Audit Resume Samples (2023)

Audit & Controls AdministratorResume Examples & Samples

• Monitor activity to ensure compliance with department process, procedures and service level agreements
• Reviews procedures and federal regulations; completes gap analysis and then works with business unit leaders to create procedures to eliminate gaps
• Maintains strong relationships with other areas of the firm e.g. Internal Audit, Compliance
• Bachelor's degree in a related field or an equivalent combination of education and work experience
• Will typically have at 2 years' experience in financial services /or back/middle office Operations
• Excellent analytic, problem solving and business judgment and organization skills

AML Audit Team Audit ManagerResume Examples & Samples

• Be responsible for developing an audit project plan and directing the implementation and completion of the plan with responsibility for the overall quality of audit work performed
• Manage project teams. Will also perform audit test work and be a team member on other teammates' audits
• Contribute to the planning, development and execution of the team’s audit plan
• Contribute to design and execution of continuous auditing tools
• Bachelor's degree. 6+ years of professional experience
• Minimum 3 years in audit, internal control, risk management or regulatory compliance background
• Minimum 3 years experience with Anti-Money Laundering/Bank Secrecy Act requirements, preferably as auditor or examiner. Financial services experience is preferred
• Proven experience and strong competency in all of the following: audit skills, relationship management, project management, teamwork, technical, and oral & written communication skills
• Ability to work well in team environment. Ability to coach/mentor others and yet be open-minded to ideas from all team members
• Shows initiative and ability to work independently in complex areas
• Experience in performing risk assessments and/or audits
• Strong ability to identify risks and related controls, and test and evaluate controls
• Strong analytical skills to identify, document, present and report issues
• Positive attitude, strong work ethic, and professional
• CAMS or other AML/BSA certifications are the most preferred certifications. CPA, CIA or other certifications are also valuable

AuditResume Examples & Samples

• Lead and participate in audit engagements covering the Asset Management businesses including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure
• Product knowledge relevant to the Asset Management businesses is favorable although not mandatory (e.g., funds, equity, fixed income, alternative products, credit, fiduciary products, etc)
• Ability to perform and oversee audit work in accordance with department and professional standards and complete assignments in an efficient manner

Audit CIB Investor Services Auditor AVP / VPResume Examples & Samples

• Participate and lead audit engagements from planning to reporting and deliver quality products which will meet department and professional standards
• Travel to overseas business locations as required. While the amount of travel will vary depending upon business need, this is not expected to be more than 10-20 per cent
• Education to degree standard is preferable. Candidates should also have relevant professional certification (such as a recognized internal audit, accountancy or similar qualification relevant to the role). Candidates without relevant certification will have one year from start date to achieve it
• Knowledge and experience of Futures and Options, OTC Clearing, Securities Prime Brokerage and Securities Financing is desirable although not essential. Broader experience across investment banking products is required
• The ability to effectively work within a team

AuditResume Examples & Samples

• Provide continuous monitoring of technology areas. Establish and maintain strong relationships with technology leaders and related control groups
• Stay up to date with the global regulatory and market environment, especially as it pertains to Asset Management and its supporting technology
• Build effective contacts and relationships with client management and colleagues through effective teamwork and innovating thinking
• Minimum of 5+ years of work experience in auditing or technology in a financial services organization, preferably asset management
• Ability to manage multiple tasks concurrently in an efficient and effective manner with minimal supervision. Works well individually and in teams, shares information and supports colleagues
• Professional certification, such as a Certified Information Systems Auditor (CISA), Certified Information Systems Security Profession (CISSP) or Chartered IT Professional (CITP) is preferred
• Working knowledge of application and infrastructure controls, for example Access Administration, Change Management, Security Configuration and Business Resiliency
• Fluent English is required. Proficiency in Mandarin would be a plus

AuditResume Examples & Samples

• Expected travel requirement up to 15%
• Knowledge of EMEA (Europe, Middle East, Africa) IT regulations
• Knowledge of Distributed Technologies a plus (e.g. UNIX, Windows, Storage)

AuditResume Examples & Samples

• Plan, execute and document audits with limited supervision and to a high standard in accordance with department and professional standards
• Perform detailed test work efficiently within defined targets as part of an audit team
• Good excel/access skills
• Works well individually and in teams, shares information, supports colleagues and willing to take personal responsibility/accountability

Corp-audit Internship, BasedResume Examples & Samples

• Graduation in December 2016 or later
• Fluent English (Written and Verbal)
• Advanced Excel knowledge

Audit Russian Internal Auditor VP-moscowResume Examples & Samples

• Ensure that audit program meets with Central Bank of Russia regulations
• Lead and manage audit engagements from planning to reporting, and deliver quality products within department and professional standards
• Finalise and communicate audit findings in a clear and concise manner to management and identify opportunities for improvement in the design and effectiveness of key controls
• Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
• Stay up-to-date with evolving industry and regulatory changes impacting JPMBI and its control environment

Audit Russian Internal Auditor Assistant VP MoscowResume Examples & Samples

• Participate and execute all aspects of audit activities including risk assessments, audit plan and audit engagements from planning to reporting, and deliver quality products within department and professional standards
• Partner with colleagues and stakeholders to independently evaluate, test and report on the adequacy and effectiveness of controls. Analyse risks and identify root cause of issues
• Present reports to JPMBI’s Board of Directors and regulators
• Manage audit teams where required, perform timely review of work performed and providing honest and constructive feedback

AuditResume Examples & Samples

• Participate actively as a member of the Global Fixed Income audit team, disseminating best practices globally as well as regionally
• Experience of auditing Markets businesses (preferably Fixed Income products) within IB
• Good technical knowledge of IB products in general, with exposure to derivative products desirable

VP Market Risk AuditResume Examples & Samples

• Lead all aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation and follow up and verification of issue closure
• Partner with other groups within Audit (Investment Bank, Commercial Bank, Asset Management, Technology, etc.) to ensure the delivery of a seamless program of audit coverage across JPMorgan Chase
• Proficiency in market risk management principles and valuation practices

Audit Manager for AML / KYCResume Examples & Samples

• Develop a team focused on AML Risk Assessment , AML control audits, and independent validation of remediation activities
• Represent Audit on the firm's AML related committees and forums
• Follow-up with accountable business and compliance leaders and their teams to ensure control issues are effectively resolved
• Past experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of BSA, AML, and OFAC (7 years)
• Experience as a manager with an established track record of overseeing and executing both short term and long range objectives

IB Audit ManagerResume Examples & Samples

• Direct experience with eTrading platforms and/or businesses, including algorithms/models development, trading desk
• Ability to apply a commercial outlook to their work, as well as being able to retain objectivity when undertaking an
• CISA / QICA/CISSP well regarded
• Objective thinking and sound critical judgment
• Quick to assess business activities/processes and identify gaps and scope for enhancement
• Able to manage a number of tasks concurrently
• Flexible and willing and able to undertake a broad range of tasks
• Good analytical skills and a keen eye for detail

VP of AuditResume Examples & Samples

• Work closely with audit colleagues located across the globe in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
• Partner with business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence.Minimum bachelors degree in Accounting or Finance
• CPA and/or Advanced Degree in Finance or Accounting is preferred
• Minimum6 - 8years experience in public accounting or financial services firm, preferably strong knowledge of the Treasury & Securities Services business
• Proven ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically
• Works well individually, and in teams, shares information, supports colleagues and encourages participation

AuditResume Examples & Samples

• Provide audit coverage of the key controls supporting the Infrastructure and IT Risk services
• Assist in the development and analysis of key metrics to identify trends in technology operations
• Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of controls in relation to the associated risk. This may be achieved through specific audit reviews or direct participation in key technology projects
• Partner with other groups within the firm Corporate & Investment Bank, Asset Management, etc.) to ensure the delivery of a seamless program of control and risk coverage
• University degree (Bachelors or equivalent) in Technology/Accounting/Finance/Business
• Knowledge of Information Security controls, including Data Protection is preferred

Audit Equities Auditor Assistant VP / VPResume Examples & Samples

• Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of the control environment.Analyze risks and proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified
• Participate actively as a member of the Global Equities audit team, disseminating best practices globally as well as regionally
• Communicate audit results and issues in a clear and concise manner, both verbally and in writing
• Experience of auditing Equities products within IB is MANDATORY to be considered for this role
• Strong execution skills, ability to work independently with limited supervision and multi-task. Good excel/access skills a plus. Strong verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner

AuditResume Examples & Samples

• Perform detailed audit test work
• Work with global line of business auditors in the early identification of emerging control issues and reporting them to line of business and audit management
• Perform monitoring of periodic valuation and market risk related metrics with an ability to recognize emerging issues with risk and control implications
• Partner with other groups within Audit (Corporate Risk, Technology, Private Bank, T&SS, etc.) to ensure the delivery of a seamless program of audit coverage across JPMorgan Chase

AVP Central Tech AuditResume Examples & Samples

• Be responsible for the India Central Technology Audit coverage. Work closely with the regional Central Tech Auditor and the India location audit head to provide a comprehensive and risk-based audit coverage
• Up to 20% travel required, primarily domestically within India
• Bachelor's degree in Technology, Accounting, Finance or related discipline with at least 10 years of internal or external auditing experience
• Experience in application control reviews. Exposure to Finance and Compliance technology is a plus
• Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner
• Broad knowledge across technology platforms, with actual audit and risk assessment experience in reviewing the different system environment
• Exposure and working knowledge of India regulations considered an advantage
• Excellent verbal and written communication skills in English. Also, good interpersonal skills with the ability to present complex and sensitive issues to senior management, and influence change
• Proactive, enthusiastic, self-motivated, strong interest in learning, effective under pressure and willing to take personal responsibility / accountability
• Strong experience in team leadership and development

AuditResume Examples & Samples

• Day-to-day management of audit engagements, including leading a team of auditors in planning, testing and reporting on the effectiveness of controls that support Corporate Treasury. This is conducted in accordance with department and professional standards and will require the presentation of root cause analysis to senior client management
• Significant previous audit or relevant business line/risk management experience
• Familiarity with Corporate Treasury operations
• Proficiency in risk assessment, issue/impact analysis and executive report preparation

VP-private Banking AuditResume Examples & Samples

• The candidate will also be a member of the Regional and Global Asset Management Audit teams with the opportunity to travel throughout the region and interact with colleagues in Asia Pacific, EMEA and NY locations
• A minimum of 8 + years of working experience with some exposure to asset management and the financial services industry including related processes/controls
• Proficiency in Mandarin language would be a plus
• Ability to carry out complex tasks under time pressure, whilst maintaining a high level of accuracy and quality

