Audit Executive Resume Samples

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M Gibson

Margarita

Gibson

7563 Harold Route

Phoenix

+1 (555) 145 4919

7563 Harold Route

Phoenix

Phone

p +1 (555) 145 4919

Experience Experience

Phoenix, AZ

Audit Executive

Phoenix, AZ

Mante, Hintz and Larson

Phoenix, AZ

Audit Executive

Demonstrate an application and solution-based approach to problem solving, referred to for research on delivery of solutions in that field on client assignments
Demonstrate expertise in primary accounting frameworks (UK GAAP or IFRS) and in related financial reporting matters
Demonstrate expertise in using GAM to perform an assurance engagement in compliance with auditing standards
Contribute to effective team work in internal engagement situations
Assess the business risks, which may prevent the attainment of business policies and objectives and the actions taken to manage those risks
Highlight areas where risks are not identified or where risk management processes could be improved
Assist management in the anticipation and management of risk

Los Angeles, CA

Internal Audit Executive

Los Angeles, CA

Jones LLC

Los Angeles, CA

Internal Audit Executive

Develop and execute audit tests including management of sampling techniques
Work with high-growth clients and other market leaders in the asset management industry
Work effectively as a team member sharing responsibility, providing support, and updating senior team members on progress
Conduct performance reviews and contribute to performance feedback for staff
Maintains internal audit competency through ongoing professional development
Develop recommendations to close identified control gaps
Assist team leaders to assess risks and evaluate controls

present

Philadelphia, PA

Chief Audit Executive

Philadelphia, PA

Bogan Inc

present

Philadelphia, PA

Chief Audit Executive

present

Performs human resource management activities, including evaluating performance, recruiting and retaining top talent
Establishes risk-based plans to guide the internal audit function, after consideration of the organization's strategic plans and input of senior management and the Audit Committee
Reports to senior management and the Audit Committee on the results of internal audit's activities and performance relative to plan
Develops and maintains a quality assurance and improvement process for Internal Audit
Performs other duties and responsibilities as assigned
Establishes policies and procedures to guide the internal audit function, including record retention guidelines
Plans, assigns, monitors, reviews, evaluates and leads the work of assigned staff

Education Education

Bachelor’s Degree in Proficiency With Ifrs

University of Oregon

Bachelor’s Degree in Proficiency With Ifrs

Skills Skills

Develops and maintains a quality assurance and improvement process for Internal Audit
Attend to detail while maintaining a big picture orientation
Develops and maintains strong relationships across all levels of the organization
Gathering and compiling information and data
Communicates results of engagements to management and the Audit Committee and establishes an appropriate follow-up mechanism to ensure issues are addressed or properly reported to the Audit Committee
Provides recommendations for strengthening controls
Establishes risk-based plans to guide the internal audit function, after consideration of the organization's strategic plans and input of senior management and the Audit Committee
Oversees the testing of financial reporting key controls for Sarbanes Oxley
Maintains currency in audit processes and procedures
Prepares and presents operational budgets for the Internal Audit department

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Audit Executive / Assistant Manager Resume Examples & Samples

Ability to effectively manage the Audit process with consideration of audit risk issues and accounting technical matters
Ability to lead fieldwork on clients sites
Business Development skills
Expertise in primary accounting frameworks (UK GAAP or IFRS)
Demonstrate expertise in using GAM
Honours degree qualified (or equivalent)
ACA/CA/ACCA (ICAEW, ICAS, Irish Institute or equivalent international qualification) - preferably first time passes
Proven experience in delivering external audit in the Financial Services industry, ideally specialising in Banking and Capital Markets

Audit Executive Resume Examples & Samples

Demonstrate the ability to lead and manage fieldwork on clients sites including liaising with other departments to ensure the smooth delivery of the Audit process
External audit experience or a wide range of experience working in the Pensions industry in a accounting role
Experience in auditing Pensions funds preferable but not required

