Senior Audit Resume Samples
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Senior Audit Resume Samples
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MG
M Gerlach
Myah
Gerlach
93715 Lebsack Manor
San Francisco
CA
+1 (555) 590 4528
93715 Lebsack Manor
San Francisco
CA
Phone
p
+1 (555) 590 4528
Experience
Experience
Dallas, TX
Senior Audit
Dallas, TX
Treutel LLC
Dallas, TX
Senior Audit
- Performing audit procedures as assigned by supervisors
- Analyzing financial data from reports, general ledgers and statements
- Perform audit projects from planning to reporting and deliver a quality product in line with department standards
- Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
- Stay up to date with evolving regulatory, industry and market events impacting the firm's risk organization
- Partner with other groups within Audit (Investment Bank, Commercial Bank, Consumer Bank, Asset Management, Technology, etc.) to ensure the delivery of a seamless program of audit coverage across JPMorgan Chase
- Ensures compliance monitoring is in place, including processes for management of operational risk, in accordance with Company and regulatory standards
Phoenix, AZ
Senior Audit Accountant
Phoenix, AZ
King, Mraz and O'Connell
Phoenix, AZ
Senior Audit Accountant
- Assist with strengthening existing client relationships and developing new business opportunities by participating in sales meetings and working on proposals
- Oversee the duration and timing of fieldwork in accordance with management
- Shadow Partners and Audit Managers; learn how to develop your own book of business
- Invest in professional development through active participation in training sessions and networking events both internally and externally
- Some tax preparation work
- Interact directly with Partners on matters related to client and engagement management
- Perform a wide range of audit services
present
Detroit, MI
Senior Audit Group Manager
Detroit, MI
Kub, Reinger and Steuber
present
Detroit, MI
Senior Audit Group Manager
present
- Develop and lead a team by providing regular performance and development feedback and coaching
- Manage a team of audit professionals by providing regular performance and development feedback and coaching
- Take ownership of the finding follow-up and resolution process and work with auditees to make sure finding resolutions milestones are met
- Develop solid relationships with the Direct Channels (Online, Mobile) and ATM Senior Management teams
- Manage and monitor, the audit steps and ensure completion of documentation of audit work in a clear, concise, logical manner
- Promote and foster a cohesive team and positive work environment to encourage innovation, creativity, teamwork and quality auditing
- Promote and foster a cohesive team and positive work environment
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
California State University, Los Angeles
Bachelor’s Degree in Accounting
Skills
Skills
- Ability to build good business relationships with key stakeholders, including Audit Staff, Managers and Executive Management
- Strong analytical skills and attention to detail
- Ability to work independently, and acute professional judgment in order to escalate issues and present solutions to AVP, GABM, at the appropriate time
- Strong time and project management skills in order to execute multiple tasks at any given time
- Professional designation (i.e. CPA, CA, CIA, CISA) is considered an asset
- Ability to take initiative and work independently and in a team environment
- Deliverable-focused
- Deep understanding of internal audit practices and methodology, professional standards in order to assess and challenge appropriateness of audit scope, testing and conclusions
- Strong audit experience to plan and execute effective quality assurance programs and report on gaps in audit methodology, regulatory expectations and industry practices
- Ability to engage in difficult and/or confrontational conversations with people across all levels in order to influence behaviour and drive change across the Audit Division
15 Senior Audit resume templates
Read our complete resume writing guides
1
Senior Audit & Controls Administrator Resume Examples & Samples
- Leads the work of others and provides training in risk management and internal control techniques
- Coaches and mentors less experienced associates within a department
- Reviews procedures and federal regulations; completes risk assessments, and then works with business unit leaders to create procedures to eliminate gaps. Drives changes with the business unit leaders to implement both required and recommended changes
- Monitors activity to ensure compliance with Operations processes, procedures and service level agreements
- Performs advanced data collection and analysis in compliance with audit program requirements to assist in identifying, analyzing and recommending changes to core business processes to minimize risk. Data is transformed seamlessly into useful information using advanced tools such as Excel V-Lookup, Pivot Tables, Statistical Analyeses, etc
- Collaborates with various business units across the firm to develop controls and strategies which address risk
- Responsible for gathering data, forms or any other requested information for internal and/or external auditors
- Completes risk assessments then recommends and champions strategies to mitigate risk exposure
- Maintains strong relationships with divisional management and with other areas of the firm e.g. Internal Audit, Compliance
- Identifies, reviews, assesses and documents risk management and control issues in assigned business processes. Benchmarks industry best practices and maintains currency in risk management and internal control processes and procedures
- May support regulatory initiatives
- Advanced concepts, practices and procedures of internal control and risk assessment.(Risk and control frameworks (COSO, Basel II, etc.)
