VP, Audit Resume Samples

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A Grant

Aletha

Grant

372 Gleichner Lodge

Chicago

+1 (555) 924 5395

372 Gleichner Lodge

Chicago

Phone

p +1 (555) 924 5395

Experience Experience

Detroit, MI

VP Audit

Detroit, MI

Padberg-Volkman

Detroit, MI

VP Audit

Advise and apprise promptly the ED/SVP/VP of the team of all major risk, control and regulatory issues arising during the audit and continuous monitoring
Provides senior level advise to smart control recommendations through counseling, coaching and challenging the audit staff
Identifies audit strategies for the specific audit assignment or project and influences the planning, interviewing, and assessment of controls and procedures
Structures the process of testing of controls and procedures by giving specific advice
Lead projects from initiation through execution including phases such as planning, analysis, design, development and implementation
Test and follow up all outstanding audit issues for proper implementation during each audit engagement
Update and maintain audit risk matrices, including audit working papers for each audit engagement

Los Angeles, CA

VP, Audit

Los Angeles, CA

Moen-Hettinger

Los Angeles, CA

VP, Audit

Proven track record of high performance in previous roles to include senior client management
Develops and manages the Compliance Audit team’s budget
Assisting the Lead Manager with the preparation of the audit report and other presentations
Track and report the outcome of Audit Analytic engagements, including an inventory of analytics performed for future search and reference by team members
Makes a positive contribution as demonstrated by
Assisting in various aspects of the audit planning process including logistics, scoping, staffing and audit program definition
Influencing leaders and managers in Internal Audit, across Finance and the larger LFG organization

present

Houston, TX

VP Audit Manager

Houston, TX

Ebert-Gerhold

present

Houston, TX

VP Audit Manager

present

Perform audit work in accordance with department and professional standards and complete assignments in an efficient manner
Assist in the review and improvement of global IA methodology and practices through
Makes decisions on a broad range of factors, with Barclays values at heart
Finalize audit findings and use judgment to provide an overall opinion on the control environment
Working knowledge of Regulatory Compliance
Support management in identifying resolutions for control issues identified
Stay up to date with evolving industry and regulatory developments impacting the business

Education Education

Bachelor’s Degree in Accounting

Chapman University

Bachelor’s Degree in Accounting

Skills Skills

In collaboration with the General Auditor and Senior Management develops and implements a comprehensive and flexible Compliance audit plan using risk- based methodology. Where appropriate coordinates and collaborates with the Information Technology, Operational audit teams, Sarbanes-Oxley Project Management Office, Legal, Corporate Compliance and External auditors
Examines and evaluates the adequacy and effectiveness of the company’s system of internal control and the quality of performance in carrying out assigned responsibilities. Works with management to address issues including the development of remediation plans
Continues to evolve the scope and perspective of audit so that it aligns with cross-functional business processes in a cohesive manner, rather than solely around discrete functions or businesses
Implements the audit plan, including, as appropriate, any special tasks or projects requested by management or the audit committee
Assesses the current compliance audit team and leads the succession planning, recruitment, and development of employees. Assists in building a function that is “ World Class” and viewed as providing future leaders for the corporation
Prepares periodic reports to the General Auditor providing a status and results of the Audit plan and the sufficiency of Compliance audit resources
Develops and manages the Compliance Audit team’s budget
Makes a positive contribution as demonstrated by
Influencing leaders and managers in Internal Audit, across Finance and the larger LFG organization

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VP Audit Manager Card & Merchant Services Resume Examples & Samples

Lead audit projects from planning to reporting and deliver a quality product in line with department standards
Day-to-day management of a team of auditors, including performance evaluation and development
Partner with colleagues, regulators, clients and control community members to develop, evaluate, test and report on the adequacy and
Effectiveness of control environment
At least 7+ years auditing experience or public accounting
5+ years of audit/business process improvement experience
Perform audit work in accordance with department and professional standards and complete assignments in an efficient manner
Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present complex and sensitive issue to senior management and influence change

