Change Delivery

Senior VP-internal Audit Resume Examples & Samples

Bachelor's Degree in Accounting or equivalent
Specific subject matter expertise regarding technology application control disciplines
Solid business understanding of cross-business products
Strong understanding of Product Control processes and some work experience in the area

AVP / VP-internal Audit Resume Examples & Samples

5-12 years of substantial exposure to internal audit of counterparty credit risk, or risk review focused on Credit Risk
Understanding of US Bank regulations
Excellent knowledge of credit risk management gained through experience as a credit risk analyst
Sound understanding of risk analysis and ratings assignment processes
Advanced understanding of credit risk measurement requirements and methodologies and approaches
Understanding of credit risk mitigation approaches and rules
Understanding of risk exposure measurement methodologies
Good understanding of the Basel Pillar I framework
Comprehensive understanding and knowledge of credit risk regulation for key jurisdictions
Good product knowledge and substantial experience of credit ratings and analysis across a range of industries

Assistant VP-internal Audit Resume Examples & Samples

5-8 years of professional experience
Excellent auditing skills
Strong communication and interpersonal skills

VP-internal Audit Change Management Ccar Resume Examples & Samples

Otherwise, experience gained in Change Management for risk (e.g. Credit, Market) and finance (Capital and Regulatory) and internal controls
Experience in auditing or substantial exposure to internal audit would be an added advantage
Excellent analytical and communication skills and experience of liaising across control areas
A university degree-level education (or equivalent) and/or post-graduate/professional qualifications with in a relevant field
Excellent coordination skills
Able to operate autonomously and as a part of a wider IA function
Ability to present concepts and issues in a simple and concise way to diverse groups
Good understanding of regulatory requirements
L1-AM2*

VP-internal Audit Resume Examples & Samples

Develop the annual audit plan which is presented to the Audit Committee for review and approval. Independently create, maintain and improve Internal Audit processes, tools and best practices. Implement a sufficient audit program that encompasses the adequacy of the company’s systems of internal controls, reliability of financial information and financial account controls as well as compliance against Code of Conduct
As a member of The Disclosure Committee, review and approve all external reporting and material commercial announcements as it applies to a public listed Company (10Q, 10K, Proxy, Annual Reports, 8K’s etc.)
Manage the performance of audit procedures, including identifying and defining issues, analyzing evidence and documenting processes and procedures
Lead hiring, training and evaluating staff and taking corrective actions to address performance issues, as necessary. Manage the audit staff in conducting interviews, reviewing documents, developing and administering surveys (as necessary), composing summary memos / reports and preparing work papers. Manage the staff in the identification, development and documentation of audit issues and recommendations
Evaluate deficiencies and communicate the results of audit and consulting projects via written reports and oral presentations to Management. Track deficiencies to ensure proper remediation or mitigation
Develop materials to support Audit Committee and/or other Board-level reporting requirements
Partner with Management and 3rd party service provider(s) to coordinate scope, timing, and resources for audits
Continuous dialogue with senior management to discuss and identify any major business issues, business risks and control risks. Create and maintain a network of internal employees and external audit company resources capable of performing the needed assignments
Outstanding accounting, auditing, SOX controls testing, and business analysis skills combined with good judgment and credibility
Business experience in two or more job functions including Internal Audit, Finance Controls and/or Business Consulting
Demonstrated success leading global teams, strong project management skills
Good understanding of various business models and the linkage between business success and operational excellence
University degree, Certified Professional Accountant (CPA), Certified Internal Auditor (CIA) and MBA degree preferred
Individual skills should include
Self-motivated and self-directed. Provides proactive added–value to the senior management team
High-performer with proven leadership skills, strong manager
Excellent communicator, written and oral
Excellent networking skills, develops and maintains productive relationships throughout the company
Analytical and conceptual thinker who can make decisions. Outstanding technical skills
Structured enough to make as many tasks as possible easily repeatable and to facilitate institutional learning and knowledge sharing; flexible enough to understand when a new solution needs to be created
Committed to the company’s core values
25% travel expected

VP, Internal Audit Resume Examples & Samples

Lead the execution of Compliance internal audits
Oversee all aspects of internal audit activities, including: risk assessments, audit planning, audit testing, control evaluation, report issuance, and issue remediation
Support continuous improvement of overall audit processes
Ensure audits are executed in accordance with department and professional standards in a timely and efficient manner
Build a close working relationship with Senior Leadership, business units and other audit colleagues. Overall proven ability to influence and partner across an organization
Hire, develop, and retain high performing and engaged employees
Assist with special projects or other duties as assigned

VP-internal Audit Ccar Resume Examples & Samples

Managing, coordinating and providing subject matter expertise to IHC and CCAR related audits to ensure that Internal Audit provides effective challenge to the CCAR process, complies with regulatory expectations, and meets its responsibilities to the BoD and the senior management
Identifying, interpreting and staying abreast with relevant regulatory requirements and market best practices and ensuring that they are incorporated in CCAR/IHC audit coverage approach
Ensuring that audits are executed in line with IA’s audit methodology
Undertake continuous risk monitoring of CCAR and IHC processes and components
Supporting the Head of Audit in the Quarterly Business Review (QBR)
Assisting in developing and producing regularly scheduled and ad-hoc reports to the BoDs, Senior Management and regulators
Assisting in developing and maintaining stakeholder relationships

VP Internal Audit Resume Examples & Samples

Leading and managing audits in Finance, Tax and Treasury areas, including scoping, fieldwork and reporting
BIA involvement in the implementation of the Intermediate Holding Company and Comprehensive Capital Analysis and Review (CCAR) processes
Attending the various Risk and Control forums
Coaching and mentoring Assistant Vice Presidents and Analysts
Manage audit teams on a day to day basis, working to ensure that audits progress as planned, with regards to scope, budget and timetable
Play a proactive role in supporting the definition of risk profiles; work effectively with colleagues BIA to ensure the audit plan makes the best use of resources
7+ years audit or relevant business line/risk/finance management experience
3+ years experience of working in or auditing Comprehensive Capital Analysis and Review (CCAR) processes
Ability to lead audits, manage projects and participate in audit assignments in a team environment
Practical understanding of relevant regulatory environment and regulatory reporting

