Internal Audit Associate Resume Samples

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A Beahan

Arjun

Beahan

378 Mann Mall

Los Angeles

+1 (555) 144 7381

378 Mann Mall

Los Angeles

Phone

p +1 (555) 144 7381

Experience Experience

Chicago, IL

Internal Audit Associate

Chicago, IL

Trantow, Kilback and Kemmer

Chicago, IL

Internal Audit Associate

Identifying and evaluating key risks and contributing to establishing audit scope
Participating in audit walkthroughs, assessing the internal control environment and performing controls and substantive testing
Performance of audits including detailed walkthroughs and flow charts of key processes to identify key risks and controls, development of test procedures for key controls, execution of testing, identification and reporting of issues. On-going communication with business line management discussing the status of business changes as well as perform follow-up on previously identified audit issues
To promptly respond to and complete ad hoc business requests, including those directed by the Head of Data Analytics, Head of IT Audit Europe and Asia, and the Global Head of IT Audit
To produce effective reports and opinions which successfully influence executive management to manage risk prudently within the companies risk appetites
Leading walkthrough meetings and discussions with the purpose of developing audit test programs and identifying control issues
Establish and maintain effective relationships with middle level IT Management across the firm to better position the IT Audit function to perform audits and provide value added services to our clients

Detroit, MI

Internal Audit, Associate

Detroit, MI

Schulist LLC

Detroit, MI

Internal Audit, Associate

Identifying key control issues and emerging risks, and working with management to ensure timely and effective remediation
Development and maintenance of working relationships with the business and support functions
Identifying key control issues and emerging risks; working with management to ensure timely and effective remediation
Providing advisory services during the development of new businesses and systems
Assistance in the risk assessment of selected business, risk and operational units
Support of a variety of functions in planning, fieldwork and reporting on global and regional reviews
Performing investigations, special reviews and other ad hoc projects

present

Chicago, IL

Senior Internal Audit Associate

Chicago, IL

Hilll, McDermott and Morissette

present

Chicago, IL

Senior Internal Audit Associate

present

Assist audit management in executing IT internal audit programs and annual IT Sarbanes-Oxley efforts
Interpret the significance of audit findings, conclude on findings and make practical recommendations to management
Effectively manage project budgets to meet assigned initiatives
Assess new, or changes to existing, processes to identify operational, financial and regulatory risks and recommending improvements
Develop IT audit testing programs and testing key IT controls within SVB’s environment leveraging the SVB internal audit methodology
Execute operational and regulatory internal audit programs to address relevant risks
Assess new, or changes to existing, processes to identify operational and information technology risks and recommending improvements

Education Education

Bachelor’s Degree in Finance

Kennesaw State University

Bachelor’s Degree in Finance

Skills Skills

Strong analytical skills. Ability to process information quickly
Strong ability to set and meet professional goals
Strong interpersonal skills and ability to work with others
Highly organized and detail oriented
Ability to multi-task amongst several projects through the use of strong project management skills
Strong Excel and Power Point skills. Access and Process Flowcharting skills (e.g., Visio) are desirable
Strong attention to detail
Good working knowledge of accounting principles
Excellent strong analytical and problem solving skills
Able to process information quickly

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15 Internal Audit Associate resume templates

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Internal Audit Associate Resume Examples & Samples

Participating in audit walkthroughs, assessing the internal control environment and performing controls and substantive testing
Identifying and assessing potential findings for significance
Communicating audit findings to the audit lead and assisting with finalisation of issues with key stakeholders in the business
Tracking implementation of management actions
Develop relationships with key stakeholders in the business
Qualified accountant holding a professional accounting or auditing qualification (ACA, ACCA, CIMA, IIA) or international equivalent preferred
Experience in financial services and knowledge of basic financial instruments and products preferred
Strong analytical skills. Ability to process information quickly