- Fundamental investment concepts, practices and procedures used in the securities industry, principles of banking and finance and securities industry operations and/or financial markets and products, as required by assigned functional area
- Understanding and documenting business process workflow and control points
- Maintaining documentation files
- Preparing and delivering oral and written presentations.Operating standard office equipment and using required software applications
- Provide coaching, mentoring and technical training to others
- Partner with others to accomplish objectives
- Solve complex problems
- Bachelor's degree in a related field with a minimum of three (3) years of of risk management, internal control, audit, or information security experience
- Will typically have at 2 years’ experience in financial services /or back/middle office Operations
2
Senior Audit Managers Resume Examples & Samples
- Investment Banks
- Broker Dealers
- Exchanges, Regulators and other financial intermediaries; and
- Retail Banks
- To maintain and develop a portfolio of clients and advise on strategic issues by understanding the needs of the client, therefore being recognised as a trusted business advisor
- Use in-depth knowledge of the client to anticipate and address complex issues
- Identify areas of risk within clients' businesses, define the appropriate audit approach, know when to refer upwards and apply judgment by effective risk appraisal of all work targeted and undertaken
- Win work by proactively managing existing clients and targeting new audit and non-audit clients
- Portrays a clear sense of vision and direction and promotes the Firm's core values
- Creates a climate of high performance in the team take pride and produce outstanding effort and dedication
- Align personal motivation/inspiration of others with our strategy
- Responsibility for team and individual performance appraisal and development
- ACA/ CA/ ACCA (ICAEW, ICAS, Irish Institute or equivalent international qualification) - preferably first time passes
- Excellent technical and industry sector expertise
- Business development skills, able to identify opportunities to sell work
- Project/financial management skills, ensure multiple projects are completed on an accurate and timely basis and within budget
- Team and peer leadership skills
- Demonstrate successful management of a number of major clients/projects (eg sizeable PLC's) in the banking capital markets sector
3
Senior Audit Group Manager Resume Examples & Samples
- Direct, oversee and plan operational audits to ensure execution and completion is within plan and in accordance with established division standards
- Develop and lead a team by providing regular performance and development feedback and coaching
- Build strong working relationships with peers within Audit (eg. US, retail, commercial, IT and finance audit teams) to assess audit coverage of the assigned portfolio of audit entities. The position will frequently be involved in integrated audits with the US and IT teams
- Conduct regular monitoring and risk assessments for business related projects
- Lead the risk assessment process to identify key risks and recommend controls and safeguards that contribute to the development of policies/procedures to mitigate these risks
- Develop solid relationships with the Direct Channels (Online, Mobile) and ATM Senior Management teams
- Protect TDBG interests by keeping abreast of emerging issues, evolving regulatory requirements and assessing potential impact on business functions and ensure issues are appropriately communicated
- Assess the business units’ adherence to applicable regulatory guidelines
- Present objective and independent audit opinions on the adequacy of internal controls, including presentation of findings and recommendations to clients and audit management
- Promote and foster a cohesive team and positive work environment to encourage innovation, creativity, teamwork and quality auditing
4
Senior Audit Resume Examples & Samples
- Minimum of six years proven and progressive information technology programming experience or equivalent
- Strong analytical, decision-making, interpersonal, project and time management and problem-solving skills
- Technical proficiency in knowledge and/or use of major technologies employed in Company/Group computing environments and various department tools and operating systems
5
Senior Audit Group Manager Resume Examples & Samples
- Oversee a portfolio of TD Business Banking and Commercial Credit Risk Management audits on an ongoing basis
- Maintain direct reporting responsibilities for a group of Audit Managers within the Commercial Credit Risk Audit Team
- Demonstrate governance, control and risk management behaviours in alignment with TD policies and practices to ensure that audit execution aligns with documented procedures
- Responsible for successful execution and review of the audit work completed
- Manage the budget and schedule to ensure audits are completed within appropriate timelines
- Lead and/or participate in group activities aimed at improving efficiency and effectiveness of audit process and methodologies and or staff development initiatives
- Where appropriate, represent the Credit Risk Audit Group on various committees and working groups
- Promote and foster a cohesive team and positive work environment
6
Senior Audit & Treasury Analyst Resume Examples & Samples
- Lead financial, operational, and compliance audits
- Improve internal audit technology tools
- Improve standardization across the organization on high risk areas
- Prepare cash flow forecasting
- Prepare debt covenants
- Additional ad hoc projects
- Bachelor’s Degree in Accounting or Finance from a reputable school
- Minimum of two years of experience in an internal or external audit group
- Strong communication and presentation skills a must
7
Senior Audit Resume Examples & Samples
- Minimum of 2 years experience in auditing accounts
- Detailed knowledge of Polish and international accounting standards
- Chartered Accountant or ACCA certificate (or a record of exams taken to date) will be an advantage