VP-internal Audit BIA IT Audit Team Lead Resume Examples & Samples

Agency Clearing
Post Trade Technology
Reconciliations technology
Sales and Banking
Reference Data Management
Manage audit teams on a day to day basis, working to ensure that audits progress as planned, as regards scope, budget and timetable
Proven experience in IT Application development or operations processes, auditing or risk and control activities
Applicable knowledge of business risk related to IT risks and controls in complex systems environments
Practical understanding of relevant regulatory environments and its impact on technology (for example: BCBS 239, The Basel Accords, etc)

VP Internal Audit IT Audit Team Lead Resume Examples & Samples

5+ years experience in IT Application development or operations processes, business-integrated auditing or risk and control activities within an Investment Banking environment
5+ years experience of leading and developing individuals/teams
Knowledge about various Investment Banking businesses and the technology supporting them
You must be able to demonstrate that you live the Barclays values and behaviors as described below
Practical understanding of relevant industry regulations and their impact on technology
Ability to engage and build relationships with senior client management

VP Internal Audit Resume Examples & Samples

5+ years of experience in IT Application development or operations processes, business-integrated auditing or risk and control activities within an Investment Banking environment
5+ years of experience of leading and developing individuals/teams
Relevant professional qualifications (e.g. CISA, CISM, CISSP, CRISC or other relevant technical qualification; and graduate degree)
Applicable knowledge of business and associated technology risks and controls in complex systems environments

VP, Internal Audit Resume Examples & Samples

Lead the execution of Compliance internal audit
8-14 years of internal or external audit or 10+ years of relevant financial services compliance or related area experience and 3+ years in a manager/supervisor/lead role. Experience preferred in Broker/Dealer or RIA
Licenses/Certifications Required: Broker/Dealer specific license (Series 7, 24, etc.) or one applicable audit designation (CPA, CIA, CFE, CISA, etc.) or other related certifications
Lead and execute multiple projects simultaneously. Manage performance of direct reports. Document and report performance of audit team
Advanced understanding of Financial Services (Broker/Dealer or RIA) regulatory compliance and audit disciplines
Advanced understanding of internal control and the demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks
Significant experience interacting with employees at all levels, including executive senior management
Demonstrated experience working with external stakeholders such as external auditors or regulators
Financial services experience strongly recommended with a demonstrated working knowledge of FINRA, SEC, and/or OCC regulatory requirements

Assistant VP Internal Audit FI Credit Resume Examples & Samples

Being able to multitask or manage several assignments at one time
Provide constructive feedback and evaluation to team members for audit assignments including upward feedback
Support / lead in scoping the audit where necessary
Proactively take on additional tasks as requested by colleagues
Constantly look for ways to improve the way we do things
Set an example and support fair and ethical behaviour in all colleagues
Build strong relationships and mutual trust with all internal colleagues and external stakeholders (Regulators)
Understand the needs of client/customer and make decisions using this knowledge
3+ years in auditing or investment bank
Advanced degree

VP, Internal Audit Resume Examples & Samples

Oversee and direct the execution of major segments of the Internal Audit Annual Audit Plan, provide functional leadership of the finance and operations audit team and ensure assigned audits are completed in compliance with department policies and procedures, applicable regulatory and legal requirements, and ensuring high professional standards as set form in Internal Audit’s Charter. This includes managing audit client relationships, performing on-going risk assessments, executing audits, assigning audit ratings, identifying risk themes and trends, validating issue closures, and evaluating team performance
Participate as an integral member of the Audit Leadership Team, including providing strategic direction, thought leadership in audit approach and delivery of services, and evaluation of Visa Inc.’s overall internal control environment
Perform all assigned duties in accordance with the International Standards for the Professional Practice of Internal Auditing
Develop a long range global audit strategy that is risk-based and aligned with global business strategies and supporting major Visa initiatives
Review, approve and manage progress against audit work plans, delegate appropriately, ensure internal quality control and provide flexible alternatives in order to manage multiple on-going work tasks
Prepare reports and make presentations to various management levels concerning the internal audit activities
Drive delivery of internal audit’s work on time, within agreed budget, and in accordance with audit methodology and agreed quality standards
Lead team in assessing risk, setting project scope, designing and executing audit testing, and identifying information technology general control and/or application control issues
Manage team(s) of audit personnel (including both internal and co-sourced contract professionals) in accomplishing audit plan objectives and goal accomplishments. Make hiring and personnel decisions. Ensures each audit team has sufficient and skilled resources, including appropriate supervision
Leverage technology-based audit productivity tools and processes
Assist the CAE in various matters including reporting to senior management, the Audit & Risk Committee of the Board, and the regulators on audit activities
Follow up action plans for key audit findings to ensure timely implementation
Identify areas/ processes for improvement and propose recommendations
Organize, prepare and present proposals, analytical assessments and other special projects
Develop and mentor the audit team; provide enhanced training and career planning
Prepare evaluations of applicable staff in accordance with department requirements, including preparing performance evaluations and recommending compensation changes for audit team
Maintain comprehensive knowledge of audit techniques and principles
Assist in the annual risk assessment process and in developing annual plan and resource forecasts and manages resource allocations and approval of travel expenses, and projects
Where applicable, exceed annual CPE credit requirements to preserve professional certification(s)
Represent the Internal Audit function on significant cross-functional teams, at times providing leadership to these efforts
Work effectively with bank regulators during examinations of the audit process and findings
Provide thought leadership in terms of leading internal audit and internal control practices
Ensure continuous improvement of audit methodology and practices
Exhibits a strong drive for results and success, conveying a sense of urgency and driving issues to closure despite obstacles
Bachelors required; preferably with a concentration in Accounting or Finance
15+ years of relevant business experience
Advanced collaboration skills, with superior skills in project management, project implementation, and cross-organizational networking and coordination
Excellent oral and written communication, interpersonal and presentation skills, including outstanding ability to summarize complex and numerous activities and issues into succinct presentations for a wide range of internal and external executive constituents
High level of integrity
Willing to travel up to 30% to domestic and international sites
Professional Certification (CPA, CIA, CISA, etc.)
Exposure to technology and/ or payments industries, ideally in a global/regulated environment
Highly skilled in identifying and overseeing the effective and efficient delivery of staff development activities for a large and dynamic internal audit department
Alternate language capabilities