Internal Audit Associate Resume Examples & Samples

Perform financial and operational audits of the firm's businesses and document work papers in accordance with IIA Standards and IAOA Audit Methodology
Assess risk, develop scope, and assess and enhance work programs during the plan phase of audits
Develop, document and confirm the understanding of processes, risks and key controls, and be accountable for the results and conclusions
Draft audit issues and develop recommendations (for inclusion within the draft audit report) based on the analysis and results of control tests
Evaluate supporting documentation and corrective actions taken by management to resolve and close audit issues
Conduct risk assessments of assigned entities within established timelines and in accordance with audit methodology
4-8 years of public or private audit banking experience or internal audit out of a commercial bank
Excellent communication and organization skills
Strong ability to set and meet professional goals
Public accounting for private auditing experience out of a financial services company

Internal Audit, Associate Resume Examples & Samples

Participation in projects aimed at optimizing business and control activities and processes
Support of a variety of functions in planning, fieldwork and reporting on global and regional reviews
Identifying key control issues and emerging risks; working with management to ensure timely and effective remediation
Building strong relationships with business partners
Collaborating with other corporate risk and control functions to ensure activities are coordinated
Rising juniors and seniors with interest in broad exposure to investment management, risk management, operations, finance and/or technology in the Asset Management industry
Demonstrated record of academic achievement and leadership
Professional certifications such as CA/CPA or CFA are a plus
Excellent communication (verbal, written, and listening) and interpersonal skills
Strong critical thinking and problem solving abilities
Ability to develop and maintain effective working relationships with business management
Financial services experience is preferred; understanding of asset management products, business processes and systems
Strong Excel skills or capacity to develop Excel skills

Cib Internal Audit Associate Based Resume Examples & Samples

Assess the control environment of the Mexico businesses, with a view to providing recommendations for improvement where weaknesses are identified
Be able to perform and lead the audit execution and fieldwork independently and efficiently within defined targets. Evaluate through substantiate testing, process review and compliance verification the effective control environment of the different areas and compliance with the Firm's Code of Conduct
Evaluate the controls in place to prevent, identify and report trades and activities with illicit source of funding
Communicate audit results and issues effectively, verbally and in written form, as well as articulate complex issues and themes to stakeholders
Partner with colleagues, stakeholders and control functions to evaluate, test and report on the adequacy and effectiveness of management controls with appropriate recommendations for improvement. This may be delivered through specific audit reviews or through ongoing involvement in major activities or projects
5 years of experience in similar position
Bachelor's degree in Business, Economics, Accounting or related discipline
Certification/license as ACAMS desirable
Knowledge of Mexican regulations and key industry issues & themes considered an advantage

Cib-internal Audit Associate Based Resume Examples & Samples

Help to coordinate sessions for the Audit Committee
Understating of audit practices and methodologies, including risk assessment
Enthusiastic, self motivated, effective under pressure and willing to take personal responsibility/accountability
Project management skills; must be able to manage multiple projects concurrently
Excellent communication (i.e. verbal and written) in Spanish and English
Experience managing and developing a team

Internal Audit Associate Resume Examples & Samples

Perform internal audit testing for compliance of internal control over financial reporting pursuant to the Sarbanes-Oxley Act of 2002
Collaborate with Internal Audit Manager, other audit associates, third party consultants and management as well as the independent auditors as the Company continues to build its internal audit department
Ability to identify risks and control deficiencies while performing duties
Relies on extensive experience and judgment to plan and accomplish goals which have Company-wide impact
Other duties as assigned by supervisor

Internal Audit Associate Resume Examples & Samples

Perform detailed Excel based analysis of operational and financial related data to recognise patterns and trends with risk and control implications
Leading walkthrough meetings and discussions with the purpose of developing audit test programs and identifying control issues
Track implementation of recommended processes designed to strengthen internal controls
University degree (or equivalent) and ACA OR CPA required
Big 4 experience preferred
Good knowledge of financial products including derivatives (e.g. good understanding of option valuation, able to discuss trading strategies with the front office)
Understanding capital markets front to back processes

Internal Audit Associate Resume Examples & Samples

4-7 years of experience in internal auditing within corporate/investment bank, or equivalent relevant positions
Strong project management skills (organization, time management)
Excellent strong analytical and problem solving skills
Solid understanding of different trading products and activities, and the related risks and controls
Proven ability to use skills to help plan or execute audits using a risk-based approach
Master's Degree in a Business Discipline
Familiarity with Volcker Rule and other Dodd Frank requirements
Familiarity with broker-dealer or FCM activities
CPA, CIA, CIDA, Series 7