Senior VP-audit Manager Resume Examples & Samples

Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: TTS product and operations, Anti Money Laundering, Know Your Customer, technology application; regulatory compliance or supplier/vendor management
As Bangladesh HoA provide direction in the establishment of the annual audit plan aligned with business objectives, global audit standards and local regulatory requirements. Deliver the audit plan to the time commitments and ensure quality in the work performed and reports produced. Ensure the CCO, and in-country Management supporting the CCO, all receive prompt, timing and complete information relating to the activities of Internal Audit. Ensure the governance, risk management and control concerns are considered in the planning, and plan updates, and that Internal Audit provides suitable, prompt assurance in respect of the areas of concern identified. Ensure Internal Audit promptly identifies and escalates control issues raised by regulators in respect of the Citigroup activities in the country
BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
Specific subject matter expertise and a solid business understanding of TTS products, especially those associated with the cash management and trade business. Basic understanding of the other ICG products

VP Audit Manager Resume Examples & Samples

Operate independently as a QA partner across the TTS, SS, CIB/CMO and CPB product line, forming partnerships with the IA teams across EMEA
Support the QA Director TTS, SS, CIB/CMO and CPB in fostering a strong QA partnership with the Chief Auditor for ICG and the regional product Chief Auditors for TTS, SS, and CPB in London
Independently perform a variety of QA reviews across TTS, SS, CIB/CMO and CPB Audits
Liaise across the QA team to coordinate inputs from Global Function and Regional QA Partners, facilitating pro-active interactions during QA reviews for TTS, SS, CIB/CMO and CPB
Taking the lead in EMEA for transformation in relation to TTS, SS, CIB/CMO and CPB, as well as participating in the greater IA transformation in the EMEA region through QA products
Produce effective communication tools – briefing notes, newsletters, QA and Methodology updates
Share best practice and common pitfalls with TTS, SS, CIB/CMO and CPB teams and develop training as and when needed, including hosting regional QA Forum
Assist in the review and improvement of global IA methodology and practices through
Must have first-hand experience of one or more of the product areas supported (i.e., TTS/SS/CIBCMO/CPB banking) in a top tier bank
Candidates should have at least 8 years of diversified financial management experience, ideally including experience in audit or a related field
Experience in working with international operations and teams. H/She should have a thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies
H/She must be proficient in risk and control analysis and audit concepts for a full range of products and specialized areas and will be skilled at analysing root causes of problems and anticipating ‘horizon’ issues. Related certifications (CISA, ACA, ACMA, CPA, CFA, Sigma 6 or CIA) are a plus
Candidates must have effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style. Candidates must have the ability to work effectively at the highest levels of the organization, and will display highly effective networking and influencing skills. This person will be comfortable acting as an agent for positive change with agility and flexibility
Experience of working independently, using initiative and maintaining a strong delivery profile
English language skills and any other EMEA region language skills advantageous

VP Audit Manager Consumer Banking Resume Examples & Samples

Bachelor's degree in Finance, Economics, Accounting, or other quantitative discipline. An MBA degree and/or professional certification, such as CPA, CIA or CISA are a plus
MUST HAVE 7+ years of audit and/or consumer bank experience, including roles as a project lead
Strong communication and interpersonal skills required with ability to present complex and sensitive issues to senior management

VP Audit Manager Resume Examples & Samples

At least 8 years auditing experience or public accounting
8 years of audit/business process improvement experience
Proficiency in risk analysis

VP, Audit M&a Resume Examples & Samples

Partnering with the Department's business, products, and functional audit teams such as: Compliance, Risk, IT, etc., as needed
Bachelor's degree and a minimum of 6 years of relevant experience or High School/GED and 10 years relevant experience; Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA) or related certification preferred
Understanding of the relevant regulatory requirements for the subject areas and past experience working with regulatory bodies (e.g., Fed, OCC, etc

VP, Audit Tools Resume Examples & Samples

Bachelor's degree and a minimum of 6
Minimum of 4 years of experience in a technology function, such as application support or system administration
GE leadership program graduates (FMP, ITLP, CAS) a plus
Proven experience deploying software for audit departments (especially GRC products like BWise and/or MetricStream)
Proven experience working with SAP Business Objects
Proven experience in project management and driving change
Proven experience as a technology business analyst or quality assurance tester
Audit experience in Financial Services/Banking
Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Information Systems Auditor (CISA) or related certifications
Strong understanding of industry leading practices and the ability to apply them within the GE Capital organization
Proven track record of delivery of software projects
Possess strong project management skills, ability to make sound decisions, and exhibit initiative and intuitive thinking; and