Ccar-VP-internal Audit Resume Examples & Samples

Managing multiple Capital Planning and CCAR audit reviews from planning through reporting, within established budgets and delivery dates, and ensuring workpapers meet internal standards
Evaluating the adequacy of design and effectiveness of key controls and potential business concerns by analyzing available documentation and asking insightful questions to identify root causes and drawing the appropriate conclusions
Developing audit findings and document business concerns, risks, root causes, and recommendations in writing for inclusion in the Audit Report
Participating in follow-up meetings concerning open audit issues and regulatory findings
Build credible relationships and interact with regulators and Senior Management within the Firm
Supervising and mentoring junior staff
Provide Subject Matter Expert support within the department on Capital Planning and CCAR
Masters in Finance or Risk
Seven to ten years of experience in financial services with a strong understanding of Capital Planning and CCAR
A strong understanding of the regulatory environment, and regulatory capital rules, with respect to the Federal Reserve Bank, the SEC, and OCC
A team player who supports the broader audit function by leveraging their knowledge to the best use of the Firm

VP, Internal Audit Resume Examples & Samples

Adopting and executing a risk-based audit approach
Leading complex technology process audit engagements as a working manager
Develop detailed audit programs in core IT areas including Data Center, Server, UNIX / Linux, Windows,
Bachelor's Degree in Management Information Systems or Computer Science preferred
CISA and / or other related information system security professional certification (e.g., CISSP)
8+ years IT audit or systems experience
Demonstrated team leadership responsibilities and skills supporting diverse groups of technology auditors and / or technology staff
Strong working knowledge of critical technology related components including SDLC, IT Governance, Information Security, ESXi / Virtual Server Environments, UNIX,
MBA / MS
Experience in the banking environment and FFIEC Guidelines

Second VP, Internal Audit Resume Examples & Samples

Serve as the senior Audit liaison and strategic business partner to key business area(s), which includes establishing and maintaining productive relationships with area leadership
Oversee all assurance and advisory service projects in assigned business area(s)
Continuously develop and maintain strong business area expertise; stay abreast of all business area operational changes and emerging risks; provide subject matter knowledge to the Audit Department
Lead and manage the corresponding internal audit annual risk assessment process, as well as ongoing risk evaluation, for the assigned business area(s)
Develop, plan and oversee the annual audit plan for the assigned business area(s)
Complete and support an annual audit opinion on assigned business area(s)
Lead, manage and execute complex assurance and advisory projects in accordance with best practices, established methodologies and professional standards
Provide leadership, direction and support to other auditors on projects in assigned business area(s), ensuring audit reports are clear and concise and effectively communicate observations and opportunities for improvement
Demonstrate strong influencing skills when communicating with the business areas and other risk assurance providers aimed to continually improve relationships and enable management to proactively manage risk
Assist in recruiting staff, including interviews
Act as a mentor to less experienced auditors, including Guest Auditors, by training them on Internal Audit processes, as well as The Guardian’s business lines and related systems, to foster an effective, high performing culture
Monitor all outstanding recommendations and action plans for the assigned business area
Work with Internal Audit leadership and management to continuously improve departmental policies and procedures beyond scope of direct responsibilities
Stay abreast of current issues, standard industry practices, regulations, and obtain continuing education and training
Participate in special projects and perform other duties as requested
Minimum of 15 years’ experience in internal audit, external audit and/or related functions
Experience in the insurance or financial services industry is strongly desired
Strategic thinker that is client focused with disciplined execution
Highly motivated self-starter, with the ability to work effectively either independently or as part of a team
Strong interpersonal skills, with the ability to build effective relationships and clearly articulate thoughts and ideas
Strong analytical skills, with the ability to effectively analyze a process and assess risks and controls
Proven ability to solve problems and identify root causes of process breakdowns
Clear organizational and project management skills, with the ability to manage concurrent projects, drive performance, and meet deadlines
Innovative, critical thinker with effective influential and leadership abilities
Expertise with risk assessment tools and methodologies
Ability to multi-task and quickly adapt to changing priorities
Proven ability to discuss technical issues in general business language

VP-internal Audit BIA IT Audit Team Lead Resume Examples & Samples

Proven experience in IT Application auditing or risk and control activities
Understanding of relevant regulatory environments and impact on technology (for example: BCBS 239, The Basel Accords, etc)
Management and delivery of control related reviews and identification of improvements and actions for remediation
Knowledge of Fixed Income/FX and trading and the technology supporting them

VP, Internal Audit Resume Examples & Samples

Assist the Chief Audit Executive in developing and continuously refining the Internal Audit strategy for Visa Europe region by providing thought leadership in the approach and delivery of audit services and evaluation of overall control environment, being responsive to the Company’s operations, international business and regulatory environment
Assist the Chief Audit Executive in ongoing risk assessment, development of the annual audit plan, and stakeholder [e.g., executive, regulator, and Visa Inc. and Visa Europe Audit & Risk Committee (ARC)] reporting
Make presentations to regional executives on audit plans, results and issues, and potentially occasional in-person reports to the Visa Inc. Corporate Risk Committee and ARC
90% of the role is providing independent assurance to the board, 10% is acting in an advisory capacity to the business
Lead and build a highly successful team of audit professionals based in London. Provide guidance, direction and career development including the development of goals and performance assessment
Manage and direct the audit team in executing a major segment of the annual Audit Plan as it relates to Visa Europe, and ensure audits are sufficiently sourced with skilled talents and effectively supervised
Work in partnership with the Audit Leadership team of VPs to coordinate audit work across business operations (countries and regional/global) functions, corporate functions, and technology functions, especially ensuring the appropriate level of assurance over IT operations, governance and security related to Visa Europe
Lead audit team in assessing risks, setting audit engagement scope, evaluating the control environment, developing recommendations for improvements, and communicating results to various management levels
Execute internal audit activities with the appropriate balance of internal resources and external service providers including the use of specialists. Develop and maintain relationships with appropriate external service providers
Promote the role of Internal Audit within the Company and provide input into the continuous improvement of risk assurance services
Partner with key leaders in Operations, Technology, Finance, Risk, Legal and Compliance to foster an effective environment of risk management and controls
Maintain business relationships with appropriate levels of management to ensure Internal Audit is aware of changes in business activities and objectives, and partner with management to improve internal controls within their respective areas
Maintain knowledge of audit techniques and principles as well as industry, and technical best practices and issues, and actively impart knowledge to the audit team
Liaise with European, UK and any relevant regulators as appropriate, as well as maintain strong knowledge and understanding of European and UK regulatory environment and requirements
Lead the execution of selected complex projects or audits requested by management or the ARC
Leverage advanced technical knowledge and professional judgment in the practice of internal auditing to
Assist executive and line management in developing innovative and cost-effective solutions to close control gaps
Make audit scope decisions, assess the significance of control gaps, evaluate the effectiveness of control design and the overall control environment, and assign issue and overall audit ratings
Maintains authoritative knowledge of Visa businesses and systems, and leverage this knowledge in the assessment of audit universe risk and the development and maintenance of the annual audit plan
At all times, maintain objectivity and independence as defined by department and IIA standards
Extensive experience in business, financial institutions, auditing or consulting, preferably internal audit experience and ideally in a technologically sophisticated global financial services environment. A mix of 1/3 rd Technology and 2/3 compliance and regulation would be ideal
Ability to work well with European, UK and other relevant regulators, as well as strong experience and understanding of European and UK regulatory environment therefore must have a very strong regulatory background
Expert knowledge of the professional practice of internal auditing, ideally demonstrated by achievement of professional certifications, particularly the ACA, CPA, CIA, and/or CISA designations
Advanced knowledge of COSO, COBIT, ICAEW / AICPA, IIA and other professional standards
Highly skilled in managing the effective and efficient delivery of staff development activities for a team of audit professionals
Excellent communication, interpersonal and collaboration skills, with an emphasis on client service
Strong critical thinking, analytical and organization skills
Ability to foster good working relationships across geographies and time zones and deftly work in all cultural settings
Proven ability to multi-task and meet aggressive targets in a high-energy, dynamic and fast-paced environment
Able to travel approximately 20% (both domestically and internationally)
Ideal candidate will have a typically have more than 2 years tenure in prior roles

