Chief Audit Executive Cover Letter

Please consider me for the chief audit executive opportunity. I am including my resume that lists my qualifications and experience.

In the previous role, I was responsible for assistance to the company’s external auditors as required to ensure controls are adequately designed and operating effectively as prescribed by management and as relied upon for Sarbanes-Oxley compliance.

Please consider my qualifications and experience:

• Experience evaluating/monitoring risk and control frameworks
• Demonstrated knowledge and experience with administering or implementing and Enterprise Risk Management framework for reporting and assessment of risks
• CPA, CIA, CISA or other applicable professional certifications related to audit or risk
• Current knowledge of financial services industry and general regulatory environment
• Capacity to leverage relationships and insights to successfully influence others and build authentic and trusted relationships to create alignment and support
• Excellent leadership and interpersonal skills with presentation and communication skills meeting the needs of all levels within the organization up to and including the executive management team, CEO and the board of directors
• Experience with a publicly-traded company
• Asset/investment management and/or broker-dealer experience

Please consider me for the chief audit executive opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for sarbanes-Oxley compliance support to the IT and Finance organization.

Please consider my experience and qualifications for this position:

• Knowledge of federal, state, or city education funding mechanisms are strongly preferred
• Experience in a governmental or public agency is preferred
• Chief Audit Executive duties within government
• Communicating effectively in writing and in oral expression
• Selecting and developing staff
• Conductingrisk assessmentsand developing audit plans
• Assurance, consulting,and advisorwork
• Knowledge and experience building cooperative working relationships with and between department management and staff

I would like to submit my application for the chief audit executive opening. Please accept this letter and the attached resume.

Previously, I was responsible for year-end final documentation to ensure compliance with Sarbanes-Oxley and prevent misstatements of financial reporting.

Please consider my experience and qualifications for this position:

• Direct experience with regulatory groups such as FINRA and the SEC
• Public accounting background or equivalent experience
• Mergers and acquisitions due diligence and integrations experience
• Systems conversion or implementation experience
• The necessary stature and presence to quickly develop credibility and establish solid partnerships throughout the organization
• Effective negotiation skills, and a proactive 'no surprises' approach in communicating issues, with strength in sustaining independent views
• Solid financial management and auditing training, preferably with public accounting experience
• Broad based technical skills combined with outstanding leadership traits and a high energy level in order to effectively carry out the responsibilities

I submit this application to express my sincere interest in the chief audit executive position.

In my previous role, I was responsible for needed assistance and compliance to globally accepted standards, including ISO27001: Information Security Management System and ISO9001: Quality Management System.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Deep knowledge and awareness of enterprise risk management philosophies and principles
• Experience overseeing an internal audit function along with professional staff
• Experience in financial and administrative controls in both manual and automated settings
• Demonstrated leadership experience coupled with the highest level of integrity and honesty
• Flexibility to change priorities of internal audit as needed
• Knowledge of accounting principles, internal auditing standards, and internal control frameworks
• Experience in using data analytics to improve audit coverage and efficiency of audit processes
• Recognized audit designation (CPA, CIA, CA, CISA or equivalent) is preferred

In response to your job posting for chief audit executive, I am including this letter and my resume for your review.

Previously, I was responsible for independent assurance to the banks’ board of directors and senior management on the effectiveness of the design, implementation and execution of the banks’ core business processes and risk management framework (including risk profile, risk appetite, and compliance practices).

Please consider my experience and qualifications for this position:

• Working knowledge of the principles of accounting and auditing
• Working knowledge of the laws and regulations relating to accounting and auditing procedures
• Understanding of generally accepted accounting principles, statistical analysis, audit standards, audit techniques, and risk analysis
• Possess skills to Interpret laws, rules, and regulations and apply them to varying and complex compliance situations
• Understanding of management principles and practices
• Financial Services and/or Regulatory experience
• Risk assessment and control evaluation testing experience
• Expert knowledge in accounting and Sarbanes Oxley Act compliance and related rules and regulations