- Very good knowledge of English
- Excellent organizational skills, initiative and dedication
- Ability to work in a team and communicate effectively
8
Senior Audit Group Manager Resume Examples & Samples
- Lead a diverse team of technology audit professionals responsible for the completion and/or overseeing the different stages of an audit - planning, execution, reporting and findings follow-up
- Ensure audits are completed in accordance with established standards, methodology and within prescribed time, budget and scope parameters. For instance
- Depth of technical / infrastructure IT/ Audit Experience –several years; OR
- Large scale ($5million to $30 Million+) System implementation audit experience – minimum 8 years
- Proven people management and team building experience
- Strong understanding of inherent technology risks and be able to articulate technology residual risks from a senior management perspective
- Strong knowledge on risk assessment process and methods
- Strong interpersonal, and negotiation skills
- Strong project & time management skills and a proven ability to meet deadlines
- Relevant banking or financial institution work experience
- Bachelor degree in computer science or business administration or IT administration ; a professional designation is preferred (e.g. CISA, CISM, CISSP, CIA)
9
Senior Audit Technology Progr Resume Examples & Samples
- Minimum of eight years proven and progressive information technology programming experience or equivalent, including a minimum of two years proven supervisory or managerial experience or equivalent
- Bachelors degree in information systems, related field or equivalent experience
- High level of technical proficiency in knowledge and/or use of major technologies employed in Company/Group computing environments and various development tools and operating systems
- Broad knowledge of Company/Group application systems, businesses and operations audited by Group Audit
10
Senior Audit Group Manager Resume Examples & Samples
- Own a portfolio of Project Audits aligned with one or more of the Bank's business segment (s) and be responsible for leading and driving this suite of audits
- Participate as a member of the Project Audit Center of Excellence to contribute to the ongoing evolution of the Project Audit Methodology and Standard Audit Programs
- Follow and comply with TD's audit methodology with limited guidance
- Lead the risk and control assessment process
- Lead and manage the over-sight of large-scale integrated audits
- Leverage knowledge and experience of appropriate methods of managing common project risks
- Capable of assessing and coaching team-members whether controls are properly designed, implemented and working effectively, including compensating controls
- Manage and monitor, the audit steps and ensure completion of documentation of audit work in a clear, concise, logical manner
- Review the audit work completed, and prepare the audit finding grids and audit reports
- Coordinate the audit review, reporting and closure processes
- Through the audit process, ensure ongoing communications with the various stakeholders engaged in the audit process
- Keep abreast of industry emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank and project audit approach
- Support Audit leadership in improving the audit process to ensure audits are performed efficiently and delivered timely with quality results
- Develop and maintain strong understanding of current business risks to adequately assess business impacts
11
Senior Audit Accountant Resume Examples & Samples
- Perform a wide range of audit services
- Analyze financial statements and audit and review processes for a wide mix of privately-held corporations, partnerships etc
- Some tax preparation work
- Consult and recommend proper procedures for improved compliance and efficiency
- Direct contact with finance executives, controllers and other senior managers at client companies
- High visibility with firm managers and partners
12
Senior Audit Group Manager Resume Examples & Samples
- Oversee completion of assigned audits based on established audit plans, ensuring completion within prescribed budget, time and scope parameters
- Protect the interests of TDBG by maintaining awareness of emerging issues, regulatory requirements and assess potential impacts at an enterprise and business level
- Work with all audit groups informing them of changes in enterprise processes and activities that will have an impact on business audits, and where appropriate, provide business auditors with standard audit programs to assist in the consistent execution of audits of enterprise-wide policies and programs
- Manage a team of audit professionals by providing regular performance and development feedback and coaching
- Maintain effective relationships with audit clients, peer group, and senior management
- Operational audit experience, preferably in areas of financial institution regulatory compliance
- Strong analytical/research skills & business acumen with the ability to breakdown complex subjects into manageable parts in a systematic manner & assess risk/challenge the status quo
- Strong interpersonal and relationship management skills
13
Senior Audit Leader Resume Examples & Samples
- Completes continuous monitoring activities for assigned auditable entities and escalates matters that may impact the timing of the next audit assignments
- Minimum years of audit and /or risk experience at a major financial institution: Typically 8+ years
- Demonstratable strengths in one or more of the following
14
Senior Audit Leader Resume Examples & Samples
- Understands the underlying risks applicable to the area of audit responsibilities through continuous monitoring activities. Requires strong audit, risk, compliance, banking, and/or product knowledge. Expected to be subject area expert in at least one specific skillset, business, areas or products
- Manages assignments to ensure BNPP Inspection Generale and Bank of the West Inspection Group policies and procedures are adhered to on audit assignments