VP-internal Audit Resume Examples & Samples

8-15 years of experience out of a Public Advisory or a Financial Services firm, Broker Dealer or Asset Management
Fixed income and/or Equities knowledge
Broker Dealer experience
Trade life cycle experience

Assistant VP, Internal Audit Resume Examples & Samples

Bentall Kennedy, a real estate investment manager operating in Canada and the U.S
Prime Advisors, a U.S.-based investment management firm specializing in customized fixed income portfolios primarily for U.S. insurance companies
Ryan Labs, a New York-based asset manager specializing in fixed income and liability-driven investing; and
SLIIC Inc. (Sun Life Institutional Investments Canada, Inc.) our Canadian institutional asset manager which provides investment expertise in alternative asset classes and liability-driven investing to pension funds and other institutional investors
Lead the audit portfolio for Investments’ processes ensuring a high standard of quality in all work
Responsible for planning and managing a team of audit staff including coaching, staff development, and planning audit engagements to facilitate staff development
Responsible for maintaining open communication with the investment audit leaders in Asia
Work to influence management decisions to ensure the organization maintains a strong control environment
Develop and maintain relations with senior executives, to be aware of emerging risk issues and key initiatives in the business. Liaise with external auditor as needed to maximize efficiency
Maintain knowledge of business developments for the purposes of continuously assessing risk in the portfolio. Provide assistance in preparation of the annual worldwide Audit Plan and quarterly Report on Controls presented by the Chief Auditor to the SLF Audit and Conduct Review Committee
Maintain knowledge and skills by staying current with developments in auditing and in the business risks assigned
Understand Sun Life’s strategy, objectives, and risks and align work and insights to Sun Life’s overall risk appetite, strategies, and vision
Knowledge of essential investment business operations and product knowledge
Relationship Skills
Client-centric leadership including value creation for clients; demonstrate by actions and added value that the client is at the centre of all we do
Role models behaviours expected of others
Resolve and mediate decision outcomes related to complex, sensitive, or contentious issues where conflict exists
Can negotiate resistance effectively and achieve concessions without damaging the relationship
Co-ordinates with other functions (Compliance, Risk Management) on scope and timing of work
Talent & Performance Management
Develop high performers and can effectively deploy talent across the organization
Coaches and provides candid feedback
Can differentiate performers and rewards
Supports and nurtures opportunities for collaboration
Ensures all team members are heard and considered
Builds strong, diverse and effective teams
Professional Audit related designation required, such as: CIA, CISA, CPA
Undergraduate degree or equivalent required
Minimum 12 years audit experience required, a significant percentage of which has been focused in a financial services organization, in an environment of similar scale or complexity as SLIM
Expert knowledge risk identification, assessment, internal controls, and reporting processes, particularly in the areas of Credit, Market, Operations, Regulatory, and Financial Reporting risks
Experience in Insurance, Investments or Financial Services is an asset
Well-developed relationship building skills with a client-centric mind set
Proven ability to develop high performers and can effectively deploy talent across the organization