Internal Audit Associate Resume Examples & Samples

2-5 years of public or private audit experience
Audit Operational skills
Product knowledge

Internal Audit Associate Resume Examples & Samples

Undergraduate or graduate degree in finance, economics, accounting, or business
Prior financial services experience is preferable, including understanding of financial
Ability to develop and maintain effective working relationships with peers and business

Internal Audit Associate Resume Examples & Samples

Performance of audits including detailed walkthroughs and flow charts of key processes to identify key risks and controls, development of test procedures for key controls, execution of testing, identification and reporting of issues. On-going communication with business line management discussing the status of business changes as well as perform follow-up on previously identified audit issues
Participation in continuous monitoring and conducting ongoing risk assessments of key business processes to drive risk based audit plan
3 to 5 years of internal audit related experience. Wealth Management is a plus
Ability to multi-task amongst several projects through the use of strong project management skills

Internal Audit, Associate Director Resume Examples & Samples

Develop a risk-based plan for internal audit activities for approval by audit committee
Evaluate governance, operations and information systems regarding reliability and integrity of financial and operational information together with process owner
Compliance with laws, regulations, policies, procedures and contracts
Prepare report on internal audit engagements
Interact with External Auditors on external assessment of Peak Re's Internal Audit function
Interact with company's subsidiary(ies) Internal Audit functions and shareholders' Internal Audit function
Support due-diligence

Senior Internal Audit Associate Resume Examples & Samples

3+ years of Internal and/or External Audit experience; 1+ year of experience performing Internal or External Audits in the Healthcare industry
Working knowledge and experience with auditing tools, such as IDEA, Audit Control Language, etc
Microsoft Office/Suite proficient (Access, Word, Excel, PowerPoint, and Visio)
Strong attention to detail
CPA, CIA, and/or CISA
Previous Healthcare experience

Internal Audit Associate Resume Examples & Samples

Perform audit fieldwork for assigned areas such as interviewing management and staff to understand key processes, preparing detailed flowcharts and control evaluation templates, executing work program procedures and testing key controls, verifying findings and documenting work performed in work papers
Perform SOX evaluations by performing activities such as preparing advance requests, understanding and documenting processes via walkthroughs, testing of key controls, evaluating controls to determine compliance, communicating and documenting deficiencies via action plans and closing meetings, and documenting work performed in work papers
Participate in the quarterly revenue recognition assistance program to help the external auditors complete quarterly reviews timely while reducing overall costs to the Firm
Establish and maintain excellent working relationships with peers and internal colleagues
A Bachelor’s degree in Accounting, Finance or a related business field
Understanding of revenue recognition requirements and criteria as required under ASC 605 (SAB 104) and ASC 606
Excellent interpersonal and communication skills, with the ability to adapt and embrace multi-cultural diversity and ability to maintain a positive and professional attitude
Ability to multi-task, work independently and as part of a team
Proficiency with Excel, PeopleSoft, Hyperion, Visio, ACL or other data analytics tool preferred

SOX Internal Audit Associate Resume Examples & Samples

3+ years of previous Sarbanes Oxley experience
Experience in Internal Controls and Compliance with Sarbanes-Oxley (SOX) Section 404
Strong Internal Audit background

Internal Audit Associate Resume Examples & Samples

Review aspects of the Group's various functions and business lines to ensure its adhering to the regulations and controls
Identifying key risk and related controls, and testing controls to ensure design and operating effectiveness
Identifying control weaknesses, discussing and agreeing these observations with senior management
Preparing well drafted audit reports and findings, and presenting these findings to senior management
Participating in the audit planning process, ensuring that audit documentation is prepared promptly and to a high standard
Contributing to departmental management activities and undertaking ad-hoc special projects, as required
Have 3-4 years of experience from Big4 in the financial services specialization
Ideally have 2-3 years of banking audit experience
Have strong communications skills and good business acumen
Be proficient in English and Chinese