VP, Audit Tools Resume Examples & Samples

Oversee completion of key metrics and reporting templates to track progress and provide real-time updates to the Director
Provide assistance and support to users of the audit management system
Assist in the execution of a communication strategy to ensure all staff and stakeholders remain advised of project progress and implementation schedules
Evaluate new IT developments and evolving business requirements and makes recommendations for continuous improvement in operations
Ensure delivery of technology services in accordance with the Department's policies and procedures
Establish and maintain ongoing relationships with key stakeholders, including project leaders and individual team members
Partner with the Director to prepare requested information for meetings with project stakeholders, executive management and program leadership
Possess strong project management skills, ability to make sound decisions, and exhibit initiative and intuitive thinking

VP, Audit Americas Resume Examples & Samples

Bachelor's degree and a minimum of 6 years of relevant experience or equivalent experience as GE program graduate. Or High School/GED and 10 years relevant experience
Understanding of the relevant regulatory requirements for the subject areas and past experience working with regulatory bodies (e.g., Fed, OCC, etc.)
Fluent (speak, read and write) in English and local language
Must be willing to travel up to 25% of the time
Ability to build strong, trusting relationships with senior business stakeholders

VP, Audit Resume Examples & Samples

Minimum of 6 years of relevant experience or equivalent experience as GE program graduate; Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA) or related certification preferred
Bachelor's degree or High School/GED and 10 years relevant experience
Must be willing to travel up to 10% of the time
Understanding of industry leading practices within the subject areas and the ability to apply them within the GEC organization
Possess strong project management skills, make sound decisions, and exhibit initiative and intuitive thinking; and

VP, Audit Treasury & Market Risk Resume Examples & Samples

Basic Qualifications
Minimum of 6 years of relevant experience and Bachelor’s degree OR minimum of 10 years of relevant experience and High School diploma/GED; Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA) or related certification preferred
Minimum of 6 years of experience in audit, risk management, governance, compliance, internal controls, public accounting, corporate controls or equivalent
Eligibility Qualifications
Legal authorization to work in the U.S. is required. We will not sponsor individuals for employment visas, now or in the future, for this job opening

VP, Audit Resume Examples & Samples

Proven years of experience in audit, finance, or controllership within the financial services industry
Degree preferably in technical or financial disciplines (Information Systems, Computer Science, Finance, Accounting or related fields)
CAATTS (Computer-Assisted Auditing Tools & Techniques) such as those enabled by ACL, Oracle GRC, IDEA, Access, or Approva
Experience w/ SQL is preferred
Experience working w/ off-shore resources is preferred
Bank regulatory experience (compliance, risk management, loan review, AML, FCPA, etc.)
Strong written and verbal communication skills with the ability to interface and influence across functions
A proven ability to effectively manage and analyze large amounts of transactional audit data

VP, Audit Cor Iw Resume Examples & Samples

Provide professional expertise, advice, and both tactical and strategic leadership in developing and executing a risk-based audit plan for the areas assigned
Work with Prudentials financial community to strengthen Audits awareness and understanding of financial risks to ensure the audit plan is appropriately risk focused
Provide advice to businesses and corporate functions in designing solutions and building plans for correcting control weaknesses or deficiencies
Attract, retain and develop audit professionals to ensure appropriate expertise is deployed to effectively execute the risk-based audit plan
Supervise a team responsible for coordinating the Departments Sarbanes-Oxley compliance support, including participation and providing value added contributions to the programs annual scope and coverage assessment, control testing, and issue aggregation and reporting
Maintain a keen external focus on new/emerging financial risks in the marketplace in order to successfully develop and implement relevant controls for the organization
A proactive, driven executive with the ability to operate effectively from the conceptual stage through to successful implementation
The ability to work effectively through a global matrix to include strong influence skills coupled with technical expertise in financial reporting. Financial reporting expertise for an insurance company is preferable. This also includes a mature business approach to problem solving, conflict and influence
Ability to build strong and productive working relationships with Finance staff at all levels across the company
A highly organized and disciplined individual able to effectively develop and manage a team of experienced audit professionals across a complex, global organization
Possesses strong analytical skills and has a thirst for knowledge (i.e., highly inquisitive)
Willingness to face difficult situations head on and resolve conflicts in a constructive manner
Excellent listening and communication skills in order to effectively interface with all levels of leadership
The interest and ability to assume broader leadership responsibilities as part of a growing, global audit function
Proven leadership skills with the ability to identify, recruit, train and lead a high performing team