VP, Internal Audit Resume Examples & Samples

Developing and executing the annual internal audit program, as approved by the Supervisory Committee
Performing necessary internal audits to validate & maintain the safety and soundness of Patelco Credit Union. This may be in addition to the approved audit plan as deemed appropriate to protect member and credit union assets
Responsible for Internal Audit staff development and securing external resources as needed to effectively manage the internal audit function
Oversees our whistle-blower program and related confidential reporting
Manages, in concert with the Supervisory Committee chairman, NCUA/DBO complaints
Serves as the Supervisory Committee liaison. Prepares Supervisory Committee materials and works with the Chairman to establish committee agendas
Works closely with the Supervisory Committee to select and oversee the external CPA audit process
Responsible for developing strategic analyses at the highest organizational levels in areas including assessing risk and internal controls, and procedures to address internal and external concerns and issues
Must be able to develop and perform department programs consistent with Risk Management Assessments, requirements of the Supervisory Committee, external auditors, government regulations, and the Board and Management’s strategic plans
Prepares, implements and ensures adherence of the annual audit plan, department budgets and standards. Ensures that the soundness, adequacy, application and level of risk of all internal controls are appropriate for the credit union
Oversees audit staff to encourage proper performance of all audits and audit functions designed to ensure adequate control of credit union assets and to facilitate the safe, efficient and effective functioning of credit union operations
Responsible for recruiting, training and managing professional staff to ensure the timely and effective performance of the internal audit program. Responsible for securing external resources as needed to effectively manage the internal audit function and augment internal team
Reviews audit reports; work papers and other communication prepared by assigned staff to ensure accurate documentation, pertinence and clarity before issuance; reviews and evaluates audit findings and security warnings for inclusion in the final audit reports to credit union management and Supervisory Committee
Ensures adherence with policies and procedures and applicable laws and regulations and demonstrates a solid understanding of the credit union’s business, core strategies and risk tolerance
Reports risk management issues and internal control deficiencies directly to the Chief Risk Officer and to the Supervisory Committee; and provides recommendations for improving the credit union's operations, in terms of both efficient and effective performance
Initiates follow-up action and approves responses to audit reports to ensure appropriate corrective action is taken by operating management/personnel
Leads activities and sourcing of external auditors. Considers the scope of work of the external auditors and regulators, as appropriate, for the purpose of providing optimal audit coverage. Performs, coordinates and reviews audit work requested by external auditors and regulatory agencies
Maintains confidentiality of information and controls, protects all credit union sensitive information and materials within the scope of the audit function
Responsible for working with Management and staff on training, monitoring for adherence to, and enforcement of policies and procedures, and recommending corrective action as required
Minimum of 10+ years of professional related experience and at least 5 years in a senior level position
BA/BS Accounting/Finance or related fields required
MA/MS/MBA in Accounting/Finance or related fields preferred
IIA, CPA or other audit certifications is a plus
A good working knowledge of personal computers (Microsoft Office programs), data processing systems (Summit Information Systems preferred), and other audit related computer programs
The applicant should also be familiar with credit union core computer systems, internet security protocol, AML computer systems, I.T. security management, fraud and forensics techniques and banking systems (i.e. Federal Reserve Bank System, Fedline, ATM Networks, Fiserv, Fin Cen Electronic Filing Systems, etc.)
Must maintain independence and demonstrate fairness during investigations and make recommendations on issues involving policies, procedures, regulations, and laws
Must be able to communicate effectively at the a high level with senior management and Administration, as well as with the Supervisory Committee, Board of Directors, government regulators, attorneys, law enforcement, and with others within and from outside the credit union industry,
Must maintain a position of independence while being jointly responsible to the Supervisory Committee and to the Management Team
Must be literate at a high level on issues involving audit management, regulatory compliance, and security administration
Have outstanding verbal and written, as well as in person communication skills for correspondence at all levels and over other mediums

VP Internal Audit Resume Examples & Samples

Defines the vision of HMH’s internal audit department. Sets measurable goals and objectives that are aligned with corporate strategic plans. Strikes an appropriate balance between technical auditing and financial/operational skills in staff to optimize talent development and drive an integrated audit approach. Recruits and develops high potential internal audit talent
Leads the development of the company’s annual enterprise risk assessment and internal audit plan. Works directly with the company executive leadership team and external advisors to identify financial, operational and compliance risks. Uses the annual risk assessment to recommend an internal audit plan for approval by management and the Audit Committee of the Board of Directors
Ensures appropriate, competent resources are assigned to audit projects. Provides clear and balanced recommendations to resolve important audit and compliance matters requiring professional judgment. Clearly communicates with stakeholders from the inception of audits through report generation and follows up on findings previously reported. Completes audits and projects on time and within budgets previously established. Uses data analytics, dashboards and metrics to identify and communicate results
Evaluates the internal control environment to ensure the accuracy of reported financial results and disclosures and to protect the company’s assets. Stays current with changes in the business to determine impact on the company’s control environment and drives the corporate governance program at HMH
Drives positive change in the organization based upon high quality work, thoughtful preparation, detailed findings and strategic direction
Maintains a high-performing internal audit organization (including external resources). Evaluates talent using desired finance/accounting and technology based competencies, and effectively implements the company’s performance management practices. Actively develops audit talent and contributes to the development of future leaders
Performs on-going risk assessments with senior management to identify risks cross-functionally for all business units at HMH. Assesses the adequacy of manual and systemic controls in mitigating significant risks to a business process or application
Meets with key members of senior management to identify changing tactics, project improvement initiatives and considers the implications for the nature and intended timing of audit plans and procedures
Reviews financial results by analyzing financial statements, reports, performance ratios, and trend analysis to isolate potential accounting problems. Participates on the Disclosure Committee and reviews all 10-Q’s, 10-K’s, Proxy Statements and Earnings Press Releases for completeness and accuracy
Builds long-term relationships with senior management to better understand the Company’s culture and management directives. Develops and maintains working relationships, particularly executives, and demonstrates a commitment to continually improve the perception of the Internal Audit function throughout the company
Oversees the execution of audit procedures, analyzes evidence, reaches conclusions, identifies issues, develops strategies, and makes decisions for complex judgmental issues related to the audit procedures executed. Consults with others in the company, as necessary, on complex issues. Reviews, in a timely manner, working papers, draft audit reports, and memoranda as consistent with authoritative guidance and departmental requirements
Assists the audit management team in reaching their full potential, including conducting meaningful and timely performance reviews, serving as a positive role model and mentor and assisting in the design and implementation of individual development plans
Closely interfaces with third party service providers directing independent reviews
Maintains professional certifications and related educational requirements
At least 10+ years of Audit experience, preferably inclusive of a Big Four Audit firm. Possession of a professional certification (e.g., CISA, CIA and/or CPA) is required. Prior Internal Audit and/or SOX Compliance work within a publicly traded company is required. MBA and experience in Publishing preferred but not required. Six Sigma Process Improvement certification preferred
Bachelor’s Degree in Business Administration, Finance/Accounting or Information Systems is required. MBA or MSA preferred
Highly effective at driving change and managing teams to achieve desired results. Capable of articulating a vision, gaining organizational commitment to action, and managing through others to achieve results
Superior interpersonal, communication (both written and verbal), and presentation skills. Has executive presence and is capable of representing the CFO in high-visibility settings (e.g., with Audit Committee). Maintains effective external industry and professional network
Proven experience with the integrated audit approach. Experience in collaborating with all levels of an organization’s management team. Exceptional interpersonal and presentation abilities. Fully developed written and verbal communication skills are required
Extensive knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Sarbanes–Oxley implementation as well as fundamentals of COSO, COBit and financial statement assertions and other regulatory requirements
Strong business acumen and judgment with current knowledge of the company’s markets/products, operations and industry trends. Demonstrated ability to think strategically about business issues
Excellent at workload prioritization, resource management, and project management. Develops and manages processes that are efficient and effective