Internal Audit Associate Resume Examples & Samples

Examines key financial processes and business risks and tests controls in place to mitigate risks
Successfully in-charge audits/projects
Effectively supervise, evaluate and guide staff
Demonstrates leadership
Produces Lotus Notes-based automated work papers clearly documenting work performed
Designs data extracts of information databases to detect potential issues and/or quantify findings
Identifies business improvement opportunities and control enhancements
Above 2 years experience in auditing or financial experience
Has good critical thinking and problem solving skills
Expresses views/opinions clearly both orally and in writing
Demonstrated ability as an in-charge of audits/projects
Mastery at an advance staff level of audit and core competencies
Ability to running multiple projects
Delivery focused

Senior Internal Audit Associate Resume Examples & Samples

Execute operational and regulatory internal audit programs to address relevant risks
Effectively manage project budgets to meet assigned initiatives
Assess new, or changes to existing, processes to identify operational, financial and regulatory risks and recommending improvements
Prepare formal audit reports to document audit scope and findings
Effectively communicate with process owners and be a good representative of the Internal Audit department

Internal Audit Associate Resume Examples & Samples

Familiarity with accounting rules, control objectives and information systems
Familiarity with financial reporting and accounts payable processes and controls
Familiarity with Microsoft Excel and Word, SAP, ACL, and Microsoft Access or other database programs

Internal Audit Associate Resume Examples & Samples

At least five (5) years of progressive experience in audit, internal audit, controls testing or business process improvement
Experience in the investment management industry, including trust administration audit or compliance monitoring preferred
College degree required
Experience with Advent’s suite of software (APX, Rules Manager, Moxy) a plus
Experience with Charles River a plus
Highly organized and detail oriented
Able to multi-task, prioritize and perform well under pressure
Superior communication skills (verbal and written)

Summer Intern, Internal Audit Associate Resume Examples & Samples

Current Sophomore pursuing a BA/BS degree in Business, Finance, Accounting, Economics, or Information Systems
Strong analytical, data analysis, and problem solving skills, including a strong attention to detail
Solid communication skills (written, verbal, and listening)
Exhibits high ethical standards at all times
Aptitude and passion for learning new things
Enjoys being a member of a cohesive team
Displays a positive attitude
Proficient in Word, Excel, and PowerPoint
Ability to think outside the box and challenge the status quo
Proactive and a desire to contribute to the team
Willingness to go above and beyond to deliver excellence
A passion for cloud computing and the customer company strategy

Internal Audit Associate Resume Examples & Samples

Assist with the investigation of compliance related matters and work with the Corporate Director, Internal Audit, legal or others as necessary, to resolve the issues
Other special projects, as needed
Ability to analyze data/audit evidence where the objective is to supply information to others in the department who will use it to develop recommendations
Ability to analyze data/audit evidence where the objective is to identify issues and implement controls where appropriate
Adept at managing multiple projects with competing deadlines
Strong interpersonal skills in order to coordinate with operations of the various business units to complete field audits on a routine basis
Self-starter and who works well independently and with cross-functional teams
Experience conducting internal audits and inquiries, including some experience completing data analysis on a routine basis to identify additional audit areas
Ability to make recommendations on topics to audit based on results of other internal audit efforts and data analysis performed
Experience with JDE, Cognos, TeamMate
Bachelor’s degree in Accounting, Finance or related field
At least two years of applicable experience is required for the Internal Audit Associate; 4 years of applicable experience is required for the Internal Auditor and 6 years of applicable experience is required for the Internal Audit Manager
Certified Public Accountant or Certified Internal Auditor strongly preferred

Internal Audit Associate Resume Examples & Samples

Understand risk and internal control concepts, and apply those concepts to perform, manage and report on the evaluation of various financial and business processes
Understand and apply current auditing standards, Sarbanes-Oxley developments, and COSO 2013 guidelines
Review and evaluate the adequacy and effectiveness of internal controls
Support regional compliance, financial, operational and strategic internal audit projects from planning and execution to reporting
Identify, and clearly define, audit issues and root causes, recommend improved internal controls and business processes
Prepare high quality internal audit work papers and reports that provide evidence of audit procedures performed and support the related audit findings and recommendations
Support regional compliance and investigation initiatives upon request
Prepare reports and audit findings. Present these findings to Internal Audit leadership and the business management team
Actively participate in initiatives aimed at improving Internal Audit’s processes and procedures
Travel expected to be approximately 25% - 30%
BA/BS in Accounting, Finance, or related area
2-4 years of experience in public accounting, internal audit or equivalent work experience