VP, Audit Audit Analytics Resume Examples & Samples

Bachelor’s Degree or High School/GED and 9 years of progressive related experience
Minimum of 5 years of experience in audit, finance, or controllership within the financial services industry
Must be willing to travel up to 20% of the time
CAATTS (Computer Assisted Auditing Tools & Techniques) such as those enabled by ACL, Oracle GRC, IDEA, Access, or Approva
Certified Fraud Examiner, Certified Anti-Money Laundering Specialist, or other relevant certifications are preferred
Big 4 Audit or Advisory experience
Self-starter who actively seeks out new opportunities and improvements to existing solutions; and
A proven ability to critically assess, drive action, manage multiple priorities, and deliver meaningful results in a high-paced environment

VP Audit Manager Credit & Country Risk Resume Examples & Samples

Lead all aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, workpaper documentation, follow-up and tracking of management's corrective actions in response to findings, and validation of issue closure
Bachelor's degree in Finance, Economics, Accounting or a related or quantitative discipline
At least 7 years of experience in a Financial Services, consulting, or public accounting firm, with an appropriate level of exposure to and involvement with Risk Management particularly Credit Risk. Market Risk and Model Risk considered a plus
Enthusiastic, self-motivated, passionate about Risk Management and effective under pressure

VP Audit Resume Examples & Samples

Promotes high performance through driving accountability, enhancing quality and designing processes and metrics
Oversees domestic and global teams and projects, identifying risks and issues and intervening when needed
Drives cost-saving and risk mitigation strategies and reviews business, division, major geography, corporate function or major corporate sub-function and organizations performance date (financial, sales, activity reports, etc. to monitor and measure productivity, goal progress and activity levels), understanding financial implications of the business strategy
Builds strong partnerships with key individuals, leaders, and stakeholders in other organizations, both domestically and globally
Implements new business initiatives, products, programs, processes, etc. (e.g. process simplification and automation) that are aligned with the organizational strategy
Works with senior management team to effectively drive the strategy, recommending solutions and guiding business resources and activities as needed
Implements customer-focused and process driven performance metrics and cultures to ensure positive business performance
Drives talent and leadership development
Provides strategic guidance to clients (internally and externally) to support their individual, team and business development
Establishes the execution and quality control reporting in specialized areas such as operations, finance, regulatory, technology, M&A, and clearing
Establishes objectives for the specific audit assignment and projects
Oversees all business unit projects, ensuring results are achieved and aligned with strategy
Lead and perform on multiple concurrent projects, managing conflict priorities to achieve results on time, accountable to manage through unintended impediments adjusting scope and resources as necessary
Identifies audit strategies for the specific audit assignment or project and influences the planning, interviewing, and assessment of controls and procedures
Structures the process of testing of controls and procedures by giving specific advice
Provides senior level advise to smart control recommendations through counseling, coaching and challenging the audit staff
Reviews and approves to the Audit Committed within the area of subject matter expertise, ensuring presentations are of high quality and aligned with strategy
Provides subject matter expertise in specialized areas
Experience Required: 15+ years
Special Qualifications: Professional auditing certifications and proficiency in servers, operating systems and databases
Recognized as a “guru” or external expert in the function of Auditing and it’s principles; has the business expertise in the field; leadership, problem solving, business impact and interpersonal skills
An advocate of Control
Knowledge of companies primary systems – Peoplesoft, ADP, etc
Research and analysis, risk and control analytical thinking skills
Risk Management skills
People Management skills; strategic visioning with customer service oriented skills
Highly experienced in change leadership management

VP Audit Manager Resume Examples & Samples

Own and drive personal learning to support achievement of career aspirations
Provide constructive feedback and evaluation to team members for audit assignments and support Directors in their assessment of Assistant Vice Presidents (AVPs)
7+ years extensive experience in risk based auditing or risk/control activities
5+ years with Wealth and Investment Management products (brokerage and advisory) and strong financial services industry knowledge
Graduate degree and/or professional qualifications (e.g., CIA, MIIA, ACCA, CISA, CFRS, CFTA, Series 7, 24, 63, etc.)
Subject matter expert with extensive working knowledge of the wealth management business including brokerage & advisory services and trust business and their relevant regulatory rules and bodies (e.g., FINRA, SEC, FRB, OCC)
Extensive knowledge about new and emerging financial products
Practical understanding of relevant regulatory environment, regulators and market working practices
Proven track record of high performance in previous roles to include experience dealing with senior client management effectively
Expresses technical information logically and concisely in a way that will facilitate learning and development in BIA
Makes effective use of internal and external best practice information
Displays willingness and initiative to learn and share knowledge about new products and regulations