Assistant VP, Internal Audit Resume Examples & Samples

Assisting the Head of Internal Audit in the planning, organizing, directing and monitoring of internal audit operations, including assisting in hiring, training and evaluating staff
Managing internal and co-sourced resources and overseeing their execution of the audit plan
Managing the audit staff in conducting interviews, reviewing documents and workpapers
Managing the audit staff in the identification, development and documentation of audit findings and recommendations
Drafting and presenting audit committee and other internal audit meeting materials
Designing audit procedures for high risk and complex audit areas, including identifying and defining issues
Identifying, developing and documenting audit issues and recommendations using independent judgment concerning areas being reviewed
Drafting audit reports and communicating the results via verbal presentations to management
Developing and maintaining productive relationships through individual contacts and meetings
Pursuing professional development opportunities via professional associations and internal/external training; and
6 years of audit experience
Internal audit experience in asset management industry
Experience applying internal auditing and accounting principles and practices, management principles and business practices
Experience collecting and analyzing complex data, evaluating information and systems and drawing logical conclusions
Experience planning and project management; and
Knowledge in Microsoft Office products including, Word, Excel, Outlook and PowerPoint to prepare reports, memos and summaries

VP, Internal Audit Resume Examples & Samples

Proven internal audit leader with significant prior experience designing and implementing corporate internal audit plans
Strong strategic thinker with significant business acumen. Prior operational experience a plus
Lead and mentor a team of five internal auditors. Ensure that the department maintains the right level of talent and resources at all times to effectively execute the audit plan
Engage and effectively manage external audit assistance as needed
Directs business function including, approval of overall project plan, budgets, and work breakdown structure
Oversight of the corporate enterprise risk management process
Routine presentations to the corporation’s Board of directors and senior leadership
Serve as a key member of the Compliance Department leadership team
Fifteen or more years of related experience
Superior written and oral communication skills
Substantial prior experience presenting to Boards and/or executive leadership

VP, Internal Audit Resume Examples & Samples

Designs a systematic framework to increase the effectiveness of risk management, control and governance processes
Reviews financial controls and certifies the adherence to the applicable accounting procedures within acceptable risk tolerances, as required by SOX
Develops formal process for conducting audit investigations according to International Professional Practices Framework
Determines risk thresholds for large scale company practices and implements tracking mechanisms to identify present or potential process issues
Conducts regular conferences with Sr. Management, Board of Directors and external partners to highlight priority items and demonstrate results of control implementation
Provides advisement to department leaders on control design and manages the execution of process modification(s)
Manages monthly, quarterly and annual risk assessment reviews and ensures all processes and controls perform according to predetermined benchmarks
Minimum ten years of experience in a Corporate Internal Audit leadership capacity or related role
Bachelor’s degree in Finance or Accounting or equivalent
CIA (Certified Internal Auditor) certification required
Expertise in reviewing system controls within business processes
Experience in the review of all SEC regulated consolidated financial statements
Advanced knowledge of generally acceptable accounting principles, FASB and SOX regulations
In-depth understanding of financial reporting and ERP software
Knowledge of IIA principles and standards
Excellent organizational skills, ability to prioritize multiple priorities and strong attention to detail
Computer skills including MS Office programs such as Outlook, Word, Excel PowerPoint
Strong interpersonal skills and ability to communicate (verbal/writing) effectively
Self-motivated and strong analytical / problem solving skills
Ability to collaborate at all levels of the organization and across other functional areas
Ability to maintain a high level of confidentiality
Preferred knowledge of the Consumer Product Goods Industry
Work with minimal supervision execute for results in a fast paced environment
Ability to empower, motivate and inspire staff
Ability to lead change and execute on strategic decisions

VP, Internal Audit Resume Examples & Samples

Bachelor’s Degree in Accounting; MBA a plus
Minimum of fifteen (15) years’ experience, including audit and/or internal audit experience with a large public accounting firm and/or a senior leadership position of Internal Audit function of a public company
CPA and/or CIA required
Unique capability to connect business strategies and “see around corners” to ensure leading edge audit practices
Strong executive presence and experience presenting to board of directors and senior management
Decisiveness and willingness to make tough decisions with time sensitivity
Strong diplomatic and negotiation skills
Superior leadership, supervisory and managerial skills
Ability and personality to build a strong, trusting relationship with the external auditors, while maintaining appropriate professional audit function propriety
Exposure to multinational operations and financial reporting across multiple jurisdictions in Europe
Working knowledge of integrated accounting and reporting systems
Demonstrated managerial decision making and problem solving skills
Superior interpersonal, verbal, and written communication skills, with the ability to communicate and interact effectively with people from multi-functional and diverse backgrounds
Demonstrated success in leading, directing, managing, and developing staff
Ability to effectively analyze, organize, and prioritize workflow according to internal and external deadlines in a fast-paced environment
Uncompromised integrity and work ethic
Willingness to take ownership and dedicate the time needed to complete departmental and company-wide objectives
Ability to pass a thorough background check
Strong internal customer relationship management skills
Epitomizes the Company’s cultural values, demonstrating an ability to put the goals of the brands ahead of individual considerations
Detail-oriented approach
Ability to think and work effectively in a high-energy, fast-paced environment
Understands the challenges of, and thrives in, an international organization
Ability to work collaboratively and openly with cross-functional business partners in a non-bureaucratic and non-hierarchical business environment
Creative approach to problem solving with a humble, team-oriented and optimistic attitude
Ability to travel as needed between Houston and Fremont headquarters

VP, Internal Audit Resume Examples & Samples

Must be an effective, highly professional finance professional that inspires confidence in colleagues and within the broader organization
Must possess excellent interpersonal skills and will serve as a member of the senior finance management team
Energetic, entrepreneurial self-starter capable of self-direction
Self-reliant and have strong initiative as well as possess solid business judgment
Bachelor’s Degree in Accounting or related Finance field
Minimum of ten (10) years of related Accounting and/or Auditing experience, with at least 5 years of audit experience in a management position
Advanced degree along with CPA and/or CIA is a plus
Up to 50% -75% travel (unknown at this time until program really established
Solid understanding of US GAAP, IFRS and SEC reporting requirements
Advanced understanding of SOX Section 404 (Sarbanes-Oxley Act Section 404) and COSO 2013
Comprehensive knowledge of auditing practices, procedures and principles, sufficient to interpret and analyze complex concepts and apply them in innovative ways
Thorough understanding of and familiarity with the concept and practice of self-auditing institutions, as in the COSO framework and control self-assessment approach for the review of reliable financial reporting, operational effectiveness and efficiency, and compliance
Prior audit experience in auditing publicly-traded companies and/or in TMT industry is a plus