Internal Audit Associate Resume Examples & Samples

3+ years of Internal Audit experience within a Public Advisory and/or Financial Services firm
Experience with Equities, Fixed Income, and Internal Controls
Excellent communication skills (written and verbal)
Previous Trade Life Cycle experience
Previous experience out of a Broker Dealer firm

Internal Audit Associate Resume Examples & Samples

Interest in broad exposure to investment management, sales, trading, operations, risk management, finance and compliance activities in the asset management industry
Intellectual curiosity and healthy scepticism
Ability to synthesize and articulate complex ideas

Internal Audit Associate Resume Examples & Samples

Support the Finance audit team in the efficient and effective execution of a dynamic global audit coverage plan in a manner consistent with high professional standards and regulatory expectations
Participate in multiple audits and projects that are focused on financial reporting, capital planning and stress testing
Prepare work papers and ensure documentation supports the work performed and conclusions drawn in accordance with IAG methodology
Work closely with the audit engagement team throughout the audit process to develop core audit skills, including walk-throughs, process documentation
Collaborate with other audit teams for an integrated and coordinated approach and demonstrate ability of maintaining effective working relationships with stakeholders and colleagues
Assist with meeting preparation with key stakeholders to monitor changes in the business strategy, evaluate key business metrics, impact of new products, changes in the operating and systems environment and emerging risks posed to the business to support our continuous risk assessments

Internal Audit Associate Resume Examples & Samples

Participate in and document risk assessments over key areas that can impact the control environment
Review and document the design of controls over key process areas and assess and identify potential improvements to the control structure
Perform testing of key controls and work with process and control owners to remediate control gaps identified, as needed
Execute internal audits of corporate functional areas as well as key processes supporting the primary business units including: Commercial Aviation - North America, Commercial Aviation – Rest of the World, and Business Aviation. Identify and communicate to management process enhancements to drive efficiency and effectiveness of business operations
Participate in key initiatives related to process and/or system design that impact financial reporting to ensure controls are design into core processes and systems
Prepare materials for ongoing status updates with management and quarterly Audit Committee meetings
Utilize the automated SOX portal to monitor and assist process and control owners with the timely and effective execution of their control responsibilities
Prepare materials and participate in regular status updates to management and the external auditors on key matters pertaining to the control environment
1-3 years’ of external/ internal audit experience or related field
Knowledge and understanding of the COSO Control Framework, GAAP, and SOX Compliance
CPA and/or CIA certifications highly preferred
Strong interpersonal skills and ability to work with others
Strong Excel and Power Point skills. Access and Process Flowcharting skills (e.g., Visio) are desirable
Ability to travel 5-10% of the time

Internal Audit Associate Resume Examples & Samples

10 people in the team
A mix of duties, generalized role (except IT) mainly operational and finance audit
High caliber team, good range of tenure (0-6 years) most from big 4
Good culture, balanced environment
Open due to growth

Senior Data Analytics Internal Audit Associate Resume Examples & Samples

Develop and execute data analytic procedures to support operational, financial and regulatory internal audit programs
Prepare data analytic documentation according to the internal audit documentation standards
Provide on-going support of the internal applications
Design and develop new features in the existing internal applications
Assist in the development of the Internal Audit Data Analytic Program
Effectively communicate with business owners and be a good representative of the Internal Audit department

Senior Internal Audit Associate Resume Examples & Samples

Assist audit management in executing IT internal audit programs and annual IT Sarbanes-Oxley efforts
Develop IT audit testing programs and testing key IT controls within SVB’s environment leveraging the SVB internal audit methodology
Assess new, or changes to existing, processes to identify operational and information technology risks and recommending improvements
Document and communicate audit work and results
Establish and maintain relationships with key business partners across the organization
Interpret the significance of audit findings, conclude on findings and make practical recommendations to management