Audit & Resiliency Lead-associateResume Examples & Samples

• Resiliency
• Support for Resiliency/Application Manager and act as deputy
• Manage production incidence root cause analysis, work closely with operate and Application teams to identify root causes and drive the permanent resolution
• Call analysis looking for opportunities to automate the application to reduce number of calls
• Proactively look for and act upon any performance challenges across the reconciliation work space
• Act as a SME for new strategic reconciliation platform regarding resiliency
• Proactively manage KPI’s
• Management reporting
• Audit/Controls/Compliance
• Manage interaction with External and Internal auditors for all audits. These will include SOX, SAE16, Client Money
• Respond to auditors enquiries and provide the information requested
• Identify automation opportunities for the audit evidence gathering and manage implementation of these opportunities
• Co-ordination with the various stakeholders
• Work closely with IRM, Internal Controls and Compliance to ensure the effectiveness of the IT controls testing program
• Ensure the application developers are aware of all responsibilities in the control arena and highlight any concerns
• Proactive Management of open issues
• Unix
• Strong excel
• Controls experience
• Resiliency experience
• Understanding of Reconciliation processes and LOB Controls
• Excellent understanding of IT control requirements
• An ability to interpret regulatory requirements and assess operational Compliance with those requirements
• Strong interpersonal and influencing skills, with the ability to establish strong relationships
• Good organisational skills with an ability to manage, prioritise, work under pressure and meet tight timelines
• Strong analysis and problem solving skills
• Demonstrate clear and concise communication skills

Audit Resiliency Manager, CIB PIM RiskResume Examples & Samples

• Leading and/or participating in audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation and follow up and verification of issue closure
• Performing audit work in accordance with department and professional standards and completing assignments in an efficient manner
• Documenting work to a re-performance standard
• Partnering with colleagues, clients and control community members to develop, evaluate, test and report on the adequacy and effectiveness of the control environment
• This is conducted in accordance with department and professional standards and will require the presentation of issue root cause to senior client management
• This will include collaborating with other groups within Audit as appropriate to ensure the delivery of a seamless program of audit coverage
• Building and maintaining key relationships with stakeholders, establishing a culture of engagement while adding value
• Contributing to a business climate and culture that encourages integrity, respect, excellence and innovation
• Resiliency coordinator in support of activities for the Global Resiliency & Crisis Management Group; more specifically relating to support of the technology and business resiliency
• You will be responsible for driving delivery of projects/releases that support theprogramworking closely with the GRCM business Group, across LoBs, and other impacted groups; as well as across technology teams to define and implement this strategic solution
• Strong analytical skills and a keen eye for detail, with the ability to quickly assess business activities/processes and identify gaps, think objectively, and provide sound critical judgment
• Working knowledge of application and infrastructure controls, for example Access Administration, Change Management, Security Configuration and Business Resiliency, Data completeness, Data integrity
• Ability toplan, lead and execute auditassignments
• Certified Information Systems Auditor (CISA), ITIL framework, Certified Information Systems Security Professional (CISSP) and/or Certified Public Accountant (CPA) designation are a plus
• Highly motivated, self starter, results driven
• Must have flexible working hours, desire to meet tight deadlines, focus on attention to details and demonstrate the ability to organize and prioritize work accordingly
• Bachelor's degree in Technology, Accounting, Finance or related discipline
• 10 Years of experience in Controls, Audit, Resiliency Space

Audit Manager, AnalyticsResume Examples & Samples

• Provide analytics and CAATTs (Computer Assisted Automated Techniques and Tools) support to Capital Markets and Wealth Management Audits. CAATTs involve designing automated testing to fulfill audit objectives, providing information through data extracts from financial and other source systems and analysis of the extracted data. The result of the work will help auditors draw conclusions on various audit objectives
• Collaborate with auditors of Capital Markets and Wealth Management to identify key audit objectives and associated risks to be supported by CAATTs. Leverage CAATTs to provide additional insights and intelligence to auditors for increased use of CAATTS and to add value to audit
• Design metrics and tests through automation techniques to enhance the efficiency and effectiveness of the audits
• Provide Continuous Auditing support quarterly for auditors
• Develop strong relationship with the auditors and RBC Capital Markets, Treasury and Wealth Managementpartners
• Act as a liaison between the business analysts and the auditors (i.e. communicate audit requirements to system technical staff in order for them to execute the desired tests and produce results)
• Consistently seeks to improve techniques and methodologies to ensure efficient and effective audit results
• Participate in other special projects as required
• Assist cross-platform with CAATTs for example in Canadian Banking, as may arise from time to time
• Little travel is involved, however on occasion there may be opportunities to participate on audits beyond planning (e.g. fieldwork or reporting) and there may be some travel required
• Knowledge of key business processes and products in Capital Markets and Wealth Management
• Ability to identify key objectives and associated risks related to business processes
• Ability to evaluate the effectiveness of the management of risk in the client's environment and provides a consultative role to enhance the management of risk

Audit & Control SpecialistResume Examples & Samples

• Partner with Analytical business units to understand key business objectives, processes, risks and controls
• Work with LOB/Region Compliance teams, Internal Audit, Operational Risk and other control functions to improve the control framework and the execution of tactical steps
• Support the team’s execution of the Operational Risk Management standards, methodologies, and procedures
• Support the implementation and execution of the Risk and Control Self Assessment Program including
• Process Mapping
• Facilitate end to end reviews and deep dives with assigned business units
• Control Identification, Assessment and Substantiation
• Issue Management and Action Plan validation
• Evaluate the quality of content, implementation and ongoing execution of established RCSAs
• Compile, update and prepare reports and analysis on issues and controls
• Assist internal and external audit examination activities for impacted business units
• Excellent research and analytical skills
• Ability to think critically, understand business and technical functions, identify root causes of issues, solve problems creatively, plan and meet deadlines, and demonstrate strong sense of personal accountability
• Demonstrated experience in working within groups to accomplish goals
• Polished verbal and written communication skills
• Strong MS Office suite skills (Excel, Word, PowerPoint, Project)
• Experience with Consumer Banking systems and processes desirable
• Good understanding of operational and regulatory risk management preferred

AuditResume Examples & Samples

• Expense administration
• Manage international travel for senior managers
• Room booking, arranging teleconference and video facilities as required
• General office administration including filing, maintaining record retention
• Other ad-hoc duties that arise on a day to day basis
• Responsible for administrative duties, such as co-ordination of administrative/departmental procedures, analysis/distribution/collection of information
• Co-ordinate for sensitive personnel related documents
• Scheduling appointments and performing other duties related to maintaining management’s schedule and visitors from other locations
• Interview arrangements
• Provide admin support to offshore location(s)
• Co-work with other administrative assistants in the region
• MS Word – Advanced
• MS PowerPoint – Advanced
• MS Excel – Advanced
• Lotus Notes
• Outlook

Data Analytics Audit Manager Team Lead Corp SectorResume Examples & Samples

• Review control metrics/analytics to identify potential areas of emerging risk for further research and/or escalation
• Actively participate in the Audit Data Analytics forum, and contribute to the conversation
• Partner with peer Data Analytic teams in sharing ideas to add value to the audit department and firm
• Use data from multiple sources to drive the identification of corporate wide risks and issue themes
• Develop innovative, re-usable tools that can be leveraged by the audit teams
• Perform data analysis as needed using various techniques (statistical analysis, predictive analytics, forensics review) to reach and support conclusions
• Stay abreast of new tools and technologies to assist the team in creating the most efficient and effective data strategies
• Recommend solutions as part of planning to help execute audit tests by providing the ability to automate full-population testing, sampling, reproducing processes, and identifying exception testing
• Minimum of a Bachelor's degree in Computer Science, MIS, or related discipline
• 7 years of related experience, combination of internal audit and data analytics experience is a plus
• Proven track record of developing and delivering a sustainable analytical tools and processes
• Experience with software to query and present data such as Excel, ACL, SQL, SPLUNK, SPOTFIRE etc
• Excellent verbal and written communication and interpersonal skills
• A high level of professional maturity and the ability to work/deliver with limited supervision
• Proven ability to oversee several tasks concurrently in an efficient and effective manner with a track record in creative and successful problem-solving
• Prepared to travel as required

Audit Risk Projects AssociateResume Examples & Samples

• Data validation (currently using SQL) preparing exception reports for investigation
• Research of discrepancies found to identify reasons and best course of action
• Oversee SQL queries from India and their quality control processes to ensure best practices
• Work with India to make sure data is in the best format so that it can be pulled into SAS smoothly and to ensure data can be used for various purposes without rework
• Work mostly in SAS, Excel and SQL or Excel to satisfy ad-hoc requests
• Gain an understanding of the firm’s policies and the team’s processes and make recommendations accordingly
• Apply process and technology enablement knowledge to analyses and problem solving
• Use sound judgment and consistency in providing measurement results
• Use analysis to identify opportunities and offer solutions
• Strong SQL skills
• Proficient in SAS data manipulation
• VBA (Preferred)
• A minimum of 0-3 years related experience

Audit Big Firm OpportunitiesResume Examples & Samples

• Develop people – conducting timely reviews and providing feedback to team members, lead engagement team sessions, participating in recruiting efforts
• Overseeing engagement economics and managing appropriate resources for efficient engagement models
• A bachelor’s degree in Accounting, Finance or related field
• A valid US or Canada Certified Public Accountant (CPA) license or Chartered Accountancy in Canada
• Approximately 4 years of recent experience with public accounting firm, preferred
• Dedication to teamwork and excellent leadership skills
• Citizen of Canada or current eligibility to work in the US

AuditResume Examples & Samples

• Analyze risks and proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified
• Travel to overseas business locations and other offices in the UK will be required
• Business and Industry Knowledge – Demonstrable knowledge, and experience of auditing Payment and Transaction Processing Systems, Technology Infrastructure and Technology Operational Processes. Good technical knowledge of Unix, Wintel, Database Technologies alongside detailed payment systems such as SWIFT and SEPA. Experience of auditing environments with high risk and sensitive data also considered desirable
• Methodology & Analytical Skills – detailed understanding of internal control and risk assessment concepts and strong analytical skills to assess the impact of control weaknesses
• Partnership - Strong execution skills, ability to work independently with limited supervision and multi-task. Works well individually and in teams, shares information, and supports solleagues. Ability to createstrong stakeholder relationships that promote transparency and open dialogue around control issues
• Communication - Strong verbal and written communication

Audit Control ManagerResume Examples & Samples

• Serve as primary control liaison before and during Internal Audit and Compliance Testing reviews, including coordinating initial communication and pre-audit business readiness, materials, presentations, and management meetings
• Manage the Internal Audit (IA) and Compliance Testing interactions and deliverables across all of Citi Cards and Retail Bank functional areas
• Ensure understanding and communication of review scope and manage timely delivery of requested information between IA and Compliance Testers across functional business partners
• Manage ongoing written and verbal communications on audit topics to a variety of audiences including senior leadership
• Partner with the business owner to develop robust action plans and target dates for issue remediation, proof of resolution, and closure
• Partner with Issues Management peers to ensure all action plans are appropriate, address the root cause and proposed deliverables satisfy requirements for business closure
• Ensure audit issues, action plans, and delivery dates are entered into the appropriate tracking system
• Partner with ORM peers to develop and maintain comprehensive dashboard reporting on Citi Cards and Retail Bank audit and compliance review status, results, actions, issues, and issues closure
• Develop working relationships and routines with the external regulatory exam managers to ensure communication of identified audit issues and risks
• Provide root cause/trending analysis on issues identified during reviews
• Provide onsite coverage and support for audits
• Bachelor's degree required
• 8 to 10 years of direct, relevant experience in financial service operations, control, compliance, audit, or regulatory management
• Strong verbal and written communication skills, including presentation skills
• Self-motivated with strong interpersonal skills and the ability to create support and buy-in across a wide range of stakeholders; create a strong network of relationships among peers, internal partners, external constituencies, decision makers and stakeholders
• Strong judgment and critical thinking skills
• Detail oriented, with proven ability to question and identify opportunities within existing processes and business practices by leveraging previous experiences and knowledge
• Superior organizational skills with proven ability to successfully manage multiple concurrent priorities
• Deep functional knowledge of the Cards or Retail Bank businesses and applicable rules, regulations, and processes
• Pragmatic problem-solver, forward thinker with independence of thought
• Demonstrated ability to influence a group of diverse stakeholders and drive accountability and ownership with key business partners and process owners
• Demonstrated ability to employ diplomacy and business perspective with stakeholders, peers and Audit teams
• Computer experience to include expertise with Microsoft Office (Excel, PowerPoint, Word)
• 30% travel required