VP Audit CIB Operations Auditor Singapore Resume Examples & Samples

Plan, perform and lead audit work in accordance with department and professional standards, and complete assignments in an efficient manner
A Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field is required
An MBA degree and/or professional certification, such as a CA, CPA or CISA, are a plus
Candidate should have a minimum of 7 years of relevant experience with exposure to the banking industry. Previous audit experience is preferred but not necessary
Ability to build strong partnerships across the technology and business audit teams through a proactive, open and communicative approach through all aspects of planning, execution and reporting
Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and IT risks in an integrated manner
Travel of up to approximately 20% may be required

VP-audit Manager Team Lead Resume Examples & Samples

Lead all aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation, follow-up and tracking of management's corrective actions in response to findings, and verification of issue closure
Partner with other groups within Audit (Corporate & Investment Bank, Commercial Bank, Asset Management, Corporate Sector, Technology, etc.) to ensure the delivery of a seamless program of audit coverage across the firm
Work with global line-of-business auditors in the early identification of emerging control issues and report them to business and audit management
Establish a business climate and culture that encourages integrity, respect, excellence, and advancement
Some travel may be required
Bachelor's degree in Accounting, Finance, Economics, or a related or quantitative discipline
At least eight years of experience in a Financial Services or public accounting firm, with an appropriate level of exposure to or involvement with Risk Management such as Credit, Market, Operational, Reputational Risk or Risk Governance
Ability to run audits, manage projects, and participate in audit assignments in a team environment
Enthusiastic, self-motivated, effective under pressure, and hard-working

VP Audit Manager Team Lead-chase Wealth Management Resume Examples & Samples

Manage audit engagements with specific focus on holding entire team accountable for meeting deliverables and adhering to departmental and professional standards
Build and maintain key relationships with senior CWM business leaders and related control groups (Risk Management, Legal, Compliance, Operations, etc.) to add value and address unresolved issues
Establish a business climate and culture that encourages integrity, respect, excellence and innovation
Partner with other audit teams including Technology, Compliance, Risk, Finance, Corporate & Investment Bank, and Asset Management to ensure the delivery of a seamless delivery of audit coverage
Stay up-to-date with evolving regulatory changes and market events impacting the business
Travel to business and audit locations, contingent upon audit plan (approx. 10% per year)
Minimum Bachelor's degree. An MBA degree and/or professional certification, such as CPA or CFIRS, is a plus
At least 10+ years of internal audit and/or wealth management experience. Fiduciary and retail broker-dealer audit experience is a plus
Detailed knowledge of products and services provided within the wealth management industry, including but not limited to brokerage, investment advisory, banking, and operational activities
Prior experience of managing and developing a team a plus
Strong knowledge of key brokerage and advisory regulations
Excellent verbal and written communication skills and interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change

VP Audit Resume Examples & Samples

Lead projects and process improvement activities as part of a transformation agenda to drive continuous improvement and overall effectiveness
Lead projects from initiation through execution including phases such as planning, analysis, design, development and implementation
Partner with other groups within Audit
Monitor progress of projects; maintains a master project calendar, understands dependencies and manages conflicts and timelines
Facilitates broad based decision making with key business partners and stakeholders
Communicates project status effectively to senior management and generates regular management
5+ years relevant project/program management experience, preferably in financial services; audit, regulatory or legal and compliance functional experience a strong plus
Proven ability to work effectively across multiple business areas and or functions to deliver results
Excellent verbal and written communication skills; outstanding executive presentation skills with ability to present complex and sensitive issues to senior management
Ability to work independently and multitask in a fast paced environment
Relationship building and interpersonal skills, developing strong partnerships to drive results
Exceptional analytic and problem/issue resolution skills; strong attention to detail
Expert use of Microsoft Word, Excel, PowerPoint, Visio, Sharepoint