- Master’s/Advanced Degree in applicable and related field
- Years of functional/professional experience: Minimum years of audit and /or risk experience: Typically 8+
- Years of supervisory or managerial experience: 3+ years
- Primary focus of role is on day-to-day operational execution, with occasional contribution to broader planning within area of expertise. 40% Tactical/60% Transactional
15
Senior Audit Leader Resume Examples & Samples
- Other functions are those duties performed by this position that, if removed or delegated, would make no material difference in the nature or essence of the job
- Also includes duties that occur infrequently or on an inconsistent basis but is still important to list in the job description (e.g. specialized regulatory reports on an ad hoc basis)
- “Performs other duties as assigned” is defaulted to capture additional ‘temporary” assignments not considered part of the core job
- Contribute to the Board, Audit Committee, or Management reporting on an as needed basis
- Coordinate and project manage the Inspection Group review of Bank management’s response to the regulatory recommendations to assure that key points of closures and the expected documentations to evidence suitable remedial actions by management are clearly stated and can be subsequently validated
- Coordinate, track, and report on Inspection Group validation efforts to provide assurance that Inspection Group validation activity is progressing in accordance with the targeted timeline
- On a sample basis, provide review and challenge over the sufficiency of the documentation and workpapers associated to support Inspection Group conclusions
16
Senior Audit Accountant Resume Examples & Samples
- Engage and promote education and training in a team setting
- Plan and organize various audit engagements and reviews
- Manage a team of staff accountants during audit engagement
- Prepare individual and corporate tax returns when necessary
- Oversee the duration and timing of fieldwork in accordance with management
- Bachelor’s Degree in Accounting or Finance
- Ideal candidate has passed CPA exam
- GAAP and IFRS knowledge
- Able to work flexible hours (if need be)
- Keen attention to detail and self-motivated
17
Semi Senior Audit Resume Examples & Samples
- Audit work
- Assisting with account preparation
- Preparation of tax returns
- Client liaison
- Ad hoc work as required by management
- Work on a range of audit assignments, co-ordinating and taking responsibility for planning, execution and completion
- Research and resolve technical queries
- Handling assignments to ensure that they are completed in a timely fashion to meet client expectations and statutory filing requirements
- Liaising with clients to discuss and resolve any audit issues as they arise
18
Senior Audit Accountant Resume Examples & Samples
- Communicate with business owners as well as the internal accounting and audit departments of clients to ensure delivery of exceptional client service
- Interact directly with Partners on matters related to client and engagement management
- Assist with strengthening existing client relationships and developing new business opportunities by participating in sales meetings and working on proposals
- Communicate audit findings and results to client’s management team
- Opportunity to actively participate in firm-wide initiatives, included CPE development, delivery and recruitment
- Train, coach and develop Staff Accountants for advancement
- Bachelors Degree in Accounting is required
- A minimum of 2 years experience working in external audit in public accounting or a combination of corporate and public accounting experience
- Excellent analytical and technical experience with GAAP, GASS and Auditing Standards
- Excellent written/verbal communications and collaboration skills
- Strong leadership skills and integrity within a professional environment
- CPA certification or the ability to sit for the CPA is highly desired
19
Senior Audit Resume Examples & Samples
- Bachelor's / Master's degree of any disciplines, accounting or accounting related major is preferred
- 3 to 5 years' auditing experience in CPA firms, preferred Big 4
- Strong analytical and highly commitment to quality client service
- Excellent written and oral communication skills in both English and Mandarin Chinese, including both technical and business writing, documentation and presentation skills
20
Senior Audit Resume Examples & Samples
- University degree or above in accounting, finance or other related disciplines
- Minimum 3 years' experience in auditing
- Professional accounting qualification is a plus
- Good command of both written and spoken Chinese and English; Putonghua is a plus
- Strong planning and organizational skill with an analytical mind
- Proficient in Microsoft applications
21
Senior Audit Accountant, Municipal Practice Resume Examples & Samples
- Provide thorough review of staff work product while providing appropriate feedback
- Assist in the preparation of management reports and other statutory filings
- Examine and analyze client accounting records to determine financial status and prepare financial statements
- Make formal recommendations when applicable regarding imposing operations and financial positions of clients
- Experience in assisting client in applying for and receiving GFOA Certificate of Excellence in Financial Reporting program
- Knowledge and experience of requirements in performing A-133 audits
22
Senior Audit Controls Specialist Resume Examples & Samples
- Act as the key relationship manager with GPO Business Units for review and assessing risks and effectiveness of key controls within the Business Unit through Management Control Assessment engagements
- Perform and lead testing of financial & operational controls in GPO Business Units on a periodic basis, including identification of control gaps and deficiencies in design and operational effectiveness of controls. Translation of results into issue management reporting
- Perform and lead remediation validation assessments of GPO Business Units to verify complete and thorough remediation of CAD (Internal Audit ) and regulator identified control deficiencies