O&t-otrm Audit Control AnaylstResume Examples & Samples

• Bachelor's degree in a related field or equivalent combination of education/experience
• Strong customer focus and management of client expectations
• Technology control experience in one or more IT disciplines
• Certifications in relevant disciplines (CISA, CISSP) are desirable

Audit Manager Technology InfrastructureResume Examples & Samples

• Serves as lead reviewer for all types of reviews
• BA/BS or equivalent. Related certifications (CPA,ACA, CFA, CIA, CISA or similar) are a plus
• Senior level experience in a related role withexperience in business, functional and people management, with proven abilitiesin taking responsibility for executing concurrently on a portfolio of highquality deliverables to stakeholders according to strict timetables
• Specific subject matter expertise regardingtechnology application control disciplines and technology infrastructure knowledge, with a soundunderstanding of the financial services provided by Citi
• Demonstrates experience in managing teams andmanaging integrated internal audit and assurance delivery within a matrixreporting environment
• Effective negotiation skills, a proactive and 'nosurprises' approach in communicating issues and strength in sustaining independentviews. This individual must be an articulate and effective communicator,both orally and in writing, with an energetic, charismatic and approachablestyle
• Strong interpersonal skills for interfacing with alllevels of internal and external audit and management

TTS Audit ManagerResume Examples & Samples

• Assist country Head of Audit in planning and delivering the Citibank Turkey audits (risk-based, regulatory and branch exams) to the time commitments and ensuring quality in the work performed and reports produced
• Ensures the CCO, in-country management, audit committee and local governance committees receive prompt, timing and complete information relating to the activities of Internal Audit in the absence of country Head of Audit
• Plans and performs moderately complex audits related to TTS and SFS in accordance with corporate methodologies, professional standards and local regulations, including drafting of audit reports, presenting issues to the business and discussing practical solutions
• Ensures potential issues are raised promptly and collaboratively with a view to identifying the most viable, pragmatic and sustainable conclusion to mitigate the risk
• Develops and maintains effective line management relationships with key business contacts to ensure strong understanding of the business
• BS/BA degree or equivalent combination of education/experience. Related certifications (CIA, CFSA etc.) are a plus
• 10+ years of experience in audit, controls and risk in banking and financial institutions
• Solid business understanding of banking products, especially those associated with the TTS and SFS businesses
• Effective communicator, both orally and in writing, with an energetic, charismatic and approachable style

Audit Manager It-singaporeResume Examples & Samples

• You have a university degree (Bachelor or Master Level), preferably with a technical background
• You have gained strong experience (5-8 years) in audit, compliance or internal control areas within the financial industry
• You have a good understanding of technology, the financial market, operational aspects, as well as process flows within and between banks / counterparts, and a thorough knowledge of local regulatory requirements
• You are a flexible and committed team player willing to travel to other UBS locations in APAC for audit assignments
• You have good communication skills and are able to interact with all levels of management
• You are fluent in both verbal and written English
• Ideally, you are a CISA qualified

Audit ExpertResume Examples & Samples

• Analyzing and assessing technology risks assumed by the business
• Leading global technology audits both within the Investment Bank and across UBS Group Technology
• Monitoring the results, risk profile and developments within Investment Bank IT and providing input for planning sessions

Executive Director Audit for AML / KYCResume Examples & Samples

• Partner with Model review teams on monitoring threshold testing strategies, and execution as necessary
• Past experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of BSA, AML, and OFAC (10+ years)
• Excellent communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
• Collaboration with fellow managers in both the Audit and Compliance spaces
• Enthusiastic, self motivated, effective under pressure, and willing to take risk

IB Audit ManagerResume Examples & Samples

• Analyzing and assessing risks (market, credit, operational, legal and compliance) assumed by the business cross-divisionally
• Identifying and evaluating the effectiveness of controls designed to address those risks
• Monitoring the results, risk profile and developments within China cross-divisionally and provide input for planning sessions and Auditable Entity updates on a continuous basis
• Developing key stakeholder relationships in China along with other GIA members in Singapore, Japan, Australia and Hong Kong to update risk profiles and obtain / share relevant business information

Gf-audit ManagerResume Examples & Samples

• Design substantive audit tests to determine the effectiveness of controls, and apply critical analysis of test results to determine the level of audit assurance
• Develop strong understanding of the businesses audited and the role of technology to support the business processes
• Develop effective working relationships with the staff and management of the businesses being audited to enable timely identification of emerging technology risks
• Articulate objective, evidence-based conclusions on the operating effectiveness of controls, and make practical recommendations for the remediation of issues identified
• Excellent analytical ability to understand business issues associated with IT processes and related risks and controls, identifying root causes and recommending solutions
• Working knowledge of finance and corporate functions business processes, and supporting systems (i.e. general ledger, tax, treasury, payroll, and compliance)
• Strong knowledge of application layer configuration controls such as those found in off the shelf ERP-type, and other systems

Audit Market Risk Auditor AVPResume Examples & Samples

• Lead all market risk and fair valuation related aspects of Audit activities including evaluating, testing and reporting on the adequacy and effectiveness of management controls
• Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of management controls
• Conduct evaluations in accordance with department and professional standards and present root cause analysis to senior client management
• Work with line businesses managers in early identification and reporting of emerging risk control issues
• Assess the consistency of risk management practices of various businesses within JP Morgan with the firm wide risk governance framework
• Evaluate fair valuation of trading positions including independent pricing and valuation reserve adjustments
• Periodically monitor risk metrics to recognize patterns with risk control implications
• Work with model implementation to ensure that front office models comprehensively capture all risk factors
• Proven experience within Risk/Audit with an appropriate level of exposure to Risk Management such as VaR, Stress, sensitivities risk measures, and limit framework
• Proficiency in price testing and fair value adjustment process
• Solid understanding of the control environment and the audit process
• Knowledge of risk measurement and reporting framework
• Experience in derivative valuation and risk modeling
• Experience conducting Quantitative and Statistical analyses of financial risk data
• Knowledge of risk analytics and data systems including Bloomberg
• Knowledge of credit/debit valuation adjustment

Audit Manager, Consumer Bank, VPResume Examples & Samples

• Develop and executes a robust Audit Plan for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
• Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and branch examinations, as well as business monitoring and governance committee reporting
• Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals
• Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Consumer products, especially those associated with the Retail Bank business

AuditResume Examples & Samples

• Minimum Masters degree in a related discipline
• Proven experience within Risk/Audit with an appropriate level of exposure to Risk Management. Proficiency in market risk principles and derivative valuation practices
• Ability to run audits, manage projects and participate in audit assignments in a team environment

Audit & Control AgentResume Examples & Samples

• Uses problem solving tools and analytical techniques to investigate outstanding entries and trace to determine the root cause
• Ability to clearly communicate outstanding balances to manager
• Requires continual reacting and adaptation to ensure quick resolution of identified issues/gaps and also continually searching for innovative ways to increase efficiencies within the process
• Ability to work in a fast paced environment with the ability to shift priorities as required
• This role is dependant on the capability to function as a team, maintaining open lines of communication with service partners, being accountable, flexible and deliver results in high pressure situations
• Must be able to navigate multiple screens and programs
• Liaise with originating sources across Canada to ensure that all pertinent and required information is received on a timely basis
• Takes personal accountability to ensure that all accounting entries are appropriate, complete and accurate
• Attention to detail and Accuracy are paramount for this role
• Sense of urgency
• Punctuality
• Strong Verbal/written communication
• Teamwork and Co-Operation
• Willingness to learn new processes and develop skill set
• RBC applications (IRIS, Siebel, On Demand, People Soft) and Microsoft office software (Excel, Word)
• Branch Procedures, GL entries and balancing, SISA processing, EFO procedures
• GL Reconciliation reports
• GL Suspense Reports (GLUS)
• Unit Financial Control Procedures

Team Lead, AuditResume Examples & Samples

• Professional certifications (e.g., CPA, CISA, CIA, ACA, ACCA) and/or an MBA along with demonstrated technical abilities in select areas (e.g., accounting, regulatory compliance, etc.) are preferred
• A College or University degree and/or entry level auditing experience in a financial institution is preferred
• Adept auditing and/or systems experience in a financial institution, or similar public accounting experience in the financial services industry

Audit & Control Associate, Merrill EdgeResume Examples & Samples

• Conduct daily spot checks reviewing completed items for compliance with regulatory requirements
• Conduct monthly mock audits and assist with feedback and coaching
• Prepare for annual audits
• Maintain and update all internal Policies and Procedures in accordance with regulatory and Firm policies
• Communicate policy and procedural changes and conduct training as required
• Ensure timely review and filing of all reports
• Knowledge of Industry regulations and ML Internal policies and procedures
• Previous management and/or audit experience preferred
• Knowledge of ML operating systems
• Demonstrate ability to apply analytical and technical expertise to problem solving
• Capable of resolving non-routine items by developing alternatives and/or selecting from established approaches, processes, and procedures
• Knowledge of Wealth Management Workstation, Data Highway Workstation, Collections Notification System, Private Client Order Entry, Advanced Service and Processing System, Siebel Contact Center and Microsoft Outlook and Office Suite

Audit Manager, Investor ServicesResume Examples & Samples

• Establish strong working relationships with key stakeholders in the IS organization and with other control functions. Represent Audit effectively in key governance forums
• Ensure risk assessments and audit plan are updated timely to reflect changes in the risk and control environment
• Communicate audit issues and results succinctly in both verbal and written form, and be able to influence effectively

Associate, Audit & ControlResume Examples & Samples

• Ensure inbound customer calls are answered following company standards
• Accurately route calls to recipients or deliver messages in a timely fashion
• Maintain phone directory for location
• Oversee repairs of technical systems (POS, etc)
• Provide financial support through banking reconciliation, invoice coding, petty cash management, chargeback investigations
• Manage Customer’s Own Goods, and other No Inventory Value/No Charge tracking
• Ensure general office practices maintained and a neat and tidy workplace to mitigate loss
• Perform department auditing of company policies and procedures
• Provide support and follow up on audits to ensure compliance
• 2-3 years of previous work experience in a similar environment; retail preferred
• Intermediate knowledge of Microsoft Office including Excel, PowerPoint and Word
• A proven track record of strong attention to detail, exceptional organizational skills, and excellent written and verbal communication
• Be extraordinary
• Drive performance
• Celebrate successes

Cib-auditResume Examples & Samples

• Drive all aspects of audit execution, including audit planning, audit testing, control evaluation, audit report drafting, workpaper documentation and follow up and verification of issue closure. This may include individual performance or leading a team of auditors in planning, testing and reporting on the effectiveness of controls that support CIB Finance. This is conducted in accordance with department and professional standards and will require the presentation of issues to Audit management and client management
• Build and maintain key relationships with LOB stakeholders, establishing a culture of engagement while adding value
• Stay up to date with evolving finance and accounting developments and regulatory and market events impacting the CIB's Finance unit