Ccb-audit Executive Assistant Resume Examples & Samples

Actively manage the calendars of multiple managers. Work effectively with other administrative assistants and meeting participants to schedule meetings, meeting logistics, ensure conflicting meetings are reviewed and resolved timely, and ensure managers are aware of calendar updates
Book travel arrangements and organize itineraries. Ensure travel arrangements are within department policy, meetings are appropriately scheduled and any additional travel requirements such as visas for international travel are considered. Process timely and accurate travel expense reports
Perform routine tasks such as those related to staff meeting communications, ad hoc group directory and organization chart updating
Assist with staff onboarding and offboarding which includes requesting equipment setup and system access
Manage general office needs such as ordering supplies, mail distribution, and floor maintenance
Professional with expertise in administrative or related functions; preferably experience in working for multiple managers
Proven ability to meet manager expectations with accurate and efficient delivery, ability to multi-task and prioritize manager requests and needs
Excellent verbal and written communication and interpersonal skills required with the ability to produce high quality emails and messages to individuals at all levels of the organization
Exceedingly attentive to details, ability to focus and conduct business with few errors
Exceptional experience with calendar management, time and expense management support, meeting coordination and planning
Proven PC skills, highly proficient in all Microsoft Office applications (Word, Excel, PowerPoint, Outlook)
Enthusiastic, self-motivated, effective under pressure, and willing to take personal responsibility and accountability
Able to work with minimal supervision, works well individually and in teams, shares information, and supports colleagues
Demonstrates sound judgment and discretion regarding sensitive topics

Internal Audit Executive Resume Examples & Samples

Work with high-growth clients and other market leaders in the asset management industry
Deliver audits and take responsibility through wrap-up and final report delivery
Maintain a strong client focus by effectively serving client needs and developing productive working relationships with client personnel. Stay abreast of current business and economic developments and new pronouncements/standards relevant to the client's business
Work effectively as a team member sharing responsibility, providing support, and updating senior team members on progress
Contribute to people initiatives, including recruiting and retaining FS Risk professionals
Maintain an educational program to continually develop personal skills
Strong academic record including at least a 2.1 classified degree or equivalent, a professional qualification would be advantageous
Strong understanding of the investment management industry

Internal Audit Executive Resume Examples & Samples

3+ years of experience in Audit and/or Operational Risk
Previous experience with GAAP, General Ledger, and Infrastructure Controls
Previous experience within an Accounting or Financial Services environment

Chief Audit Executive Resume Examples & Samples

Establishes risk-based plans to guide the internal audit function, after consideration of the organization's strategic plans and input of senior management and the Audit Committee
Leads assurance and consulting activities of the audit function, including information technology audits and independent reviews
Communicates audit plan and resource requirements to the Audit Committee for approval and ensures adequate resources are available to complete the audit plan
Reports to senior management and the Audit Committee on the results of internal audit's activities and performance relative to plan
Provides recommendations for strengthening controls
Develops and maintains a quality assurance and improvement process for Internal Audit
Oversees the testing of financial reporting key controls for Sarbanes Oxley
Maintains currency in audit processes and procedures
Prepares and presents operational budgets for the Internal Audit department
Prepares written reports and delivers oral presentations to internal clients and management
Interprets, applies, and recommends changes to organizational policies and procedures
Performs human resource management activities, including evaluating performance, recruiting and retaining top talent
Plans, assigns, monitors, reviews, evaluates and leads the work of assigned staff
Coaches and mentors subordinates, identifies training needs, and creates development plans
Advanced concepts, practices and procedures of compliance, financial and operational auditing
Advanced financial securities industry concepts, practices, procedures and regulations
Principles of securities industry operations
Company's working structure, policies, mission, and strategies
Performing risk assessments and guiding management in performing self assessments
Preparing and reviewing operational budgets
Promoting effective coordination between work groups
Identifying trends and implementing appropriate corrective actions
Planning, organizing and conducting financial, regulatory and operational audits
Interpersonal and leadership skills
Perform human resource management activities
Plan, assign, monitor, review, evaluate and lead the work of others
Balance conflicting resource and priority demands
Perform complex regulatory research
Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes
Organize and prioritize multiple tasks and meet deadlines
Bachelor's Degree (B.A.) in accounting, finance or business-related field and a minimum twelve (12) years of progressive leadership in the areas of external / internal auditing and/or controls consulting and a minimum of 4 (4) years experience in practice management roles