Assistant VP-audit Analytics Resume Examples & Samples

Promote continuous improvement in all aspects of audit automation activities (e.g., technical environment, software, operating procedures)
SAS or R
Visualization tools
Data Science skills including extracting insights from large volumes of data in various forms, either structured or unstructured
Experience in the use of statistics, data modeling, data mining and predictive analytics are a plus
Working knowledge of the banking businesses (i.e., Institutional Clients Group, Consumer, and Corporate Functions)
At least 6 years of business / audit experience in providing automated solutions to business needs

VP-audit Analytics Resume Examples & Samples

Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit analytics professionals
Recruits analytics staff, develops talent, builds effective teams, and manages a budget
Leads the professional development of Internal Audit staff through formal and informal analytics trainings
Frequently involved in matters that require complex analytics development and solutions based on sophisticated analytical thought such as identifying analytics enabled solutions for a variety of complex and novel audit control issues
Analyzes reporting findings; Recommends appropriate audit analytics where needed
Proposes creative and pragmatic analytics solutions for risk and control problems
Partners with Directors and Managing Directors to develop audit analytics approaches for addressing broader corporate emerging issues
Related certifications (CPA, ACA, CFA, CFE, CAMS, CIA, CISA or similar) are a plus
Excellent technical, programming, databases and web development skills
Business Intelligence
Experience in the use of statistics, data modeling, data mining and predictive analytics
At least 8 years of business / audit experience in providing automated solutions to business needs

VP Audit Manager Resume Examples & Samples

Minimum 8 + years of audit, relevant business and/or compliance experience
Working understanding of operational risks and related controls
Of banking regulations
Excellent verbal and written communication and interpersonal skills with the ability to present complex and sensitive issues to senior management and influence change
Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness
Bachelor’s degree required; professional certification (eg CRCM) or willingness to pursue required
Be prepared to travel to business locations domestically (15 - 25%)

Asset Management Leader SME, VP Audit Resume Examples & Samples

Developing, implementing and directing the execution of the Department's audit approach and annual audit plan related to the asset management business
Serving as an authoritative resource to the Department on the asset management business, relevant investment instruments and strategies, and economic developments that impact them
Building and maintaining collaborative relationships with Audit Department executives and staff in US and International locations as well as key executives in the businesses and related functions to facilitate the execution of the audit plan as well as the sharing of observations, information and ideas
Partnering with audit teams across the Department to achieve consistent, coordinated, coverage of asset management and related risks and controls
Monitoring issues and trends throughout the year with the goal of developing and communicating a view as to the design and effectiveness of the processes and controls related to the asset management businesses
Remaining current with industry views on asset management and related topics such as the capital markets and the credit cycle so as to adapt audit methodology and approach as appropriate
Leveraging data analytics in support of risk assessment and audit design & execution
Developing a talent strategy for the asset management team that is consistent with Company and Department goals and objectives
Executive level experience as a internal audit professional in an asset management environment
Understanding of insurance company asset/liability management and related portfolio management
Knowledge of US capital markets and market risk concepts and measures required; knowledge of non-US markets
Knowledge of credit analysis and credit risk concepts and measures
Knowledge of investment instruments and markets for asset types including public and private fixed income, public and private equity, real estate finance and real estate equity both private and public and derivatives including interest rate and currency futures and credit default swaps among others
Knowledge of mutual funds including manufacturing, distribution and administration
Knowledge of regulations relevant to the asset management industry including the 40 Acts, and the Department of Labor ERISA rules, among others
Knowledge of emerging topics and current analytical methods and modeling techniques used to monitor and manage relevant risks
Highly motivated, proactive, conceptual thinker who is able to take a leadership role in a wide variety of assignments
Strong track record of providing value-added insights to business leaders and serving as a trusted advisor to both business and Audit Department leaders
Superior, executive level communication skills, both oral and written, and the ability to partner effectively with multiple business groups, corporate areas and independent auditors
Undergraduate degree in economics, finance or other quantitative field of study required; MBA in finance and/or the CFA designation highly desired