Managing Director Chief Auditor Franchise AuditResume Examples & Samples

• The Managing Director – Chief Auditor Franchise Audit EMEA will be responsible for designing and effecting a program of assurance and an audit plan to provide assurance on the design and operating effectiveness of the Franchise Governance structure to meet the CCO’s Franchise Governance Objectives
• Act as the lead contact with regulators for all businesses
• Ensure compliance with all sovereign and portfolio limits
• Chair the country's Asset and Liability Committee (ALCO)
• The Managing Director – Chief Auditor Franchise Audit EMEA will be responsible for designing and effecting a program of assurance and an audit plan to provide assurance on the design and operating effectiveness of the structures established to meet the CCO Franchise Growth/Stewardship Objectives
• Leader of Public Sector Business, including responsibility for full P and L, business development and client relationships
• Primary external spokesperson for Citi in country and responsible for all media relations and marketing and communication strategies
• Responsible for the country’s Voice of the Employee (VOE) results and action plans and for monitoring and acting upon employee feedback
• Accountable for direct management, including goals, performance evaluation and compensation, of functional and business heads as designated
• Ensure there is a coordinated and effective external recruiting program with universities, schools, etc. to ensure that Citi is bringing in top entry level talent for the local franchise
• The Managing Director – Chief Auditor Franchise Audit EMEA will be responsible for delivering audit reports in respect of each jurisdiction in which Citi has a presence, in accordance with a risk-based audit plan developed and delivered in accordance with the Internal Audit risk-based methodology
• The Managing Director – Chief Auditor Franchise Audit EMEA will be responsible for managing a team of Franchise Audit auditors supplemented by other Internal Audit personnel on a project-based secondment to a Franchise Audit and also by guest-auditors drawn from the CCOs and control functions

Infrastructure Team Lead Audit ManagerResume Examples & Samples

• 7-10 or more years of total work experience, with at least 6 years in Audit or Risk
• · Experience with general Information Technology controls reviews
• Knowledge of Distributed Technologies (e.g. UNIX, Windows, Storage)
• Knowledge of Voice/Data Networks, Mainframe, or Midrange systems a plus
• Knowledge of Information Security controls

Production Audit InternshipResume Examples & Samples

• He/She will learn to analyze and reconcile payroll information for presentation to outside CPA auditors. This includes setting up files, research, and spreadsheet information in an Excel format
• Prepare spreadsheets on Excel to track, test, and analyze Revenue statements
• The intern will be exposed to various special projects within the Production Audit department, which will expose them to working with different supervisors
• All students must be at least 18 years old
• All students must be available to a minimum of 2 full work days (8 hours/day), and one partial day (4 hours) for a total of 20 hours/week
• All students must have a strong proficiency with Microsoft Excel (sorting, pivot tables, filters, etc) and Microsoft Word
• All students should be perusing Accounting or Finance as a major, and have completed intermediate accounting coursework
• Undergraduate students in their Junior or Senior year
• Familiarity working with Access Databases

Audit InternshipResume Examples & Samples

• Summarize royalty reporting information from over 250 customers and load data into the royalty tracking system
• Aid in testing of system outputs as we add additional customer to the system for royalty report processing
• Help process royalty reports for quarter close process
• All students must be eligible to work in the US
• You must currently be enrolled in an accredited college or university and taking at least one class – OR – be a recent graduate of an accredited college or university within the last six (6) months - OR - be currently participating in the Disney College Program, Disney Culinary Program or Disney Professional Internship Program in order to qualify for this internship
• All students must be available during the months of January through May for the 12-15 week program
• All students must provide their own housing and transportation for the duration of the internship
• All students must have a strong proficiency with Microsoft Excel and its functionalities
• Ass students should be organized with a high attention to detail, self motivated, and adaptable
• Students must be pursuing or recently graduated with a degree in Accounting, Finance, Business or related field
• Cumulative GPA of 3.0 or higher
• Demonstrated interest in Television and the Entertainment Industry
• Previous experience (academic or previous internship) in the Media/Entertainment industry

Head of AuditResume Examples & Samples

• Develops Internal Audit Plan for Kuwait ensuring that the governance, risk management and control concerns of country management are considered in the planning, and plan updates, and that Internal Audit provides a suitable, prompt assurance in respect of the areas of concern identified
• Manages the Branch Examination program for Kuwait
• Performs moderately complex audits related to Corporate Banking, technology management; project/program management; or supplier management in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions

TTS Audit Lead-menaResume Examples & Samples

• Develops and executes a robust Audit Plan, by reviewable entity, for TTS activities in MENA cluster in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
• Directs complex audit activities for TTS businesses at the country and cluster level
• Applies comprehensive expertise in TTS business and leverages this knowledge into a leadership role in one or more teams
• Proactively advances integrated auditing concepts and use of technology and CAATTs. Closely follows latest trends in own field and adapts them for application within own job and the business
• Manages a critical unit within Internal Audit, including a medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. 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 technology management; project/program management; regulatory compliance or supplier management
• Develops effective senior line management relationships and has a good understanding of the TTS businesses
• Serves as lead reviewer and/or lead manager for all types of reviews, including the most complex
• Senior level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
• Specific subject matter expertise including a solid business understanding of corporate and retail banking products
• Relevant experience auditing banks with comprehensive knowledge of Transaction Banking products
• Demonstrates experience in managing teams and/or managing integrated internal audit and assurance delivery within a matrix reporting environment

SVP General AuditResume Examples & Samples

• Manages and directs the completion of corporate, finance, operations, compliance, personal financial services, consumer finance, domestic private banking, retail brokerage and support area audits, as well as business monitoring activities, special projects and investigations of assigned major areas of the Company to independently assess risks and evaluate controls and compliance with established policies, procedures and regulations, making recommendations for improvement
• Ensures external audit or regulatory criticisms of assigned businesses are corrected
• Minimum of a bachelors degree in business, accounting, finance, related field or equivalent experience; professional certification (CPA, CA, or CIA) preferred
• Extensive knowledge of the Company, Group and financial services industry, businesses supported and the regulatory framework they operate in

Audit Response AnalystResume Examples & Samples

• Review loan level system data, as well as file documentation, to ensure compliance with governmental and investor guidelines
• Responding to audit evaluations
• Assisting Process Improvement team with establishing remediation plans or addressing training needs, as required
• Identifying trends based on aggregated data
• Compile data for each loan reviewed and corrective action needed based on criteria established by clients, government programs and/or management
• Adhere to all other policies and procedures within the department and/or company
• Other duties assigned
• Good computer skills. Knowledge of Microsoft Windows, Word, and Excel
• Confident and professional demeanor and appearance
• Willingness and aptitude to learn new tasks
• Ability to identify incongruous data efficiently and accurately
• Willingness and ability to work in a fast paced environment and to handle a large volume of projects/tasks
• Detail oriented and excellent communication and organizational skills – able to communicate results of file reviews to Asset Managers in a clear and concise manner
• Self-motivated with independent problem-solving skills
• Prior Asset Management experience is preferred
• 2-3 years Loss Mitigation/Loan Workout experience preferred

AuditResume Examples & Samples

• Plan,execute and document audits with limited supervision in a risk focused manner and to a high standard in accordance with department and professional standards
• Evaluate,test and report on the adequacy and effectiveness of the control environment
• Travel to overseas business locations as required, approximately 20-30 per cent should be anticipated
• Recognized accountancy professional qualification is desirable

Audit Corporate & Investment Bank Auditor Assistant VPResume Examples & Samples

• Participate and lead audit engagements from planning to reporting and deliver quality products within department and professional standards
• Partner with colleagues and stakeholders to evaluate, test and report on the adequacy and effectiveness of management controls
• Finalise audit findings and use judgment to provide an overall opinion on the control environment
• Build and maintain key relationships with stakeholders,establishing a culture of engagement while adding value
• Effectively manage teams where required, performing timely review of work performed and providing honest and constructive feedback
• Stay up-to-date with evolving industry and regulatory changes impacting the business
• Travel to overseas business locations as required. While the amount of travel will vary depending upon business need, approximately 20-30 per cent should be anticipated
• Education to degree standard is preferable, as is a relevant professional qualification.All relevant educational, business or accounting qualifications will be taken into account
• Knowledge and preferably experience of Investment Banking (M&A, ECM,DCM), Trade Finance and Lending, ideally from an audit or risk perspective
• The ability to effectively work within a team
• Enthusiastic,self motivated, effective under pressure and willing to take personal risk and accountability

Audit Manager Mortgage TechnologyResume Examples & Samples

• Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
• Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting
• Manages audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan
• Applies in-depth level of expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams
• Proactively advances integrated auditing concepts and use of technology
• Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. 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: Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management
• Leads the professional development of Internal Audit staff
• Develops effective senior line management relationships and has a strong understanding of the businesses
• Applies an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach
• Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity
• Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
• Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
• Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyzes reporting findings; Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
• Serves as lead reviewer for all types of reviews
• Reviews and approves Business Monitoring Quarterly Summaries
• BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
• Senior level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
• Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of consumer products, especially those associated with the Mortgage business
• Demonstrates experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment
• Strong interpersonal skills for interfacing with all levels of internal and external audit and management

Audit ManagersResume Examples & Samples

• Secure and enhance relationships with senior client management
• Demonstrate professionalism and competence in all interactions with the client
• Approve engagement budgets and agree fees, where appropriate
• Counsel, coach and mentor staff
• Ensure that the engagement partner is informed about important audit or accounting issues on a timely basis
• Excellent technical and industry sector expertise –
• Demonstrate successful management of a number of

ISA Audit Manager ITResume Examples & Samples

• Maintain a complete, comprehensive and accurate auditable universe for the assigned areas of responsibility within the technology audit to manage and support local product and functional auditing
• Work collaboratively on assignments with Internal Audit teams in Citi and keep abreast of evolving German regulations on Risk management and ensure that these are appropriately addressed in Internal Audit’s risk assessment and audit planning processes
• Must hold a recognized professional qualification (QiCA) Qualification in Computer Auditing) and/or CISA (Certified Information System Auditor)
• Must hold a university degree in finance/mathematics or in a technology related discipline e.g. computer science
• Should have well-developed computer audit experience
• Must have a good understanding of operational risk management and control best practice across the financial services industry together with extensive knowledge of MaRisk, and a high degree of familiarity with financial sector regulation more generally. Should have a good level of knowledge of liability issues and standard documentation. Competencies
• Proficient in auditing and validating models, including the requirements of key regulators
• Proficient understanding of what client sector information and fact patterns are leading indicators for changes in overall risk to a business
• Good knowledge of understanding and developing risk metrics and reporting
• Expert understanding of decision making and approval for key issues and time-sensitive decisions
• Well-developed interpersonal and presentation skills; the Candidate will have to interface with local external regulators and should have executive presence
• Ability to develop strong relationships with stakeholders and to lead teams of direct reports and in peer/influence models
• Should have a demonstrable track record in the financial services industry and in-depth experience in audit
• Candidate must have solid career progression within bank/audit institutions; at least 5 year experience in an IT - management position
• Experience should have been gained in highly respected diversified institutions with complex and diverse products and customers
• Proven experience in understanding, dimensioning and mitigating operational impact on all aspects of an operating business across multiple countries
• Candidate must have a very good knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. Must be proficient in risk and control analysis and audit concepts for a range of products and specialized areas and be skilled at analyzing root causes of problems and anticipating ‘horizon’ issues
• Must be a strong leader with a proven track record in managing teams
• Must have effective negotiation skills, a proactive and 'no surprises' approach in communicating audit results and strength in sustaining independent views. Strong presentation and relationship management skills are essential
• Must be an articulate and effective communicator in English and German, both orally and in writing, with an energetic, charismatic and approachable style
• Must have effective persuasion skills, the ability to work effectively at a variety of levels in the organization, display highly effective networking and influencing skills and also needs to be comfortable acting as an agent for positive change with agility and flexibility