Audit Executive Resume Examples & Samples

To be considered for this role you must have good communication, IT skills and a professional manner
Qualified candidates with either the ACCA or ICAEW qualifications will be considered
Experience of audit in a practice environment is essential
Candidates should have a full driving licence and access to independent transport

Pensions Audit Executive Resume Examples & Samples

A confident communicator both with clients and your colleagues
A team player supportive of those who work with you
Committed to the quality of the work that you and your team produce
Organised, proactive and keen to try new experiences

Audit Executive Resume Examples & Samples

Assess the business risks, which may prevent the attainment of business policies and objectives and the actions taken to manage those risks
Highlight areas where risks are not identified or where risk management processes could be improved
A good knowledge of auditing (Essential) and if possible some of which should be in the financial services industry (can be external or internal audit) (Desirable)
An understanding of applicable laws and other regulatory requirements in the UK (desirable) and in other European countries (desirable)
Knowledge of IT auditing (desirable)

Audit Executive, Internal Audit Resume Examples & Samples

Reviews of risk management framework
Pre-implementation reviews of new systems or other business initiatives
End-to-end controls and efficiency reviews of systems
Review of contract management arrangements, including client assignments
Reviews of compliance with ISO27001
IT reviews
Regulatory compliance reviews
Special investigations

Control / Audit Executive Resume Examples & Samples

2) Coordinate with multiple stakeholders to collate audit evidences, help in drafting responses, tracking issues
3) Be part of the team to test effectiveness of key controls at the center
Be part of the Risk and Control organization at the unit, effectively working with units to ensure processes are adhered too
Be the audit coordinator with responsibility spanning from coordinating requirements / deliverable from the units
Help in putting up draft responses, track issues, follow-up and escalate on delays for all work related to audits at the center level
Coordinate with various governance teams, country /regional level domain teams to setup discussion in order to discuss open items /issues
Be part of the team to verify key controls by collating data from various stakeholders and helping in conduct tests to validate effectiveness of of controls
Maintain trackers of audit issues/ self-identified control issues and track them for closure. Manage MIS reporting and create dashboards for management reporting purpose
Minimum 3-4 years of work experience with at least 1-2 years’ experience in controls function
Excellent Communication skills, both written and oral
Excellent Coordination skills specifically coordination of deliverables between multiple stakeholders
Ability to create metrics, presentations and other documents as needed

External Audit Executive Director Resume Examples & Samples

Lead a portfolio of audit engagements being ultimately responsible for all aspects of client service, delivery and engagement economics
Plan and review deliverables in various forms, including written reports, presentations and discussions with clients, Ernst & Young teams and other parties
Resolve significant audit issues on a timely basis
Develop new business opportunities to increase portfolio and revenues of the firm
Understand EY's service offerings and actively identify opportunities to better serve clients
Build strong internal relationships within EY Assurance and across other service lines
Develop people through effectively supervising, coaching and mentoring all levels of staff
Conduct performance reviews and contribute to performance feedback for all levels of staff
Drive people initiatives, including recruiting, retaining and training assurance professionals
Contribute to the maintenance of an educational program to continually develop personal skills for all levels of staff
Understand and follow workplace policies and procedures and communicate these to all levels of staff
Ten years relevant work experience preferred
Experience of the entire assurance process
High degree of proficiency with IFRS
Full knowledge of quality and risk management principles and procedures
Recognised international accounting qualification