- Be knowledgeable about the business, policies and standards that impact GPO Business Units
- This role has the authority to respond to and resolve challenges/issues, escalations through proper channels
- This role has the authority to audit and examine internal processes within specified schedules
- Recommend changes to Corporate Policies & Standards and operational processes
- Recommend strategy, processes, solutions, enhancements
- Recommend stopping a project/process because of significant compliance or risk exposure
- Undergraduate degree or equivalent 5+ years of direct relevant experience in the financial services industry, business control function or related business function
- Accounting designation highly desirable (CPA, CIA, etc.), but not required
- Solid knowledge of risk metrics analysis and reporting, operational and financial risk and controls and governance and oversight frameworks
- Solid knowledge and understanding of the business unit’s key products and services, processes and controls, risk and regulatory requirements
- Experience/knowledge with one or more areas required: financial entries and balancing performed by Product Operations, Compliance, and Operational processes is a must
- Advanced knowledge of Microsoft Office, Excel, Word and Powerpoint
- Advanced problem solving, critical thinking, and analytical skills
23
Senior Audit Associates Resume Examples & Samples
- Develop people through effectively delegating tasks and providing guidance to staff
- Regularly brief project activities through written and verbal presentations
- Bachelor's degree from an accredited college/university in Accounting, Business, or Finance
- At least 3 years of audit experience – (Federal Financial Statement Audit experience highly desirable)
24
x Senior Audit Managers Resume Examples & Samples
- Broad IT Audit Experience covering Infrastructure & Applications. FS experience is not required
- Relevant Qualifications - CISA, CISSP etc
- Experience of leading change and transformation audits within financial services is essential
- Experience to Project Management methodologies - Waterfall and agile
- Experience in project management prior to audit experience would be desirable
- Qualifications - Prince 2, PMP etc
25
Senior Audit Operations Associate Resume Examples & Samples
- 3+ years of relevant Internal Audit, Financial Services Risk Advisory, or Risk Management experience
- Knowledge of Audit quality control, practices, and methodology
- Experience with the Financial Services industry, related Markets, and related Regulatory agencies
- Proven track record in Project Management
- Advance experience with Microsoft PowerPoint
- Degree in Accounting, Finance or a Business-related discipline
- Professional Auditing certifications, such as the CIA, CPA, or CFSA
26
Senior Audit Portfolio Manager, Director Resume Examples & Samples
- Structure and execute an efficient and effective model risk management audit program in compliant with OCC11-12 / SR 11-7
- Assess the state of the governance, model risk management, and control environment aspects relevant to that risk
- Identify potential model risk, including awareness of risks both within span of control as well as enterprise-wide
- Audit the second line of model risk management (AMRM) teams to ensure SR11-7 compliant model validation controls be performed on all models and on ongoing performance monitoring as expected and within ranges agreed to by model management committees
- Audit the first line of model risk management (model owners) on model risk control performed over model development, model implementation, model documentation and model use and overlays in market risk, valuation and pricing
- Report results in an effective and timely basis, leading to appropriate remedial action and ongoing management of model risk
- Develop and manage a team of managers and auditors, who will be directly accountable for engagement management and execution
- Effectively manage senior executive relationships to a mutually accountable, productive, respectful, and trusted level
- Act as a leader and role model; engage as a team player in the Senior Leadership Team; develop staff across the department; and continuously improve self and department
- Provide guidance to and maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations
- Graduate degree in a quantitative discipline MSc, MMF or Ph.D. (physics, finance, economics, econometrics, statistics, mathematics, or equivalent experience.)
- Ten or more years of relevant business experience in credit and/or market risk, risk management (Basel II, III, Economic & Regulatory capital, Stress Testing)
- In-depth knowledge of market and energy modeling
- Develop strong relationships with the management of business units and their respective modeling teams vis-a-vis understanding their business processes, respective portfolios and quantitative modeling environment – inventory of models and attributes such as uses, limits on use, operational controls, governance, etc
- Excellent communications skills, both oral and written are essential
- The successful candidate will have superb interpersonal skills and experience in working with business areas in a service-oriented and value add style
- Strong knowledge about model risk and associated regulatory requirements such as OCC 2011-12/ SR11-7 and Basel II/ III, CCAR, GAAP, SOX, etc
- Highly advanced project management capabilities. Industry certifications a plus (e.g., CFA, FRM)
- A team player who can excel in a fast paced challenging work environment with a strong desire to learn new things and the ability to adapt to a changing environment
- A high energy level with the desire to contribute to the ongoing success of model risk management program at the Bank
- 15+ years of hands on experience working within a leading financial services organization (e.g. commercial bank, investment bank, asset manager etc.), consulting firm (e.g. Deloitte, Oliver Wyman, Ernst & Young, PWC etc.), or a leading analytic solutions provider (e.g. RiskMetrics, Moody's/ KMV, QRM, etc.)