Operations Risk, Controls & Audit VPResume Examples & Samples

• The successful candidate will work with each of the operational departments, assessing the risk profile of high-risk processes and developing a robust risk framework that pro-actively identifies and mitigates emerging risks
• Proven ability to operate at a Senior Business Analytical level and an excellent understanding of end to end operations processes as it relates to Funds
• Audit experience (either internal audit or practice) preferably within financial services industry
• Minimum of 10 years’ experience in financial services or similar environment
• Proven ability to handle complex and sensitive client requests
• Strong technical knowledge of Fund Products and regional regulatory requirements
• Demonstrable ability to interact with senior management and clients showing in-depth knowledge of Funds Services
• Proven ability to meet new challenges, assimilate new information and to influence people through maturity of approach
• Excellent written and verbal communication skills and ability to communicate and influence at an appropriate level
• Excellent Change and Project Management skills
• An advanced Customer Service mind-set with skill to instil a client centric culture across operations
• Superior people leadership/management skills with the ability to engage employees and colleagues in relation to the future vision of the organisation

CIB Markets AuditResume Examples & Samples

• Implement an audit program of coverage which involves effective risk assessment and design of a risk prioritized coverage approach
• At least 5 to 8 years of audit and business experience in covering investment bank products with detailed knowledge of capital markets products
• Minimum Bachelor's degree in Accounting, Finance or related discipline. CPA / CA, CIA, CAMS or equivalent certification preferred
• Well versed in Asia laws and banking regulations (e.g. anti-money laundering, sanctions)
• Good understanding of internal control concepts
• Strong Excel, Access or ACL skills considered a plus

Auditor Mortgage Banking AuditResume Examples & Samples

• 3+ years of audit and/or Mortgage Banking Originations experience, including roles as a project lead
• Basic knowledge of Information Technology control concepts, preferred
• JPMorgan Chase is an equal opportunity and affirmative action employer M/F/Disability/Veteran

Audit Managers, Asset Management Emeia FSOResume Examples & Samples

• Ensure the technical correctness and presentational standard of all client deliverables
• Liaise with other service lines and other audit managers to ensure efficient utilisation of knowledge and resources to deliver services
• Manage the execution of the Professional Development Plans of his or her people to build their careers
• Significant post qualification experience (Big four preferred)
• Relevant external audit experience in the Financial Services industry, particularly in Asset Management

Japan AuditResume Examples & Samples

• Be a motivated individual who can implement an audit program of coverage which involves effective risk assessment and design of a risk prioritized coverage approach
• Participate actively as a member of the Global CIB Markets audit team, disseminating best practices globally as well as regionally
• Good understanding of internal control concept

Audit Manager, Wealth ManagementResume Examples & Samples

• Leading a workforce that is knowledgeable about our business and specialized within their audit field, understanding the external market, thinking about the efficiency and effectiveness of management and control processes, being seen as highly credible and using their ingenuity to add value
• Apply sound judgement in the execution of the assigned work
• Ensure open and effective lines of communication are maintained with the client in particular for the work undertaken by the role
• Effectively execute sections of the audit as assigned by the Director or SAM
• Conduct such projects as may be assigned by Director, Senior Audit Manager
• Provide proactive leadership and direction to Audit Analysts and Associates as may be required, supporting performance assessments by the Director/Senior Audit Manager
• Solid knowledge of the subject matter of assigned Centre of Competency

Caps & Audit RTBResume Examples & Samples

• Work with run the bank support function and will be responsible for timely delivery of various reports
• Data analysis for adhoc queries and create new report for Operations and Technology control, Front Office, Middle Office and Operations managers
• Performs effective QA controls and ensure data integrity
• Understand end-to-end production process
• Participate in regular project reviews with key stakeholders
• Improve existing reports/deliverables, both tactical and strategic
• Ensures queries are dealt with expeditiously & followed up with a strategic remediation
• Participate in meetings with managers and subject matter experts to define and gather requirements and overall objectives
• Execute test plans that will ensure business requirements have been met / create test scripts including specific test cases and expected results
• Coordinate testing with the managers and subject matter experts to drive acceptance of data – includes providing daily reporting using business objects
• Define and build the necessary controls to ensure reporting integrity by comparing data with source platforms
• Knowledge of MS Access and MS Excel skills required (e.g. VBA, Vlookup and Advanced Macros)
• Expertise in Word, PowerPoint and Sharepoint are essential
• Strong in data warehouse and B.I. tools – Business Objects and SQL
• Experience in one of the Asset class Equity, FX, Futures, Commodities, OTC Derivatives
• Experience in working in new BPO / offshore location will be an advantage
• Strong knowledge of Front to back process for one or more asset classes
• Good understanding of Project management methodologies and tools
• Flexibility to handle multiple tasks and changing priorities
• Quickly grasp and master new requirements and related knowledge
• Ability to work independently, multi-task and take ownership of various parts of the project
• Willingness to ask questions, challenge the process and seek out answers
• The following are considered a plus

Senior Analyst, Fcra AuditResume Examples & Samples

• Provide timely response and appropriate documentation to claims, settlement items and questions from Senior Manager, Director, Executive Director and SVP, as necessary
• Perform research and detailed analyses for various issues, including whether statement modifications are necessary as a result of audit
• Read and understand extracts of legal agreements, related correspondence, and applicable systems used for reporting
• Maintain system of organization to monitor audits from fieldwork through to settlement; maintain high-quality audit binders and workpapers; escalate issues to Senior Manager in a timely manner
• Perform ad hoc analyses and special projects as assigned
• 2–3 years of accounting, audit or finance related experience required
• Experience working for an Audit firm preferred
• Experience in Participations or Residuals desired
• Strong planning, organizational and analytical skills
• Strong ability to interact professionally with outside auditors and all levels of company personnel and management
• Proficient in Microsoft Office applications such as Excel and Word
• Proficient in SAP general ledger
• Proficient in math and algebra
• Strong overall understanding of participations, including the ability to read and understand extracts of legal agreements
• Strong time management skills and ability to multi-task
• Must be a confident individual, who is a quick learner and a self starter
• Must be able to meet tight deadlines in a fast-paced environment and work overtime, as needed
• Must be able to maintain confidential information

Forensic Audit ManagerResume Examples & Samples

• Perform and lead the Special Reviews team in its digital forensic reviews on computer hard drives (e.g. Windows, MAC, etc.) and other electronic devices to retrieve and analyze evidence (e.g., email, electronic documents, Internet history, etc.) relevant to investigation. Stay current with and determine the team’s forensic needs and be able to share knowledge with leaders and team members
• Identify, build, and maintain proactive measures enterprise-wide including fraud risk assessment, fraud data analytics, antipiracy efforts, and special audits
• Analyze complex financial data (e.g. transaction reporting within SAP, travel & entertainment expense reports, vendor data, competitive bid information, etc.), personnel files (training records, etc.), and other data sources (e.g., Internet research) to identify evidence relevant to investigations
• Interview employees of all levels (e.g., hourly, executive, etc.) in a professional and courteous manner to obtain information
• Formulate well-written, concise and clear memorandums to summarize cases and be able to present findings/recommendations to the Senior Manager of Special Reviews. Identify the impact of potential control weaknesses to financial statements and IT security systems based on the results of the investigations
• Build effective relationships and work closely with senior personnel in Legal, Human Resources, Finance, IT, and Security, at all business units. Network with other forensic investigators within the Company. Tailor communication style depending on the situation and level of employee being addressed
• Maintain database for incident reporting and assist in preparation of reports for executive management on at least a quarterly basis
• Minimum 5 years work experience in public accounting, consulting, or in an investigative position, including at least 3 years in a computer/digital forensic role
• Computer forensics skills (e.g., EnCase)
• Good judgment and high level of ethics and integrity
• Ability to handle and be accountable for multiple aspects of several projects simultaneously, provide accurate data, and communicate effectively
• Demonstrated forensic investigation skills, including the ability to develop an investigation approach/strategy, effectively interview employees associated with the investigation, obtain and analyze evidence, draw relevant conclusions, and recommend control enhancements
• Strong knowledge of PCs, MACs, and mobile devices
• Familiarity with Internet protocols, newsgroups, social networking, peer to peer networks, and computer and Internet based investigative tools
• Familiarity with forensic tools (e.g., FTK, Cellebrite, Blackbag, etc.)
• Strong analytical, interviewing, decision-making and problem-solving skills
• Ability to conduct public records checks and internet searches
• EnCE or equivalent digital forensic certification
• CPA, CFE, CISA, or other relevant professional certifications
• Bachelor’s Degree or higher in accounting, finance, business, IT Systems, Computer Science or other relevant degree and be able to demonstrate a fundamental knowledge of accounting principles, internal controls, investigative procedures, and computer/digital forensics

Part Qualified Audit ExecutivesResume Examples & Samples

• Demonstrate an application and solution-based approach to problem solving, referred to for research on delivery of solutions in that field on client assignments
• Demonstrate expertise in using GAM to perform an assurance engagement in compliance with auditing standards
• Identify areas requiring improvement in the clients' business processes and possible recommendations and prepare and deliver Management Letter to be provided to the client
• Degree qualified (1st Class degree)

Manager, Integrated AuditResume Examples & Samples

• Assist in development and execution of the annual plan
• Plan, conduct and supervise engagements with a focus on analysis and assessment of the control environment associated with the financial reporting, operational and compliance processes
• Identify and maintain leading edge knowledge and audit techniques to improve the audit process and results
• Formulate well-written, concise and clear audit reports
• Perform a regular, periodic follow-up on significant audit findings and recommendations to evaluate the adequacy of corrective actions
• Develop and maintain relationships with external auditors
• Coach, train and mentor audit managers and staff in improving audit skills
• Investigate and research technical accounting and auditing matters
• Participate in various company-wide initiatives, such as system implementations and reviews of policies and procedures
• 5+ years of integrated financial/IT auditing experience (Big 4 audits experience preferred)
• Practical hands-on management experience working with the internal audit function of a reputable public company is highly desired
• CPA or equivalent experience required
• Strong quantitative and analytical skills combined with solid business and financial acumen
• Superior knowledge in technical accounting, internal controls and control environments
• General understanding of database-driven financial reporting (Cognos, etc.), accounting systems (SAP preferred) and their associated controls and control environment
• Ability to adapt quickly in a fast paced environment
• Charismatic, dynamic leader and effective manager, who leads by example and mentors a team to meet high profile and dynamic objectives
• Strong relationship building skills and a highly professional “client service orientation”
• Excellent team player, who possesses solid interpersonal and organizational skills
• Must possess high energy level, decisiveness and strong work ethic
• Able to work in a flexible team environment and handle multiple assignment simultaneously
• Willingness to travel 25-40% domestically and internationally
• 7 years of professional experience, with Media and Entertainment industry experience
• CIA, CISA or CISSP strongly desired (or in process)
• Oracle Database
• UNIX & Window operating systems
• Bachelor’s degree in Accounting, Finance of Computer Information Systems