SVP, Chief Audit Executive Resume Examples & Samples

Leads Risk & Control Services ("RCS") to create, implement, execute and supervise the Ameriprise Financial audit plan and Sarbanes Oxley compliance efforts
Provide strategic direction for RCS and adapt strategies to changing circumstances as required. Clearly communicate the strategic direction of RCS to the Audit Committee, team and key partners
Direct the execution of the Ameriprise Financial audit plan and Sarbanes- Oxley compliance efforts. Manages Audit Committee agendas, materials and requirements, ensuring all responsibilities outlined in the Audit Committee’s Charter are fully executed in an appropriate manner
Lead projects as assigned, on time and within budget, including cross team/department projects as required
Partner with Senior Management to develop the annual internal audit plan, SOX 404 compliance activities, and the Company's ERM program
Ensure effective controls are in place to proactively manage risk and remain in compliance with company policies and procedures
Manage the budget for areas of responsibility and work to identify and solve potential challenges and opportunities
Think strategically, creatively, and drive innovation with a focus on continuous improvement
Demonstrate accountability, and focus on client needs and creating value for the shareholder
Build and develop talent, and manage performance of assigned team(s). Effectively manage and lead through change
Maximize relationships, build trust, and communicate effectively across business units, staff groups, and geographic locations
Consistently model and reinforce the 10 Behaviors & Commitments in how we work together
Bachelor’s degree required
Has served as CAE or deputy responsible for managing Internal audit in a complex, publicly held financial services company
Strong knowledge of internal audit processes, techniques and treads. Broad internal and financial control knowledge including SOX
Demonstrated ability to develop client and customer-driven environment that appropriately considers a variety of perspectives
Ability to manage effectively in an environment with significant & rapid change, driven by external forces and internal initiatives
Ability to "connect the dots" and understand the implications of business processes, systems, and actions across a complex matrix-managed organization

AML Audit Executive Resume Examples & Samples

6+ years minimum experience in AML/BSA leadership within a banking organization or professional services firm
Highly proficient experience developing, auditing, and monitoring compliance of BSA/AML requirements within complex organizational structures
Highly effective communication with all levels of the organization including senior and executive management
Excellent written and oral communication skills with all levels of an organization including senior management
Business writing proficiency including audit report and proposal writing
Ability to lead a sales cycle from opportunity identification through closure
Client relationship management experience
MS Office proficiency including Excel, Word, and PowerPoint
Team-oriented with experience working with diverse teams
Ability to leverage available resources and contribute through others
Project/workstream leadership experience with a desire to enhance management and leadership abilities
Exceptional problem solving, critical thinking, and analytical skills
Ability to evaluate the current state, identify gaps and weaknesses, define a path to solution, and develop and execute a plan to achieve success
Willingness to travel 60% or more annually

Executive Assistant to the Chief Audit Executive Resume Examples & Samples

Provide in-depth administrative support to 1 or more ELTs including but not limited to
High school education or equivalent
5+ years of administrative support experience, at least 3+ of which have included support of senior level executives
Experience planning & coordinating domestic travel
Experience creating and submitting expense reports
Experience maintaining complex calendars and setting up meetings
Intermediate level of proficiency in Microsoft office suite
Ability to manage multiple tasks/projects and deadlines simultaneously with attention to detail and high quality
Polished demeanor, executive presence, strong relationship management skills and demonstrated experience delivering a high level of internal and external customer service
Proven interpersonal skills and emotional intelligence, with the ability to diplomatically resolve conflict with tact and sensitivity
Positive, team-oriented attitude
Excellent verbal and written communication skills and grammatical skills
Ethics, integrity, and values; maintains confidences and protects operations by keeping information confidential
Notary public (or willing to obtain this)
Experience directly supervising administrative assistants
Experience planning & coordinating international travel
Flexibility to work an early schedule (7am to 4pm)