- Requires an advanced technical degree in finance, financial engineering, economics/ econometrics, mathematics - statistics, engineering, or related field (Masters or PhD preferred)
- Proven track record of strong technical model development, model management, and/or model oversight in one or more of the following areas: credit risk, market/interest rate risk, liquidity risk, operational risk, capital markets, economic capital estimation, ALM, valuation and pricing of fixed income and structured finance securities, portfolio analytics and optimization – and have a “practitioner's perspective
- Model development experience in Matlab, SAS, R and other common industry platforms
- Proven track record of strong risk management capabilities
- Experienced in managing finance and/or risk systems (data analysis, systems management, automated reporting)
- Ability to work in a dynamic environment under pressure and undertake, execute and deliver on time multiple concurrent projects
- As required by the assigned areas of responsibilities
27
Senior Audit Leader Resume Examples & Samples
- Develops a comprehensive program of risk-based audit coverage for the area(s) of responsibility. Able to effectively synthesize and reflect the impact of internal/external emerging risks to drive suitable audit coverage
- Effectively and efficiently manages the most complex projects and execute audits which consists of planning, evaluating, investigating, reporting, reviewing, and supervising; annual audit planning, continuous monitoring and risk assessments over areas of assigned responsibility; and monitoring and verification of audit management's resolution of audit findings. Solid understanding and the strong managerial skills to run complex integrated audits with one or more other audit disciplines (e.g., Finance, Operations, ERM, IT, Compliance, Credit)
- Delivers high quality audit results and well-crafted audit report deliverables on time that are executive and Board ready and provide for impactful change to the Bank’s internal control system
- Communicate effectively, clearly, concisely, and accurately using written and verbal communications with all levels of management, including executive management
- Maintains effective and professional relationships with bank audit clients; managers and staff of the bank's public accountants; representatives of federal and state regulatory agencies; and others dealt with in a professional capacity
- Bachelor’s Degree Required
28
Senior Audit Risk Management Professional Resume Examples & Samples
- Leading a team of auditors on each audit project, ensuring personal development through on-the-job training and mentoring
- Performing data analytics to understand and evaluate business processes
- Well proven skills in data analysis and ability to relate data to business processes
- Ability to travel 25% (domestic and international)
29
Senior, Audit Resume Examples & Samples
- Bachelor's Degree in Computer Science, Management Information Systems, or other IT related fields
- 3 or more years in Information Technology Audit, Public Accounting, or other relevant experience
- Understanding of Information Technology Regulation such as Payment Card Industry Data Security Standard (PCI-DSS) and Online Advertising Industry Standards such as those from Internet Advertising Bureau (IAB) and Network Advertising Initiative (NAI)
- Knowledge of Information Technology Frameworks such as COBIT, ISO, or ITIL
- Self-starter, highly motivated
- Executive writing and excellent verbal communication skills
- Familiarity with administration of Linux/UNIX, Oracle database, and Windows/Active Directory environments
- Proficiency with Word and Excel required; ACL, a plus
- CISA, CISM, or CISSP required; CIPP, a plus
- Experience with auditing general networking controls (i.e. firewalls and remote access)
- Understanding of general audit controls covering Physical Security, Logical Security, Change/Problem Management, Disaster Recovery/Business Continuity, Project Management, and Application Development
- Ensure that audits and other projects, performed on a wide variety of computing environments and computer applications, are competently and efficiently performed and accurately interpret results against defined criteria
- Consideration must be given to the relationship between computer controls and financial impacts
- Evaluate audit observations and make verbal and written recommendations to management to improve policies, procedures, efficiency and controls
- Draft risk based internal audit report based on results of audit or other projects and work with management to develop their response to the audit observation and related recommendation
- Provide detailed review of audit workpapers to ensure compliance with internal audit policies and the applicable Standards for the Professional Practice of Internal Auditing as prescribed by the Institute of Internal Auditors
30
Senior Audit & Risk Management Professional Resume Examples & Samples
- Managing audit projects from risk assessment and scoping through reporting results
- Communicating audit results to clients and executive management both verbally through meetings/presentations and written through executive reports
- Adhering to audit professional standards throughout each project
- 6 years of experience in financial/business operations, internal auditing, or public accounting
- Demonstrated experience in communicating and assessing complex business operations
- Strong business acumen. Ability to connect strategic objectives, risk, and business process
- Ability to identify and prioritize actionable solutions
- Strong understanding and application of project management and cross-team effectiveness
31
Senior Audit Group Manager Resume Examples & Samples
- Manages and directs implementation of all aspects of an audit group. Responsible for quality output, including written reports or presentation, the quality of ideas and research, and for assessments of risk and other decision variables.. 20%
- Manages and develops direct reports and their teams, including timely feedback, training and career development. Models BNY Mellon integrity and standards in all interactions. 20%
- Monitors business, regulatory, financial development related to broad lines of business responsibility. 20%
- Builds and maintains key client relationships; is a “trusted advisor” to clients in enhancing the control environment and operational efficiency. This includes developing a close working relationship with regulators, fulfilling regulatory requests and requirements, and keeping informed on changes in the regulatory landscape. 20%