Audit Manager, IT Infrastructure AuditResume Examples & Samples

• Lead annual planning activities as required
• Foster and promote a cohesive team and positive work environment that is consistent with TDBFG’s Guiding Principles and Leadership Profile while encouraging innovation, creativity and collaboration
• Job Description continued under additional information

Audit Manager Team LeadResume 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 track management's corrective actions in response to control findings and verification of issue closure
• Work with line of business auditors in the early identification of emerging control issues and reporting them to line of business and audit management
• 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
• Bachelor's degree in Accounting, Finance, or a related discipline
• At least eight years of experience in a Financial Services firm or in public accounting, with an appropriate level of exposure to and involvement with Risk management. Knowledge of Operational Risk, Credit Risk, Basel and CCAR is considered a plus
• Experience in risk analysis, report preparation, risk assessment, issue/impact analysis and executive report preparation required

Audit Manager, Value For MoneyResume Examples & Samples

• Contributing to the sustainability of a strong internal audit practice, demonstrating a high performance culture which embeds the “Our Way” principles
• Providing fair and balanced insights into current, emerging and potential issues, trends and opportunities that will enhance efficiency and effectiveness of management
• Execute assigned audit procedures with the recognition of the risks of the client group which encompass the inherent risks, control risks and internal/external environmental and regulatory risks
• Ensure open and effective lines of communication are maintained with the client contacts assigned to the role
• Support the culture within CAD as it continues to evolve
• Assist in advancing the Division’s overall practice through insights on methodologies as may be required
• Masters/Graduate degree in Social Sciences and/or Humanities or CMA or equivalent
• 3-5 years of direct relevant experience in a business/corporate function, management consulting
• Background in Project Management or Process Improvement – PMP and/or Six Sigma
• Excellent level of interpersonal, relationship management and communication skills
• Working level negotiation, influencing and conflict resolution skills

AuditResume Examples & Samples

• Continue to strengthen and manage relationships with senior GIM business leaders and related control groups
• Manage relationships and field requests from EMEA and U.S. Regulators such as the FCA and OCC
• Present to relevant Committees including Operating Committees and Risk Committees in EMEA
• Stay up-to-date with evolving industry and regulatory changes impacting the business
• Experience preferably in Asset Management Audit
• Professional accountancy qualification and/or other professional certifications, IMC, CFA are a plus

International Audit ManagerResume Examples & Samples

• Manage all aspects of risk-based financial, operational, integrated, and compliance audits in TRU international markets including: planning; development of process flows, risk matrices, audit programs, and audit work papers; fieldwork; clear and concise report writing, and presentation to Internal Audit and Senior Business management. Ensure audit management responses are tracked and appropriately implemented per agreed upon timeline
• Manage execution of various special projects and corporate initiatives including performing fraud investigations and preparation of Item 13 in TRU’s 10-K
• Manage and train a Senior Auditor to complete all assignments within budgeted timeframe and cost
• Identify process improvements and cost savings opportunities during completion of audit
• Build and maintain relationships and effectively communicate, as key audit partner and consultant, with all levels of management, other members of Internal Audit team, and external auditors
• Lead International Global Risk Assessment efforts with International Senior Management
• Will have a Senior International Auditor report to them dotted line and work alongside another International Audit Manager. The Manager will be co-responsible for team member development and talent enhancement
• Bachelor’s Degree in Accounting or Finance. CPA, CIA, or MBA preferred
• 6-8 years of experience in financial, operational, integrated, and compliance audits. Experience with international audit and operations in a retail environment is highly desirable
• Minimum of 3 years managing financial audits and leading others; ability to effectively foster positive team member engagement, manage performance, and provide coaching to enhance skill development
• Ability to partner effectively with other Financial and IT Auditors and work as a team
• Excellent communication skills, both oral and written; able to express complex ideas in simple terms; well developed interpersonal skills, including the ability to challenge; very strong analytical and quantitative skills; ability to rapidly assimilate knowledge of retail processes and systems

Audit Manager Cork CityResume Examples & Samples

• Leading and coordinating assignments in a highly professional manner
• Management and development of a team of accountants
• Working closely with clients and playing a support role in advisory and business planning

Audit & Accounting ManagerResume Examples & Samples

• Management of key client relationships
• Ensuring completion of assignments within appropriate budget and timeframe
• Responsibility for development and mentoring of trainees and staff
• Due diligence assignments

Credit Audit ManagerResume Examples & Samples

• Graduate business degree or at least 10 years of relevant experience in credit risk management, commercial lending and/or workouts
• Specific knowledge of all phases of effective credit administration, policies, procedures, commercial lending and analytical practices
• In-depth knowledge of internal controls and risk assessment
• Strong knowledge of US Banking Regulations
• CPA, CIA, CFA or CRC designations are desirable
• Working level negotiating and influencing skills

Audit Semi-seniorResume Examples & Samples

• Good experience working on audit and audit exempt companies
• Exposure to both personal and corporate tax returns
• Exposure to Company Secretarial work and annual filing requirements of companies
• Ability to work individually and as part of a team
• Ability to work concurrently on various assignments
• Ability to work to tight deadlines as required
• The successful Audit Semi-Senior will thrive in an environment where they will be encouraged to learn and explore career opportunities as they arise

Internal Audit Technology Infrastructure AVPResume Examples & Samples

• 3+ Years experience in risk based auditing or risk/control activities
• 3+ Years Financial services industry experience
• 3+ Years new and emerging financial products and services experience

Internal Audit RatesResume Examples & Samples

• Act as mentor and coach to less experienced team members and support others in developing themselves
• Improve technical knowledge through self-learning or training including mandatory CPE requirements
• 8+ years Investment Banking experience

Internal Audit Ibd AvpResume Examples & Samples

• 3+ years experience in risk based auditing
• 3+ years experience with Investment Banking products (M&A, Debt and Equity Origination, Leveraged Finance), Research function, relevant regulations and market working practices
• Strong audit execution skills and experience in risk based auditing

Internal Audit Securities DivisionResume Examples & Samples

• Develop and maintain an in-depth understanding of business areas, its products, and supporting functions
• Identify risks, assess mitigating controls, and make recommendations on improving the control environment
• Highly motivated with the ability to multi-task and remain organized in a fast-paced environment

Assistant VP of Internal Audit RatesResume Examples & Samples

• 3-7 years of risk-based experience from an investment bank
• Solid Excel skills
• Private audit experience

Director of Internal AuditResume Examples & Samples

• 15+ years of internal audit experience
• Experience building an audit function
• Real estate experience

Audit Manager CcarResume Examples & Samples

• Knowledge of the Federal Reserve Bank requirements for Capital Planning and Stress Testing
• Knowledge of Basel rules and Capital regulations
• Enterprise risk management experience, particularly with Credit, Capital Markets and Operational Risk principles

Audit Manager NfpResume Examples & Samples

• 6-10 years of public accounting/industry experience with a focus on nonprofit clients
• Proven ability to manage client relationships, lead and develop staff, and generate new business
• Prior management role in public accounting
• Experience with yellow book standards

Director of Internal AuditResume Examples & Samples

• 10+ years of audit experience from a public or combo
• MBA in Finance
• CPA
• Experience with healthcare clients
• Big 4 background

Audit Manager NFP GroupResume Examples & Samples

• 7+ years of public audit experience
• Significant experience with NFP clientele
• Strong command of MS Excel

Audit PartnerResume Examples & Samples

• 12+ years of public accounting experience with Real Estate
• Excellent communication & interpersonal skills
• Detail oriented

Avp-ib AuditResume Examples & Samples

• Strong practical knowledge of IT, including applications, and/or infrastructure, risks and controls
• Experience in technology systems/solutions supporting the following areas: Investment Banking, in particular Equities
• Practical application of analytical skills (e.g. process analysis, construct/validate hypothesis) including appropriate communication/reporting of outcomes (e.g. clear, concise and prioritised)

Head of AuditResume Examples & Samples

• To provide updates to the audit committee and wider risk & compliance teams
• Be a regulatory expert able to advise the business on any changes
• Degree Qualification in relevant discipline + any post graduate qualifications
• Experienced people leader with the ability to develop and engage a large team

Audit Manager, Markets OperationsResume Examples & Samples

• Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation as well as business monitoring and governance committee reporting
• Manages audit activities for the Markets Operations at the regional level including a portion of the audit annual plan
• 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: Investment Banking, project/program management or regulatory compliance
• Develops effective senior line management relationships and has a strong understanding of the businesses
• Uses excellent oral and written communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally often at higher levels on matters which will have a major impact on the area managed
• Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyses reporting findings. Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems
• Functions as lead reviewer for all types of reviews
• Performs effective business monitoring and risk assessment including documentation of the relevant Risk Assessment/ Business Monitoring Quarterly Summaries
• Extensive years of relevant audit experience in operations / capital markets. Specific subject matter expertise regarding capital markets and related operational processes
• Demonstrates experience in managing integrated internal audit and assurance delivery within a matrix reporting environment
• Experience in and familiarity with the financial regulations, governance requirements and regulatory expectations (especially, FCA Client Assets (CASS)) will be a distinct advantage. Product knowledge for cash securities, derivatives, FX and the relevant operations processes is desirable but not essential

Director of Internal AuditResume Examples & Samples

• 15+ years experience in financial services, with a focus on treasury and/or risk for a global bank
• Demonstrated experience managing a team, and ability to take initiative to influence and drive results within a complex organization
• Leadership experience in an internal audit function preferred
• Advanced degree and/or professional certifications preferred
• Solid understanding of the financial markets
• This position requires up to 20% travel

Audit Executives / Assistant ManagersResume Examples & Samples

• Demonstrate expertise in primary accounting frameworks (UK GAAP or IFRS) and in related financial reporting matters
• Relevant Financial Services industry experience – in particular, significant experience within the Banking industry
• External Audit Experience

Audit Manager TreasuryResume Examples & Samples

• Understanding of regulatory and financial industry guidance and best practices relevant to the business, including technology implications
• Knowledge and experience in control theory and professional auditing practices
• Professional Certification (CFA, FRM, CIA)

SVP, AuditResume Examples & Samples

• This position reports into an Audit Director who is responsible for GE Capital businesses
• This position is responsible for managing a team of experienced auditors in the areas for GECC globally
• These areas are centrally managed out of GECC's executive offices but include activities across the global organization
• The audits will cover the assessment of GECC's compliance with regulations, internal policies and procedures
• Manage performance and budget of allocated teams through follow-up and reporting of performance metrics
• Provide requested information to regulators and work to assess and validate examiner findings
• Continuously develop and maintain sector/industry/ technical knowledge and share knowledge with team
• Proven experience
• Bachelor's degree or High School/GED with relevant experience
• Detailed understanding of the relevant regulatory requirements for the subject areas and past experience working with regulatory bodies (e.g., Fed, OCC, etc.)

