VP, Internal Audit Cover Letter

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

In the previous role, I was responsible for expert advice on process and controls auditing and optimization across OCC, building effective relationships with senior and business line leadership to support achievement of their goals.

Please consider my experience and qualifications for this position:

• Experience and practical understanding of Operational Resilience and Information Risk Management
• Specific practical experiences with counterparty credit, leverage finance, credit portfolio management and stress testing, or wholesale lending through credit risk management or reporting roles or consulting
• Banking industry experience such as Liquidity Risk Management/ Regulatory Reporting preferred
• Leading the risk assessment of aspects of capital planning processes and assessing its impact on the audit plan
• Managing multiple Capital Planning audit reviews from planning through reporting, within established budgets and delivery dates, and ensuring workpapers meet internal standards
• Coordinating CCAR work that impacts the Banks’ DFAST submissions
• Contributing to quarterly reports for senior management and the Board Audit Committee on capital planning
• Build credible relationships and Senior Management within the Firm and interacting with regulators

I submit this application to express my sincere interest in the VP, internal audit position.

In the previous role, I was responsible for chief Internal Auditor and internal stakeholders timely updates and insight on the design and effectiveness of business, risk, operation and technology control practices.

Please consider my qualifications and experience:

• Adept at promoting the audit department’s services to other internal groups and functions
• Proven track record of developing people, leading and managing high-performing teams
• Extraordinary interpersonal and communication skills that create collaborative working relationships with teams across an organization
• Detailed, results-oriented, analytical and problem-solving mindset, able to quickly assess ambiguous, varied factors and “make it happen” in fast-changing environments
• Excellent written and oral communication and presentation skills to clearly frame and interpret issues
• Relevant work within financial services and understanding of the mortgage finance industry (Commercial and Residential), including significant exposure to housing financing, real estate securitization, and capital markets products and services
• Relevant experience working within the three enterprise lines of defense functions
• Experience in the evaluation of the design and operating effectiveness of business process and operations controls, including relevant experience with information technology control assessments

I submit this application to express my sincere interest in the VP, internal audit position.

Previously, I was responsible for to Senior Leadership and local management leaders, internal control advisory services to help strengthen internal control environment, efficiency and effectiveness of operations, accuracy and reliability of financial information and advise on leading practices.

Please consider my experience and qualifications for this position:

• Functional and IA expertise in Technology and Operations of a CCP (or similar) with complex high throughput online transaction processing (OLTP) preferably within a SIFMU (or similar) organization, with a good understanding of the underlying regulatory environment
• Experience performing risk assessments and assessing design and operational effectiveness of applicable controls
• Experience with business application systems and related internal control concepts, and information systems from an audit and control perspective
• Strong proficiency using TeamMate, Archer or other audit software or eGRC tool
• Experience in financial services/security industry including working with regulatory organizations such as the SEC, CFTC, Federal Reserve Bank, is preferred
• Experience within Capital Markets, SIFMU, and/or CCP and/ or Financial Services preferred
• Experience in presentation reporting, particularly in consolidating, directing, and presenting extensive data
• Results oriented in providing timely high quality deliverables

I submit this application to express my sincere interest in the VP, internal audit position.

In my previous role, I was responsible for risk management and internal control leadership and support regarding effective operating and design controls, risk mitigation strategies and overall compliance with Laboratory policies and procedures.

Please consider my experience and qualifications for this position:

• Accounting or Internal Audit qualification (ACA, ACCA, CPA, CIA, CISA) are strongly preferred
• CPA or/and CIA certification, or working toward certification
• Firm understanding of Sarbanes-Oxley Act, Section 404 and 302
• Knowledge of internal audit and accounting best practices
• Experience interacting with Board of Directors, Audit Committee strongly preferred
• Accounting or audit certifications strongly preferred (CIA, CPA, CISA)
• Demonstrated success in audit management in a highly collaborative environment to influence compliance and controls while building strong internal and external partnerships, coaching and guidance to varied stakeholders
• Current knowledge and proficiency with MS Office suite

Please consider me for the VP, internal audit opportunity. I am including my resume that lists my qualifications and experience.

Previously, I was responsible for the necessary support to monitor and ensure compliance with information security policies, procedures and regulatory requirements including assistance with internal auditing, technical reviews and identification of security risks.

Please consider my qualifications and experience:

• Leading on QA reviews of completed audits, audits in progress, BIA lessons learnt, thematic methodology topics and special investigations
• Validating BIA’s performance against regulatory requirements and commitments
• Delivering high quality written and verbal communication to BIA colleagues on QA results and actions
• Act as “quality ambassador” to an assigned part of BIA, working with the teams to understand quality blockers and develop tailored quality interventions where necessary
• Develop and deliver technical internal audit training to colleagues
• Benchmarking to peer organisations for best practice
• Contributing to the design of BIA’s auditing methodology
• Provide complete, accurate and timely information for QA reporting