- Engages in relevant training regarding audit, businesses, financial controls, regulations and ensures appropriate training and career development for all levels of professionals in his/her group. 20%
- 4 year degree or equivalent. MBA, CPA, CFA or related certifications preferred. 5-10 years relevant experience including at least 3 years in internal or external audit or relevant specialty area preferred. Previous experience of people managing a team is required. Previous experience of managing regulatory relationships is desirable
32
Senior Audit Professional Resume Examples & Samples
- Managing projects from risk assessment and scoping through reporting results
- Leading a team of audit and risk professionals on each project, ensuring personal development through on-the-job training and mentoring
- Communicating project results to clients and executive management both verbally through meetings/presentations and written through executive reports
- Ability to quickly understand and digital technologies, strategies, business models, and working knowledge of how they are brought to life
- Developing and executing customized risk evaluation methodologies for digital products and services
- Adhering to professional standards throughout each project
- 7 years combined experience in progressively responsible IT, software development, product management or audit/risk management positions
- Demonstrated experience in assessing complex business operations
- Proven skills in data analysis and ability to relate data to business processes
- Strong ability to seek information, problem solve and communicate complex and/or potentially controversial topics and concepts to a wide and diverse audience
- Working knowledge of managed service risk and control concepts for cloudbased application services, hosted infrastructure and outsourcing services
- Working knowledge of various operating system platforms, relational database security concepts and platforms, enterprise network and systems architecture concepts and technologies, and security controls for internet facing ecommerce and social media applications
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Senior Audit Resume Examples & Samples
- Analyzing financial data from reports, general ledgers and statements
- Develop strategies to increase productivity within company guidelines and policies
- Bachelor’s Degree in Accounting or Finance + 3-5 years of experience
- Great communication skills – written, verbal
- Proficiency with MS – Word, Excel
- Able to meet deadlines
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Senior Audit, CPA Resume Examples & Samples
- Performing audit procedures as assigned by supervisors
- Supervise and manage audit staff
- Review other’s work for accuracy and compliance – adjust any discrepancies if needed
- Bachelor’s Degree in Accounting or Finance + CPA license
- Time management, organizational and problem solving skills
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Senior, Audit Resume Examples & Samples
- Assess risk, utilizing knowledge of operations and data analysis, to identify areas to be considered in the scope of internal audits or projects that could increase effectiveness and efficiency of operations, compliance, or reliability of financial reporting
- Plan, organize and conduct fieldwork of regulatory and consumer compliance audits at the Company by self or with limited staff
- Timely execution of audit plan, ensuring audits are efficiently performed and accurately interpret results against defined criteria
- Evaluate audit observations and make written recommendations to auditee management to improve policies, procedures, efficiency and controls
- Draft internal audit report based on results of audit and work with auditee management to develop their response to the audit observation and related recommendation
- Track and report the status of audit projects; assist external auditors and regulators in conducting their work at the Company to minimize disruption to operations and to achieve meaningful results
- 3 or more years of experience in regulatory and/or consumer compliance, internal audit, public accounting or other relevant experience
- Banking or other financial services industry experience, preferred
- Project oriented self-starter with ability to work independently, highly motivated
- Ability to manage multiple projects, complete projects on time and on budget, and adapt to changing priorities
- Ability to work in a team collaborative environment across multiple locations and work in a matrix-type organization
- Ability to work effectively and independently with auditee management
- Strong written communication and presentation skills
- Data analytics and ACL experience, a plus
- Proficiency with Microsoft Office, required
- CPA, CIA, or CRCM, preferred
- Must be able to travel up to 20% of the time
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Senior Audit Gaap Resume Examples & Samples
- Support the engagement manager with the planning, execution and completion of group and local audits in a variety of non-financial services industries with the focus on US GAAP and SOX testing
- Execute SOX internal controls in accordance with the latest PCAOB guidance and demonstrate your knowledge and expertise in internal controls testing for significant subsidiaries of US-listed entities based in Switzerland
- Work in a motivated team in a dynamic environment, focused on finding opportunities to add value to our clients and teams and to yourself
- Support the engagement manager in coordinating a network of international teams on your engagements, either in the US or in Europe
- Able to enhance your skills in managing several stakeholders
- Opportunity to work on challenging projects
- Receive regular feedback from colleagues and your coach and build your leadership skills on and off the job
- University degree in accounting or the equivalent and have successfully completed the US CPA
- Recently worked 3-5 years with a public accounting firm and have extensive auditing experience working in a US GAAP and SOX environment
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Senior Audit Portfolio Manager, Director Resume Examples & Samples
- Budget management responsibilities may be assigned from time to time. Travel is required for the position, with an estimated range of 10-40% varying on the location of the incumbent and key staff and stakeholder geographies
- Develop the annual Internal Audit Plan for MFS-US and manage the delivery of internal audit reviews and execution of audits to ensure the Internal Audit Plan is achieved within the desired timeframes