Svp, Audit, Derivatives, TreasuryResume Examples & Samples

• Bachelor's Degree required; MBA or equivalent preferred; Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or related certification preferred
• Minimum 6 years of relevant experience
• Experience working with relevant accounting standards such as FAS 133, FAS 52 and FAS
• 157
• Experience in the valuation of derivatives
• Experience working with the new Dodd Frank requirements
• Experience working with interest rate and FX hedging activities
• Legal authorization to work in the U.S. is required. GE may agree to sponsor an individual for an employment visa now or in the future if there is a shortage of individuals with particular skills
• Additional Eligibility Qualifications

Svp, Audit Credit / AlllResume Examples & Samples

• Delivery of services in accordance with the Department's policies and procedures
• Proactively advance integrated auditing concepts and use of technology. Closely follows latest trends in own field and adapt them for application within own job and the business
• Strong understanding of industry leading practices within the subject areas and the ability to apply them within the GEC International organization
• Ability to challenge the business and influence positive change in the organization
• Ability to build strong trusting relationships with senior business stakeholders
• Ability to suggest policy changes to key stakeholders that will improve GE Capital International's overall risk and control framework/program
• Ability to develop and deliver internal audit's point-of –view with respect to the subject areas to executive management and the CAE
• Ability to develop and execute a short and long term internal audit strategy taking into account industry trends, technology advances, organizational goals and regulatory expectations
• Proven ability to lead teams
• Strong oral and written communication, presentation and facilitation skills

Global Audit DepartmentResume Examples & Samples

• Minimum 4-5 years of audit or relevant business experience
• Knowledge and experience of corporate Compliance activities across Corporate and Investment Banking businesses ideally from an audit or risk perspective. Knowledge and experience of auditing Corporate and Investment bank products would be beneficial
• Self motivated audit professional who effectively analyses risk and proactively identifies issues
• Flexibility to travel as required (up to 25%)

Audit Not-for-profit ManagerResume Examples & Samples

• Excellent client relationship skills and time management skill
• Willingness to take initiative
• Working experience with education institutions, Foundations and other not-for-profit organizations preferable
• Strong experience and understanding of assurance services
• Currently located or willing to relocate to the Fort Wayne area
• Preferred not-for-profit industry experience

Audit Remediation Senior Operations Specialist Merrill EdgeResume Examples & Samples

• Capable of multi tasking and working efficiently under stress and high volume
• Strong organizational, time management and teamwork skills
• Previous knowledge of client account services is helpful
• Strong analytical, negotiation and problem solving skills
• Track record of attention to detail and follow through on assignments
• Apply sound judgement and enterprise-wide mindset in making decisions
• Foster collaborative relationships within and across business units and sectors
• Anticipate and understand client needs and concerns
• Customer Service and/or call center experience preferred
• Working knowledge of Microsoft Office Products; Word & Excel, Access and Power-point

AuditResume Examples & Samples

• ACA or ACCA or equivalent CA qualification
• Experience in working in medium sized audit teams
• Proven track record of establishing and maintaining strong client relationships

AuditResume Examples & Samples

• Coach and train other staff; and,
• Strong business awareness, sound reporting skills and the ability to work under your own initiative
• Must be educated to degree level
• Have significant auditing experience
• Experience of financial reporting frameworks such as UK GAAP or IFRS and auditing frameworks such as UK ISAs
• Extensive experience of the audit from planning to completion, across a diverse range of assignments
• Ability to communicate clearly with colleagues and clients at all levels
• A proven track record of establishing and maintaining strong relationships and providing exceptional client service
• Candidates will also be required to demonstrate the ability to contribute to new initiatives, whether building relationships with target clients or other business development activities
• A reasonable degree of flexibility in relation to travel will be expected to serve the regional nature of our client base
• Demonstrable strong analytical skills and organisational abilities
• Well developed listening and questioning techniques
• Action oriented with a strong desire for continuous improvement

AuditResume Examples & Samples

• Providing audit and business advice to a variety of our clients from small, fast growing clients to large corporate entities
• Your role will be responsible for the on-site co-ordination of audits; including planning the day to day control of the audit team, liaising with clients and completing audit assignments
• Building strong relationships with new and established clients
• Your role will report directly to a Partner, Director, Senior Manager or Manager
• You will have supervisory responsibilities for a team of up to 10 people
• The Senior Associates will coach, train and develop junior team members
• Http://www.pwc.com/uk/en/careers/experienced/applying-to-pwc.jhtm
• Www.pwc.com/uk/diversity

AuditResume Examples & Samples

• Provide an on-site co-ordination role for audit clients including planning, day to day control of the audit team,
• Liaising with clients and completing audit assignments
• Have supervisory responsibility for teams of people

AuditResume Examples & Samples

• Experience of working on prestigious accounts and pieces of work
• Opportunity to work with multinational clients across all sectors
• Exposure to senior management and partners of the firm
• Exposure to current thinking in Corporate Governance and Risk Management
• Leading implementer for International Accounting Standards
• Working as part of a team, liaising with both client and other specialist staff in the practice to provide high quality client services
• Supervising teams and reporting directly to senior staff
• Working as part of our business development strategy team in the local marketplace

Mid Tier Audit ManagerResume Examples & Samples

• ACA or equivalent
• Able to come up with innovative solutions
• A passion for delivering an exceptional client service
• Proven ability in leading audit engagements, including planning, controlling and completing a diverse range of assignments
• Strong analytical and organisational abilities
• Experience of supervising and developing staff through coaching
• Strong project management
• Knowledge of International Accounting Standards and/or US GAAP would be an advantage
• Strong team-working skills
• Always wanting to learn
• Highly developed listening and questioning techniques

Mid Tier-auditResume Examples & Samples

• Focussed and initiative driven (required to maximise growth potential)
• Experience of working with clients in the Mid-Tier
• Proven skills working on a wide range of audit engagements
• Good analytical and organisational abilities
• An ability to develop junior staff through coaching
• Previous experience of working in a UK Audit environment
• Strong team-working
• Desire for continuous improvement
• Good listening

Pensions Audit Manager BristolResume Examples & Samples

• Building and maintaining strong relationships with established and potential clients of the firm, with a key focus on providing insight and understanding opportunities to help with their issues and challenges
• Reporting directly to the engagement leader, working with the team of pensions specialist managers and senior managers across the West & Wales region and our national practice (in addition to the other lines of service, e.g. HRS, BRS)
• Having overall responsibility for the drafting of Audit Plans and Trustee Board papers, including the agreement of them with key client contacts
• Responsibility for the coaching, development and well-being of the team members reporting directly in to you, helping develop the careers of others

Se-audit ManagerResume Examples & Samples

• Audit and business advice to a variety of clients from small, fast growing clients to large corporate entities
• On site co-ordination for audit clients including planning, day to day control, liaising with clients and completing audit assignments
• Supervisory responsibility for teams of people
• Coaching and training other staff

Treasury Audit Manager Banking & Capital MarketsResume Examples & Samples

• Qualified accountant – ACA or equivalent
• Knowledge of retail banking & IFRS, particularly IAS 39 and hedge accounting
• At ease with accounting and business processes as well as auditing concepts and practices
• Excellent interpersonal skills, able to interact effectively with staff at all levels
• Able to work independently and manage several tasks at one time
• High standard of written and oral communication skills
• Good IT literacy including Word, Excel, Visio and Powerpoint
• Exposure to the Murex system

CO OP Audit TechnologyResume Examples & Samples

• Assist in the day-to-day user support and support of Audit and S&I in-house built, and vendor purchased Office Automation systems for our Canadian-based and International staff
• Assist in providing administration and control around network, database and application security management, including logical access and process flows for the reporting applications, databases on the various servers, reports, surveys, and data directories on the servers
• Assist in coordinating end user technology support for our staff with IBM, including pre-acquisition consulting on compatibility and infrastructure requirements, and the resulting development and submission of business cases for new equipment as required. This includes the coordination and execution of Hardware, Software and Operating System updates/upgrades/deployments for workstation, network printers and servers, as well as Asset Management
• Assist in project work related to the review, assessment and implementation of vendor Office Automation systems. Also, assist in the deployment of workstation updates driven by the Bank and IBM, which will include understanding what will be deployed, determining impact on department PCs and processes, and participating in pilot testing prior to the mass deployment to the department
• Strong IT background (Windows 7, XP, NT, Microsoft IIS, SQL Server, Notes R6, VPN etc.)
• Programming and database technology (Note: there may be some limited exposure to programming)
• Solid experience helping users with MS Word, Excel, PowerPoint, Access, VB; basic knowledge of PC networking
• Work effectively in a team environment, have good time management skills, effective listening and communication skills

Global Audit DepartmentResume Examples & Samples

• Minimum 4-5 years of audit experience with exposure to asset management and the financial services industry or relevant business experience
• Knowledge of Investment Management activities ideally from an audit or risk perspective
• In-depth understating of audit practices and methodologies, including risk assessment and understanding of internal control concepts

Gf Audit ManagerResume Examples & Samples

• Min. 8 years of relevant experience
• Bachelor degree holder or equivalent
• Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Consumer technology and applications, especially those associated with the ASPAC region

Chart AuditResume Examples & Samples

• Interacts with outside insurance agencies, patients, and hospital departments including Business office on audits. disputed charges, and hospital charging problems
• Conduct monthly Chart Audit Meeting with hospital department directors
• Works with department managers to ensure daily charge reconciliation is being completed
• CDM Monitoring – coordinates with departments needing to add to or remove items from the CDM
• Ensure implants are being charged and billed
• Reviews clinical denials
• Coordinates with Case Management and prepares appeal letters
• Utilizied CART – Tracks all denials
• Monitors, tracks, and assures response to RAC audits

Audit Manager, CreditResume Examples & Samples

• Assessment of either or both commercial/retail credit underwriting, credit monitoring, accuracy and completeness of credit and collateral documentation, compliance with Bank policy as well as laws and applicable regulations
• Determination that strategic management, policy effectiveness, risk reporting, and risk oversight are adequate
• Evaluating line of business performance against all requirements of Basel III Accord as applicable
• Supporting team members during audits to ensure the quality and adequacy of team work
• Ensuring audit teams adhere to Corporate Audit Department methodology during the course of an engagement
• Managing a high quality relationship within the Team, and with executives and other stakeholders
• Monitoring credit trends within credit risk portfolios in order to provide insights to line of business management as well as using such information in prioritizing and executing necessary engagements
• Ensuring that the Director and Senior Managers are kept informed of all issues relating to risks and controls within portfolios being monitored and audited
• Understanding and performing the role in a manner consistent with regulatory and Departmental expectations for maintenance of a recognized ‘Strong’ audit function
• Significant prior experience in relevant areas of credit risk management, demonstrated ability to produce quality credit assessments
• Experience in commercial lending, credit risk management, loan review, and problem loan workouts
• Undergraduate degree, preferably in fields of finance or accounting
• Effective analytic, verbal, and writing skills
• Ability to work on a team with minimal to average supervision
• Ability to work under pressure when necessary and meet specific objectives timely
• Masters or other advanced education degrees in business or finance
• Relevant professional certification(s) (e.g., CFA, CPA, other)
• Knowledge and experience working with the Basel III Accord, related processes, models, and controls