VP, Audit Resume Examples & Samples

In collaboration with the General Auditor and Senior Management develops and implements a comprehensive and flexible Compliance audit plan using risk- based methodology. Where appropriate coordinates and collaborates with the Information Technology, Operational audit teams, Sarbanes-Oxley Project Management Office, Legal, Corporate Compliance and External auditors
Examines and evaluates the adequacy and effectiveness of the company’s system of internal control and the quality of performance in carrying out assigned responsibilities. Works with management to address issues including the development of remediation plans
Continues to evolve the scope and perspective of audit so that it aligns with cross-functional business processes in a cohesive manner, rather than solely around discrete functions or businesses
Implements the audit plan, including, as appropriate, any special tasks or projects requested by management or the audit committee
Assesses the current compliance audit team and leads the succession planning, recruitment, and development of employees. Assists in building a function that is “ World Class” and viewed as providing future leaders for the corporation
Prepares periodic reports to the General Auditor providing a status and results of the Audit plan and the sufficiency of Compliance audit resources
Develops and manages the Compliance Audit team’s budget
Makes a positive contribution as demonstrated by
Influencing leaders and managers in Internal Audit, across Finance and the larger LFG organization
12+ years of experience in public accounting or internal auditing in the Financial Services, Insurance or Investment industry
Minimum of 5+ years of supervisory experience
Strong functional knowledge of provisions and guidelines established by the Federal Reserve, Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) State Insurance Departments and other related agencies as it relates to domestic insurance, investments or financial services industry
Strong working knowledge of regulatory requirements and the related risks and controls and demonstrate the ability to work with senior management and lead audit team execution
Sound knowledge and experience in State Insurance Laws, Privacy, Anti-Money Laundering operational risk auditing methodologies and internal control structures, especially as they relate to domestic and global insurance, investment or financial services industries
Sound technical knowledge of the principles of accounting and business processes
Experience and knowledge of Information Technology audit, IT security and general controls
Sound knowledge of SOX and/or MAR
Must have strong leadership skills and the ability to attract and engage a talented staff
Must have laser focus to identify what needs to be changed and the ability to lead the organization effectively through the change
Must have the managerial courage to confront difficult issues with the appropriate response and communication in a timely manner with all of the relevant stakeholders
Ability to objectively assess, coach and manage talent
Ability to develop a team where diversity of thought is valued and appreciated. Must build a team environment that is inclusive
Capable of and value building relationships across the Audit and finance team and the greater company
Ability to process unquestionable ethics and integrity
A quick thinker who can hold his/her own in the company of thought leaders and other high-performance professionals
Broad strategic thinker. Contributes insights that are outside the limited scope of compliance
Mature, with high professional integrity and honesty- able to separate people from issues
Ability to meet or exceed client expectations. Clients include but not limited to the Senior Management committee and Corporate Leadership Group
Demonstrated success in coaching and developing staff via a culture of real-time performance feedback, with ability to build both technical and leadership skills
Ability to build rapport with all levels of personnel and be a strong role model and team player
Possess a strong executive presence, exceptional communication skills, and bring a comprehensive understanding of the complexities of the audit function within a complex enterprise

VP, Audit Operations Resume Examples & Samples

Prior direct P&L responsibility
Familiarity with and ability to leverage agile methodologies to drive results
Demonstrates track record of success in managing a similar business function
Knows the healthcare payer marketplace, competitive landscape, and financial and business drivers
A combination of healthcare industry and consulting experience where they have shown an ability to "drill down" into highly technical, complex areas and operate effectively as an expert and resource in these areas
Computer proficiency in Microsoft Excel, Access and claim databases are required
Ability to work well in an individual and team environment