- Structure and execute an efficient and effective program of audit work to
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Senior Audit Accountant Resume Examples & Samples
- Assist in managing a portfolio of diverse clientele
- Oversee Staff Auditors and offer mentorship
- Shadow Partners and Audit Managers; learn how to develop your own book of business
- Minimal travel requirement (25% regionally)
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Senior Audit Accountant Resume Examples & Samples
- Responsible for continuing training and education for their accountant team
- Plan, organize and execute audit engagements, collations, and reviews
- Manage a team of staff and associate-level accountants during audit engagement
- Ensure all appropriate GAAP and IFRS regulations have been followed during audit engagements
- Bachelor’s Degree in Accounting or BA
- Ideal candidate has passed CPA exam; awaiting approval of management is acceptable
- Able to work flexible hours if need be
- Great analytical and decision-making skills with special attention to detail
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EY, Senior, Audit, RHC Resume Examples & Samples
- Engaging clients and providing authoritative advice and professionalism throughout transactions
- A honours degree in an accounting, finance or business discipline
- Excellent communication and negotiation skills and a collaborative approach to management
- Excellent technical expertise with proven industry knowledge in either Real Estate, Hospitality or Construction
- Proven experience in delivering external audit and assurance engagements
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Audit Senior, Audit Services Resume Examples & Samples
- Contribute technical insights to audit client engagements and internal projects
- Anticipating and identifying risks and escalate issues as appropriate
- Create a positive learning culture, will coach and counsel junior team members and help them to develop professionally and personally
- Recognized university degree with specialization in accounting, finance or related field with at least an average distinction or 2nd class upper degree / ACCA affiliate
- Minimum of two years relevant experience in a professional services environment
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Senior Audit Professional Resume Examples & Samples
- Bachelor's degree with an emphasis in Information Systems, Computer Science, Electrical Engineering, or Business Administration
- Minimum of 7 years' combined experience in progressively responsible IT, software development, product management or information systems auditing positions
- CISA or CISSP certification preferred
- Working knowledge of various operating system platforms, relational database platforms and security concepts, enterprise network and systems architecture concepts and technologies, and security controls for internet facing e-commerce and social media applications
- Working Knowledge of SDLC and common IT project management methodologies and approaches
- Experience auditing, implementing or operating general computing controls, including security, change management, systems development and operations, experience with SAP in these areas a plus
- Working knowledge of managed service risk and control concepts for cloud-based application services, hosted infrastructure and outsourcing services
- Working knowledge of information technology best practices and control frameworks
- Working knowledge of information security/protection concepts (C.I.A.)
- Experience with business process mapping and controls identification, design and implementation
- Strong project management and team leadership skills
- Excellent executive verbal and written communication skill
- Ability to identify and assess business risks and work with clients to develop practical recommendations to mitigate those risks
- Ability to travel up to 20% (domestic and international)
- Ability to pass a 7-year background investigation
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Senior Audit Group Manager Resume Examples & Samples
- The development, execution, and reporting of Audit's Global QAIP to ensure that the Division is following its audit methodology in addition to meeting regulatory expectations and applicable professional standards, i.e. IIA Standards and Code of Ethics
- Timely completion of key components of the QAIP, including Quality Assurance Reviews (QARs), Peer Reviews, and Targeted Reviews. Using the results of the QAIP, the SAGM makes recommendations to enhance audit methodology, practices and training and also shares best practices with the Division
- Develop the function strategically, challenging existing practices to ensure that the QAIP incorporates emerging industry practices and is well positioned amongst the peer banks
- Development of the QAIP and annual Plan that meet Regulatory requirements and expectations, including, but not limited to: Institute of Internal Auditors (IIA), OSFI, and OCC
- Contribute to the overall effectiveness and efficiency of Audit Division through execution of the QAIP and then identifying and communicating recommendations and industry best practices
- Coordinate the Planning, Execution, and Reporting of the following
- Deep understanding of internal audit practices and methodology, professional standards in order to assess and challenge appropriateness of audit scope, testing and conclusions
- Strong audit experience to plan and execute effective quality assurance programs and report on gaps in audit methodology, regulatory expectations and industry practices
- Breadth of knowledge of Governance, Risk & Controls of a large, complex, federated modeled financial services organization
- Strategic thinker to develop an effective and efficient QAIP
- Strong communication skills, both written and verbal, to deliver a clear, factual and transparent messages to its stakeholders in order to influence behaviour
- Ability to build good business relationships with key stakeholders, including Audit Staff, Managers and Executive Management
- Ability to engage in difficult and/or confrontational conversations with people across all levels in order to influence behaviour and drive change across the Audit Division
- Strong time and project management skills in order to execute multiple tasks at any given time
- Ability to work independently, and acute professional judgment in order to escalate issues and present solutions to AVP, GABM, at the appropriate time
- Professional designation (i.e. CPA, CA, CIA, CISA) is considered an asset