Internal Audit Associate Resume Examples & Samples

Solid prior financial services internal audit experience in a global asset management Firm
Experience conducting internal audits of UK and European investment management and sales activities
An understanding of financial instruments and asset management processes and risks associated with investment management, sales, trading, operations, risk management, finance and compliance activities
An understanding of the UK and European regulatory environments related to asset management
Ability to develop and maintain effective working relationships with peers and business partners globally
Proficiency in Microsoft Office Applications: Excel, Word, PowerPoint
Knowledge of Portfolio and Risk Management tools including Aladdin
Knowledge of the Audit and Risk Management Tool, Archer is a plus

Internal Audit Associate Resume Examples & Samples

Strong verbal and written communication skills with the ability to write concise, objective, and compelling reports, summaries, analyses, and other business documents to team members in various positions and levels
Proficiency in using Microsoft Office Suite, property management software (Yardi and OneSite), and database management programs and other technologies used for performing financial transactions and reporting
Excellent knowledge of financial management and accounting practices within the property management industry, including experience in using Yardi and knowledge of GAAP, SOX, and SEC reporting requirements
Ability to maintain confidentiality of information and findings, establish credibility with key business leaders and real estate operators, and demonstrate tact, diplomacy, and discretion when interacting with others

Internal Audit Associate Resume Examples & Samples

To support the lnternal Audit function in providing Management and the Board with an independent assessment on the adequacy and effectiveness of the Group's (BGC Brokers L.P. and Cantor Fitzgerald Europe) processes for controlling its activities and managing its risks
Completion of Audit Assignments in accordance with the approved lnternal Audit Plan or any ad-hoc reviews as requested by the Head of Internal Audit , EMEA and Asia-Pacific
Through completion of Audit Assignments and identified findings, liaise with Management to ensure that the appropriate Management Action is taken to mitigate the risks down to an acceptable level
Experience in lnternal Audit within an Financial Services environment
Good understanding of audit methodologies and risk based techniques
Experience with dealing with Líne Management at all levels across an organisation
Strong numeracy and investigatory skills
Self-motivated and being able to work independently and also as part of a team

Internal Audit Associate Resume Examples & Samples

To support the IA function in providing management, the board and the regulators assurance of compliance with SOX regulations
Delivering a portfolio of high quality audits, working collaboratively with Technology and audit colleagues globally
Establish and maintain effective relationships with middle level IT Management across the firm to better position the IT Audit function to perform audits and provide value added services to our clients
To produce effective reports and opinions which successfully influence executive management to manage risk prudently within the companies risk appetites
To promptly respond to and complete ad hoc business requests, including those directed by the Head of Data Analytics, Head of IT Audit Europe and Asia, and the Global Head of IT Audit
To positively participate as part of the wider IA team in all situations
Ensure outstanding issues are clearly positioned with senior stakeholders to enable management to resolve in a reasonable timeframe
Ensure that audits are delivered on time and to a high standard
Experience in technical competence areas
Responsible for the execution of the company’s SOX compliance program, including
Experience of performing SOX audits
Supervisory experience leading junior auditors
Experience of performing IT audits with a solid understanding of both infrastructure and applications
Internal Audit and/or consulting experience (preferably Big-4)
Ability to discuss technical findings with a non-technical audience
Undergraduate degree in Information Technology, Computer Science, Management Information Systems or other related discipline
One or more certifications (CISA, CRISC, CISSP, etc.) or graduate degree preferred
Several years’ IT Audit or IT Risk Management Experience
Big 4 Accounting experience preferred

Internal Audit, Associate Resume Examples & Samples

Planning, executing, reporting and follow-up of global and regional reviews across all areas of the business
Identifying key control issues and emerging risks, and working with management to ensure timely and effective remediation
Providing advisory services during the development of new businesses and systems
Undergraduate or graduate degree in finance, economics, accounting, business management or related field is preferred. BA/BS, or equivalent, is required
5-7 years of experience in the financial services industry or in an audit role, with knowledge of asset management products, business processes, risk and control systems
Excellent verbal and written communication skills in both English and Chinese. Proficiency in Putonghua is an advantage

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