VP Audit Services Resume Examples & Samples

Accountable for the delivery of high quality, professional and cost-effective value-added risk-based audit services for all Global Functions under Manulife’s Chief Operating Officer ( Information Technology, Human Resources, Corporate Development & Strategy, Innovation, Procurement and Strategic Sourcing, Marketing, Legal and Regulatory Affairs, Program Management and Data Analytics), the Information Risk Management function under the Chief Risk Officer and the Information Technology teams reporting to each Division Head. Information Technology is managed by the Global CIO who is responsible for Infrastructure, Strategy & Architecture, Chief Data Officer and the Information Technology team supporting Investments and Group Functions
Understand the risk management profile of the functions the incumbent is responsible for providing audit services for and monitor these profiles to identify emerging risks
Provide leadership on ways to further improve the effectiveness, efficiency and consistency of audit services across the enterprise
Provide senior management with objective and reliable assessments of the adequacy of risk management practices within their divisions, and provide value-added and practical recommendations to improve risk management practices
Assist business unit management to discharge their responsibilities by providing risk management consulting support, education and training, and by maintaining a business-partner relationship
Plan and direct special audit projects identified by audit or requested by senior management
Contribute to the development of Audit Services policies, strategy and direction; continually improve audit and administration processes leveraging technology to the fullest
Manage Audit Services’ resources efficiently, economically and effectively. HR management responsibility for all Asia staff
Draft relevant sections of MFC Audit Committee reports and MFC Risk Committee reports for review by Chief Auditor
Assist with preparation and presentation of reports to Audit Committees of Division subsidiary companies. Manage the regulatory expectations
Recruit high-caliber staff and provide appropriate development and training utilizing the Audit Services Core Competencies model
Ability to quickly understand business processes and their risk implications, analyze complex situations, reach appropriate conclusions, make value-added and practical recommendations and influence management to take appropriate actions on recommendations. Ability to achieve all of this in a Global environment within a matrixed organization
Excellent knowledge of audit methodologies, control frameworks (COSO and CoBIT), risk management practices, and regulatory requirements (OSFI and other regulatory requirements relevant to Divisions)
Expert knowledge of Information Technology risks and processes, Project Management Frameworks, Application Development Methodologies, Data Management practices and Strategic Procurement practices Excellent working knowledge of risks managed in Corporate Development, HR and Marketing
Demonstrated ability to work effectively in diverse environments and cultures and to ensure that the global team is highly engaged
Ability to effectively communicate ideas and recommendations orally and in writing, at Division and Corporate levels, and to listen and consider ideas of others through direct and indirect influence
Strong relationship skills including a demonstrated ability to deal effectively with staff at all levels from the SEVP and Chief Operating Officer, and business unit SVPs, VPs and AVPs to the junior members within Audit Services
University degree plus a recognized audit designation (CA, CPA, CISA, CIA) designation is preferred, with 15 years business experience including 6 years at a senior management level

VP-audit Generalist Resume Examples & Samples

Analyzing business processes and procedures to evaluate the internal controls of the business and the associated risks
Communicating audit findings to the business management and drafting recommendations and audit reports that clearly present the risks, conclusions and include practical recommendations
Tracking and following up on open audit and regulatory issues with the clients
Working on special projects
Results oriented: sets goals and priorities that maximize the use of resources
Communication: strong written and verbal communication skills and the ability to develop collaborative working relationships with management
Team work – ability to work well within a team environment and the ability to act in a lead role on audits
Project management - ability to organize work to meet deadlines. Must be able to multi-task and shift priorities
Good basic knowledge of general compliance and conduct risk processes and controls
Understanding of anti-money laundering rules and requirements
Candidates should have 5+ years of experience in an auditing, compliance or risk management position, and should be familiar with the products noted above. Individuals with Financial Services experiences at Big 4 firms will also be considered

VP Audit Resume Examples & Samples

Undertake audit engagements as assigned by ED/SVP/VP of the team according to audit plan
Advise and apprise promptly the ED/SVP/VP of the team of all major risk, control and regulatory issues arising during the audit and continuous monitoring
Update and maintain audit risk matrices, including audit working papers for each audit engagement
Keep tuned in IBG business development, product, IBG/Credit related policies/procedures and regulatory requirement
Develop data analysis tools for continuous auditing and enhancement of audit effectiveness and efficiencies
At least 8 years' working experience
With relevant business, credit or audit background in financial institutions, external CPA / consulting firm is preferred

Assistant VP Audit Resume Examples & Samples

Lead or assist on audit engagements covering AWM functions including risk assessment, audit planning, audit testing, control evaluation, audit report drafting and follow-up and verification of issue closure
Develop and maintain relationships with certain key AWM stakeholders
Establish and maintain a business climate and culture that encourages integrity, respect, excellence and innovation
Be prepared to travel to locations internationally (up to 10%)
Bachelor’s degree in a relevant discipline
Minimum 5 years experience in a financial services firm, with an audit or risk/control background, experience of and exposure to Asset Management and/or Wealth Management
Ability to lead audits and execute audit work remotely, work effectively within a matrix organization, manage multiple projects and participate in audit assignments in a team environment

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