VP / Chief Audit Executive Resume Examples & Samples

Professional certifications (CPA, CIA, etc.)
10+ years of professional experience in finance and accounting/audit
5-10 years in a leadership role managing an Internal Audit function within a publicly-traded company
Ability to galvanize others around a shared vision
Ability to evaluate policies, procedures, and audit team and make changes, as appropriate

Audit Executive Resume Examples & Samples

Conduct Risk: To put the interests of clients and the integrity of the market at the heart of the way you do business
The key duties and responsibilities of the Audit Associate are
Participating as part of a team in risk based audits evaluating the adequacy of controls for Willis Towers Watson business units and/or key business processes, including

Audit Executive Resume Examples & Samples

Operational delivery of audit activities working within a team and with wider members of Centrica or other subject experts
Identify gaps in controls and potential implications for discussion within the Internal Audit team and wider stakeholders
Manage the activity of others on specific audit assignments and departmental initiatives
Lead specific audit assignments and deliver to schedule and to the required quality standards
Application of experience, initiative and judgment to situations encountered in audits
Appropriate use of escalation to produce high quality deliverables

Chief Audit Executive Resume Examples & Samples

Advanced degree from accredited four-year university or equivalent. MBA preferred
Applicable certifications including Professional Audit, Accounting or Compliance Certification required (e.g. CPA, CIA, CISA)
Minimum 15 years of applicable experience in the Financial Services sector performing complex audit projects and internal control assessments in a bank internal audit and/or public accounting capacity
Direct experience leading and overseeing the internal audit function for large financial services organization including all aspects of leadership and staffing activities
Direct experience in assessing compliance with the Sarbanes Oxley Act of 2002
Experience and expertise in building positive working relationships with the various critical stakeholders including regulators, Board of Directors and external auditors
Experience working in a highly regulated environment
Experience presenting to executive and senior level management and Boards

Chief Audit Executive Sbna Resume Examples & Samples

Attend audit requests at corporate level
Develops metrics for monitoring and assessing the efficiency and effectiveness of the internal audit function and reporting to the Audit Committee on an ongoing basis
Directs overall performance of audit procedures identifying scope, objectives and defining issues, developing criteria, analyzing evidence, and documenting auditing processes and procedures
Responsible for comprehensive and formally documented risk assessments for all of banks key entities & related business processes. This includes evaluation of inherent risk by business process/activity as well as use of industry/regulatory risk categories
Develops documented internal audit policies and procedures and a comprehensive methodology to drive various components of the internal audit process (i.e. audit universe, risk assessment process, risk definitions and drivers, etc.)
Manage the relationship with the Santanders Corporate Audit Group which includes among others regular reporting (audit plan, audit staff, recommendation follow-up, corporate and local projects etc..) and also the execution of targeted reviews to attend
Presents/communicates the results of audit and other special projects to key stakeholders including the Audit Committee, Senior Management and regulators
Directs audit staff in the planning, organizing, directing and monitoring of internal audit operations
10+ years of experience in auditing or accounting with financial institutions, including 5+ years of management or project management experience, supervising & conducting audits in information systems

Internal Audit Executive Resume Examples & Samples

Participate as a key team member on audit projects with a focus on the Italy market
Ensure effective and efficient execution of audits in conformance with professional and department standards, budgets and timelines
Support team leaders in accomplishing audit objectives in a team environment
Document processes through the department and company tools
Assist team leaders to assess risks and evaluate controls
Develop and execute audit tests including management of sampling techniques
Assist the Internal Audit Italy Branch Officer in preparing the necessary documentation and information for the Legal Representatives, the Statutory Board of Auditors (so called “Collegio dei Revisori”) and the other key stakeholders in relation to the audit activities conducted by the Internal Audit Group
Relevant recent experience in public accounting, finance, internal audit or related field required (3-5 years)
Degree in economics, finance, engineering or related field required
Knowledge and experience in application of control theory and professional auditing practices
Knowledge of the Italian legal and regulatory framework for the Financial Institutions
Exposure to multiple industries, preferably in financial services
Ability to think analytically, communicate complex issues and develop control recommendations
Proficient in the use of Microsoft Office Suite and risk assessment tools
Professional certification (ACA, ACCA, CIA, CISA, CPA or equivalent) preferred
Fluent in Italian and English
Demonstrated track record of integrity, effective communication, innovation and excellence