VP, Internal Audit Resume Examples & Samples

Minimum of ten years banking experience and five years management experience, or the equivalent managerial know-how, to be able to act as a process and management consultant to management in any area of the company. Must have knowledge of finance and operations as well as information technology
Understanding of banking regulations and compliance as related to financial services
Strong teamwork, analytical, and communication skills
Ability to travel to various locations throughout the United States
Professional certification, such as CPA, CISA, CFE or CIA is expected

VP, Internal Audit Resume Examples & Samples

Contributing to ongoing business monitoring and optimization activities, including: Identifying emerging firm-wide and business risks, understanding organizational changes through periodical engagements with business units, and completing risk assessments of these areas; Leading projects aimed at optimizing business processes and control activities; Providing advisory services during the development of new businesses and systems; Performing regulatory and industry-driven audit reviews; Leading or contributing to department-wide initiatives to meet the KPIs for the Internal Audit function and ensure progressive growth of the department to be best in class in the next 3 years
Build and maintain key relationships across the Audit department and establish a culture of engagement and adding value to the department Manage audit staff, while providing timely and candid feedback and coaching
Advanced knowledge of processes, risks and controls in the area of large scale system implementations including change and release management
Knowledge of Data Analytics usage in internal auditing
Relevant professional certifications CIA and/or CPA is a requirement. Any other certifications and/or MBA are a plus

VP, Internal Audit Resume Examples & Samples

Bachelor's degree (e.g. accounting, finance, business administration, computer science, management information systems)
CPA, CIA, CISA, CFE preferred
15 years related audit thorough public accounting/auditing and/or industry experience
Knowledge of general system controls such as change management, system operations monitoring, and business continuity
Ability to audit operational processes and general application controls
Defines audit objectives and prepares audit programs. Develops and coordinates audit schedules, budgets and manpower requirements to ensure that each area of the organization is audit regularly, initiating spot audits when necessary
Directs and review activities of the Internal Audit/Loss Prevention and assigns department resources to ensure that established audit programs are achieving their objectives
Manages external regulatory requirements and peforms duties in accordance with such regulatory requirements
Ensures that auditing procedures for automated systems are developed, including internal computer check and balances as required
Proactively selects, develops, motivates and deploys a diverse staff of highly competent leaders
Provides consultation and advice to all levels of management through independent review of procedures, practices, controls and documentation. Identifies weaknesses and proposes improvements
Furnishes periodic reports of audits conducted to the CEO, Senior Vice Presidents, Supervisory Committee and others as appropriate
Coordinates the internal audit program with outside vendors. Serves as primary liaison between the Company and outside auditors and examiners
Prepare an initial compliance program that takes advantage of the most recent guidance to create a cost effective approach to SOX compliance that is suited to the organization
Develop and implement the full audit cycle including risk management and control management over operations’ effectiveness, financial reliability and compliance with all applicable directives and regulations
Conduct risk assessment of assigned department or functional area in established/required timeline
Produce clear documentation and enforce audit department standards
Engage in continuous knowledge development regarding sector’s rules, regulations, best practices, tools, techniques and performance standards
Any other related duties/tasks as may be assigned

Senior VP, Internal Audit Resume Examples & Samples

Minimum of a Master’s degree in business, accounting, finance, MIS, related field or equivalent experience required
Must have a minimum of 15 years related experience. “Big Four” background preferred. Must have experience with the supervision of professional auditor staff
Must have one or more of the acceptable professional designations (CPA, CIA, CISA or CFE)
Comprehensive understanding of the audit process
Prior experience advising C-suite and Board Audit Committee on operational and audit issues preferred
Must demonstrate practical knowledge or application of the COSO framework as well as demonstrate an understanding of the current corporate governance issues facing companies (e.g., Sarbanes-Oxley)
Working knowledge of U.S. GAAP, PCAOB and IIA Standards for the Professional Practice of Internal Auditing
Possess strong task management, attention to detail and prioritization skills. Demonstrated ability to follow-through on all assigned tasks
Must be a team-oriented individual
Must have effective communication and presentation skills, and willing to collaborate with key stakeholders in the organization
Proficient in the use of MS Office applications (Excel, Word, PowerPoint)

VP, Internal Audit Resume Examples & Samples

BS/BA in Accounting, or equivalent required
Minimum of 10 years of combined experience in public accounting and internal audit required. Prior work experience in industries other than banking required
Minimum of 5 years of experience managing finance / accounting professionals required. Must have proven ability to lead cross functional teams
Previous experience with Sarbanes Oxley compliance preferred
Must be a proactive individual with strong leadership skills
Excellent written and verbal communications skills are required to develop and maintain working relationships with senior leaders as well as internal / external customers
Must have outstanding project management, presentation, and organizational skills
Ability to travel up to 25%, primarily within North America with the potential for international travel
Willingness to work the required schedule, work at the specific location required, complete Penske employment application, submit to a background investigation (to include past employment, education, and criminal history) and drug screening are required

Assistant VP Internal Audit FI Credit Americas Team Resume Examples & Samples

Undergraduate degree and/or Industry qualifications
4+ years experience in Investment Bank, or auditing
Masters Degree or other advanced academic learning

VP Internal Audit Resume Examples & Samples

Manage the maintenance of audit methodology and documenting changes in the Audit Policies and Procedures
Obtain and capture changes to the audit plan and schedule including changes in budgets hours, milestone dates, and resource schedules
Monitor, create, and run various reports that support various Internal Audit metrics and oversight of audit projects
Manage collection and packaging of Internal Audit requests from investors, regulators, and other business partners
Support department staff understanding of the audit approach, methodology & tools
Maintain regular communication with Audit Management
Oversee processes to track and report on Internal Audit issue statuses from issue identification to validation and closure issues
Perform ad hoc projects as assigned
Develop and maintain proactive working relationships with personnel across the Company
Graduation from a 4-year college or university with major course work in a discipline related to the requirements of the position is preferred. Will consider the equivalent combination of job experience & education that demonstrates the ability to perform the essential functions of this job
12+ years of public accounting or internal audit experience in the financial services industry
Strong knowledge of internal audit methodologies and practices, including IIA standards, and the implementation of such methodologies
Detail-oriented, deadline driven, self-directed and organized individual
Able to understand risk and control concepts
Strong knowledge of Microsoft Office applications (Word, Excel, and PowerPoint), specifically, skills with Excel including filtering, pivots, charting and graphing; and PowerPoint skills used in creating various reports for senior management
Strong project management skills coordinating assignments, tracking/monitoring progress, and reporting on status
Understanding of data and data structure
Strong management skills to evaluate opportunities with process improvement within department for area of responsibility) and demonstrated ability to facilitate change
Proven experience and deep knowledge in auditing or managing the following IT audit domains