Audit Executive Resume Examples & Samples

Assist the Head of Internal Audit to plan and conduct internal audit activity for Lockton International operations
Assist in developing and implement an annual risk based internal audit plan, taking into account the assurance requirements of key stakeholders
Assist in promoting the internal audit offering to key stakeholders and respond to assurance requests
Reviewing the adequacy and effectiveness of the policies and processes in place to identify and manage key risks in the organisation
Part qualified (or newly qualified) ACCA/ ACA professional with some internal or external audit experience in a Legal/ Compliance/ Risk Management/ Insurance Broking environment
Basic understanding of the principles and application of good corporate governance, business and operational risk and control processes and procedures
Basic knowledge of assurance and audit procedures, including risk driven audit planning techniques and methods used to examine, verify and analyse business and financial operations, information, records, statements and reports, and the requirements of the "Standards for the Professional Practice of Internal Auditing"
Basic knowledge of the principles, procedures and techniques of accounting, and of financial records and transactions
Ability to gain the confidence and respect of management and staff through attributes such as professionalism and positive attitude
Knowledge of additional language a plus (Spanish, Italian, Portuguese or Mandarin)

VP & Chief Audit Executive Resume Examples & Samples

Review, develop and manage an internal audit strategy which appropriately considers the relevant and evolving business risks facing the Company. Implement an annual audit plan that adequately addresses those risks in an effective, cost efficient manner
Communicate the internal audit strategy with the Audit Committee of the Board of Directors, executive management, and the individual business units
Responsible for assessing the system of internal controls which provides reasonable assurance that operations are effective and efficient, assets are safeguarded and financial information is reliable
Reviews the annual internal audit plan (in conjunction with the CFO, independent auditors and Audit Committee) to ensure there is adequate coverage of significant risk areas and appropriate coordination between internal audit and the independent auditors
Modify the annual internal audit plan as needed in order to effectively respond to emerging risks. Inform the Audit Committee and executive management as to any changes to the plan on a quarterly basis
Reviews the results of Internal Audit activities, including the scope of internal audits, discussion of significant findings, and management’s response with the Audit Committee, senior executives and management
Ensures the proper coordination of work and cooperation between internal audit and the external auditors – including the annual audit, SOC1, SOC2 and other efforts
Authorizes publication of reports on results of audit examinations, including recommendation for improvements
10 years progressively responsible auditing experience required
5 years proven leadership and/or management experience required
Strong knowledge and broad understanding of the regulatory and compliance aspects of the health insurance industry, its products, and practices
High level of integrity with ability to handle highly confidential and sensitive matters
Exceptional oral and written communication skills with proven attention to detail
Proven ability to handle multiple tasks and/or large projects simultaneously

Institutional Chief Audit Executive Resume Examples & Samples

Bachelor’s degree in accounting, finance, management, business administration, information systems or related fields
A minimum of ten (10) years of professional audit experience in progressively responsible leadership position(s) within a public or private college or university, a state or federal agency, an accounting/auditing firm, or with in private industry to include at least six (6) years of supervisory/management experience
Certified Public Accountant or Certified Internal Auditor
Education: Master’s degree in business administration (MBA), accounting, management, information systems, or education administration
Experience: Experience working with modern, sophisticated, computer-based accounting and financial reporting systems in a large, complex higher education organization in a leadership role
Provide independent assurance services by

Audit Executive Resume Examples & Samples

Location – Windsor (SL4)
Travel - upto c20%
Package circa: Competitive salary with car allowance, bonus, pension, private medical

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