VP, Internal Audit Resume Examples & Samples

Overseeing internal audit activities, which includes planning and directing a variety of audits and ongoing Sarbanes-Oxley compliance efforts and strategies
Co-sourcing with the in-house internal audit department and an externally hired internal audit service provider
Performing financial statement risk assessment, recommend policies, procedures and control activities to mitigate identified risks
Overseeing all phases of internal financial, operational, and compliance audits, including planning, control analysis and testing, issue development and reporting
Leading the activities of assigned staff by ensuring the department function is efficiently performed in a quality-oriented environment reflecting the West values, providing support and assistance as necessary
Developing and implement a strategic plan to establish long-range goals, strategies, and policies while remaining consistent with West's corporate policies, procedures, and philosophies
Proactively working to continuously improve expense controls, cost savings measures and budget products for assigned area
Develop a strong partnership with internal departments to ensure the successful completion of internal audits
Establishing a good working relationship with staff and division contacts in order to meet and maintain goals and objectives
Minimum 10 years of increasingly responsible finance, accounting, public accounting, or a related experience required, which includes a minimum of 6 years audit experience
Minimum of 3 years supervisory experience required

VP, Internal Audit, Mortgage Services Resume Examples & Samples

Work effectively with management to evaluate our mortgage insurance businesses, related risks, and related controls including monitoring of aggregate exposures as well as operational and financial processing risks
Preform annual risk assessments, develop annual internal audit plans for the organization's mortgage (re)insurance entities and contribute to the ACGL level risk assessment and internal audit plan
Contribute to ongoing business monitoring and optimization activities including: identifying emerging business risks and opportunities, understanding organizational changes through routine interaction with management and provide advisory services during the development of new businesses and systems
Execute the internal audit plans, revise those plans and individual audit scopes as necessary
Provide executable recommendations that improve operations, controls and how the business is managed
Ensure audits are executed and reported on within agreed-upon timetables and budgets
Establish objectives and scopes for audits, oversee the procedures and effectively communicate audit observations and recommendations with senior management
Prepare clear and concise written audit reports and Audit Committee meeting presentations
Facilitate the sharing of best practices across the Company's entities
Audits include areas such as risk management, underwriting, premiums, policy/contract administration, claims, ceded reinsurance, financial reporting and information technology
Manage team to accomplish results through effective recruitment, selection, training, development, performance management and recognition
Coordinate with the Company's other assurance functions (Risk Management and SoX) and interact with external auditors
Display teamwork, integrity and leadership
Work collaboratively and develop strong relationships with business units and operational areas
Evaluate the effectiveness of business and operating groups' actions in response to internal audit recommendations
Evaluate internal audit policies and procedures to enhance internal audit effectiveness and capabilities
Strong desire to add value and succeed as a member of Arch's mortgage segment leadership team and the IA team
Ability to assume increased responsibilities within a dynamic and growing organization
Ability to quickly differentiate the importance of various processes, risks and related controls
Highly effective interpersonal and communication skills; ability to write clear and concise reports
Strong work ethic and ability to work autonomously while effectively managing expectations
Ability to function in a team environment
CPA or CIA
12+ years of related experience
Insurance, financial services or similar industry experience, experience with mortgage insurance or mortgage lending preferred, but not required
Expert knowledge of internal auditing (procedures, testing, and reporting), internal controls, risk management, and finance and accounting practices and methods

VP Internal Audit FI Credit Resume Examples & Samples

Collaborate and support the Director to define the appropriate coverage strategy and audit plan for Fixed Income Credit and Municipals, taking into consideration the Audit Risk Appetite, the current and expected business environment, the regulatory requirements and the resourcing levels within the Function
Lead discussions with clients regarding audit observations, consulting with the Director where necessary
Build independent and respected relationships with clients on each audit and develop on-going relationships with key clients in aligned business area
Develop a wide network of contacts across BIA and the business to identify and work towards strategic goals
Engage and motivate others to develop their skills/knowledge/experience to contribute to the success of BIA
Celebrate the success of self and others and take pride in achievements
Contribute to the attraction of the best people through their role in the recruitment process
Create an environment to encourage knowledge sharing, asking questions and sharing viewpoints with BIA colleagues
Ensure the inclusion of all colleagues, regardless of background or circumstances
Sets an example and supports fair and ethical behaviour in all colleagues
Make sure colleagues are equipped to be able to protect our reputation at all times
8+ years of experience in auditing or investment banking industry experience
Experience / specialist regulatory knowledge in one or more of: Volcker, TRACE Reporting

Assistant VP-internal Audit Resume Examples & Samples

4+ years experience in risk based auditing or risk/control activities
Knowledge of sales and trading functions for Macro Products (FX & Rates)
Relevant professional qualifications (e.g. CIA, MIIA, ACCA, CISA)

VP, Internal Audit Resume Examples & Samples

Articulate deep experience with one or more of the following: SAP, new technologies including cloud computing, data analytics, fraud prevention/detection, and/or music/entertainment
Demonstrate exceptional communications skills, both written and verbal, with the ability to speak the language of the business not just ‘audit speak&#8217
Speak persuasively and defend complex positions effectively
Exhibit a strong understanding of GAAP, SOX, COSO, IT audit concepts, and leading business practices
Thrive in a creative, dynamic, fast-paced environment and manage multiple projects and resources simultaneously
Be a highly motivated self-starter that is innovative with a desire to continuously improve the business, the control environment, and processes
Display a high standard of ethics and professionalism
Effectively mentor, coach, and develop teams
Demonstrate strong knowledge and experience with Microsoft Sharepoint and Microsoft Office applications including Powerpoint, Excel, Access, Word, Project, and Visio
Travel domestically and internationally up to 30%

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