Audit Mgr, AuditResume Examples & Samples

• Manage audits to ensure timely completion
• Alert the directors of potential major audit findings
• Publish clear and concise audit reports
• Develop annual audit plans based on risk assessment covering financial and compliance audits
• Hire and maintain a highly competent and professional audit staff pursuant to established guidelines
• E-business

Audit Credit MarketsResume Examples & Samples

• Identify and follow up on specific audit issues and ensure appropriate involvement with significant development efforts or projects
• Build and maintain key relationships with stakeholders and colleagues, establishing a culture of engagement while adding value
• Experience of auditing Markets businesses (preferably Credit products) within IB
• Ability to learn quickly and good understanding of internal control and risk concepts
• Strong verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner

Audit Manager, Wealth ManagementResume Examples & Samples

• Drive positive change in the Enterprise based upon high quality work, thoughtful in its preparation and direction. Maintain a working knowledge of the industry, of the client group, the regulatory and broad economic environment availing the client of the knowledge as to the development of new strategies and tactical plans and opportunities
• Leading a workforce that is knowledgeable about our business and specialized within their audit field, understanding the external market, thinking about the efficiency and effectiveness of management and control processes, being seen as highly credible and using their ingenuity to add value. Maintain regular communication with Director/SAM on Division issues concerning the audit engagement
• Continually advance the professional practice. Be seen as knowledgeable within specific technical competency roles aligned to the needs of the Division

Head of AuditResume Examples & Samples

• Senior level experience of diversified financial management experience, including experience in audit in the LatAm Region. Additional international experience preferred
• Thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. He/She must be proficient in risk and control analysis and audit concepts for a number of products and specialized areas and will be skilled at analyzing root causes of problems and anticipating 'horizon' issues
• Good understanding of the regulatory framework and expectations from financial regulators in TTO

Mortgage Audit ManagerResume Examples & Samples

• Receipt and distribution of audit review reports to appropriate parties
• Coordination of remediation, inclusive of assignment / responsibility for research and resolution when applicable
• Research and validate findings and observations. Work with vendor to determine root cause, ensure loan level corrections and possible solutions to process breaks
• Escalate relevant problems and issues identified to management
• Conduct follow-up to ensure responses received timely to meet required deadlines
• Ensure responses are valid and appropriate and meet regulatory requirements
• Recommend efficient and effective processes for managing risk and to streamline processes
• Preparation and submission of timely audit report responses with appropriate parties
• Maintain organized structure of all audit documentation received and submitted
• Manage and maintain management reporting
• Minimum 5+ years’ experience in the mortgage industry
• Strong understanding of residential mortgage Originations and Servicing
• Knowledge of the regulatory environment relating to Mortgage Originations required
• Audit experience preferred
• Ability to work both independently and with team members, under tight deadlines
• Ability to manage a variety of issues and assignments concurrently and to change priorities as needed
• Strong communications skills both verbal and written
• Proficient with Microsoft Office Suite of products (Word, Excel, PowerPoint)

Audit Semi-seniorResume Examples & Samples

• Work directly with client personnel under the guidance and supervision of a Senior or Supervisor
• Communicate directly with clients as directed by Supervisor
• Ability to effectively present information, listen and respond to questions from clients and team members
• Adaptable self-starter with an eagerness to learn

Senior Analyst, Fcra AuditResume Examples & Samples

• Read and understand abstracts and long form legal agreements, related correspondence, and applicable systems used for reporting
• Maintain system of organization to monitor audits from fieldwork through to settlement; maintain high-quality audit binders and workpapers; escalate issues to in a timely manner
• Minimum 2 – 3 years of work experience in accounting, audit or finance environment required
• Experience in Participations desired
• Strong knowledge in Microsoft Office applications required
• Proficient in SAP General Ledger
• Strong math and algebra skills
• Strong ability to interact professionally with auditors and all levels of company personnel and management
• Understanding of Participations reporting, including the ability to read and understand extracts of legal agreements
• Must be a confident individual, who is a quick learner who takes initiative and is results-oriented
• Must be a team player with high-level of interpersonal skills and customer focus
• Must be able to manage multiple tasks effectively, efficiently, with flexibility to changing priorities

VP of AuditResume Examples & Samples

• 6+ years of related experience
• Public accounting and/or private industry experience
• Understanding of the relevant regulatory requirements for the subject areas
• Past experience working with regulatory bodies (e.g., Fed, OCC, etc.)
• Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Public Accountant (CPA)

K Ia-audit ManagerResume Examples & Samples

• 7-10+ years of experience with business process review, improvement and re-engineering theory and procedures in an enterprise level environment
• Negotiating skills, pragmatic approach
• Self-starter, motivated, wants to make a difference
• Wants to be a change agent, make improvements
• Creative thinker, generates ideas to drive forward
• Ability to collaborate in a global matrix managed organization
• Execution of business process review, improvement and re-engineering activities

Audit File Preparation SpecialistResume Examples & Samples

• Attend audit meetings & execute on document requests from staff and LOB owners
• Work from checklists to prepare files for audit or quality reviews; make copies, ensure required documents are included, etc
• Responsible for preparation, quality check and delivery of regulatory file submissions in accordance with agency requirements and company standards
• Organize and maintain file components associated with a regulatory audit. This may include, but not exclusive to, setting up file templates, scanning, printing and indexing
• Responsible for all aspects of the file submission process and/or submission of file components for internal review and signoff, and for submission to regulatory authorities.á This includes all operational tasks including formatting, editing, reviewing, publishing and archiving (paper and electronic) as applicable
• Ensure and confirm that all documentation and records are available for review and are in order. This may include but is not limited to the foreclosure and bankruptcy process
• Communicate effectively with clients via phone, email and client websites to ensure all information needed is received to expedite the audit process
• Random spot checks of files pulled for audit for accuracy. Create inventory list of items delivered to audit requestor; track delivery and receipt
• Organize delivery of requested docs, files, etc. to Audit or Quality Teams
• Perform random monthly checks of files for accuracy and content of prepared file
• Report results of audits, troubled files, etc
• Identify gaps of audit process to prepare for next audit
• Enter and retrieve data from Central File Room and foreclosure tracking systems as needed
• Create and maintain tracking spreadsheets, certification tracking and exception tracking
• Pull and certify files for review according to pertinent investor requirements
• Retrieve notes from system notes to augment file documentation as requested
• Prepare original document for delivery to the collections area so foreclosure proceedings can begin
• Prepared documents and files for image processing when necessary
• Assist in cataloging documentation for imaging
• Operate various office and imaging machines
• Perform general housekeeping in the department and in file room
• Meet and maintain production standards for File room activities
• Perform all work in accordance with established safety procedures
• Perform any other duties as assigned

AuditResume Examples & Samples

• Need to travel/overnight stays away from home: Yes - minimal but depends on ad hoc projects
• Opportunity for flexible working (hours)?: Yes
• Opportunity for working from home?: minimal but depends on ad hoc projects
• Opportunity for job sharing?: No

Audit Manager Asset Management the BahamasResume Examples & Samples

• Develop and maintain productive relationships with audit client management throughout the year
• Establish expectations of value to be delivered
• Stay informed of general business/economic developments and their impact to the audit client
• Conduct timely performance reviews and provide performance feedback/training
• Understand EY and its service lines and actively assess/present ways to apply knowledge and services
• Professional accounting certification CPA, CA, ACA, ACCA or equivalent
• Approximately 2 years of audit experience with a public accounting firm

Audit Manager SpecializedResume Examples & Samples

• Deliver value to the client by providing knowledge, ideas and solutions for improving the business and streamline processes
• Assign a team that will meet and exceed the clients' expectations in standards of service and client care
• Develop and maintain an appropriate external network of business contacts
• Your people responsibilities
• Counsel and coach staff
• Appraise staff in a constructive and timely manner

VP of AuditResume Examples & Samples

• 6+ years of experience out of the Financial Services industry
• Previous experience working within a Broker Dealer
• Experience with Derivatives, FX and Swaps

AuditResume Examples & Samples

• Deep knowledge of several IS/IT areas, notably: governance, projects, developments and SDLC, production, security, risk management, disaster recovery planning, and technical infrastructure components
• Risk oriented knowledge of Infrastructure components, such as: database management systems (e.g., DB2, SQL Server and Oracle), major computing platforms (Windows NT/2000, UNIX operating systems) and client/server architectures, commonly used systems and applications, and web-based technologies, Network components (firewalls, routers, switches, IAPs)
• Knowledge of anti-money laundering (AML) systems used for transaction monitoring or sanctions/OFAC screening, and knowledge of payment processing systems
• At least 5 years of information systems experience, with a minimum of 2 years in Information Systems / Information Technology auditing, preferably within banking/financial institutions
• Experience auditing or working with anti-money laundering (AML) systems used for transaction monitoring or sanctions/OFAC screening, and also payment processing systems (for instance, implementation or configuration of AML/payments related systems)
• Bachelor's degree in Computer Science, Information Systems, Information Technology or a business discipline
• CISA (or to be obtained quickly after the recruitment)
• IS/IT operational experience or IS/IT consulting experience
• Master’s degree in a business or IS/IT discipline
• ITIL, CISM, CISSP, CIA, PMP, and/or Prince2 certification(s)
• CGEIT, CNE, MCSE, MCP, CCSP, CCIE, and/or CCNA certification(s)

Gf Audit Manager GftsResume Examples & Samples

• Drive the coverage of technology risk by applying technical knowledge to all phases of the audit process, and provide coaching to team members during the audit
• Design substantive audit tests to determine the effectiveness of controls and apply critical analysis of test results to determine the level of audit assurance
• Complete delivery of assigned audits within budgeted timeframes and budgeted costs
• Develop knowledge of key regulations that influence audit scope
• Define data needs for computer assisted auditing tools and techniques (CAATTs) to increase the efficiency of the audit process; will either develop and implement CAATTs solutions, or specify requirements for development by CAATTs specialists, in the case of more complex CAATTs
• Articulate objective, evidence-based conclusions on the operating effectiveness of controls and make practical recommendations for the remediation of issues identified
• Mid to Senior level experience in technology audit and/or core IT management processes and related risks and controls, particularly application controls, development, change management, information security and business continuity commensurate experience in business, function and people management, with proven abilities in taking responsibility for executing a succession of high quality deliverables according to strict timetables
• Strong interpersonal skills for interfacing with all levels of internal and external stakeholders with a proactive ‘no surprises’ approach in communicating issues

Audit Manager, IT Infrastructure AuditResume Examples & Samples

• Support the team in the achievement of individual, divisional and team goals
• Proactively identify/lead opportunities for continuous improvement and work with the team/management on their realization
• Represent Audit Division on committees and provide specialized subject matter expertise to clients, Audit Division and regulators
• Develop and maintain in-depth understanding of current technology risks to adequately assess their likelihood and impact
• Keep abreast of emerging risks, trends and issues in information technology
• Conduct research to identify benchmarks and best practices for the management of IT risk & audit practice

Big Banking & Capital Markets AuditResume Examples & Samples

• Provide on site delivery and supervision of audit assignments
• Responsible for completing the audits from the planning stage right through to the final client meeting
• Produce high quality work, keeping within budget and timescales
• There may also be the opportunity to become involved in pitches, proposals and project work

Audit Account ManagerResume Examples & Samples

• Manage day to day delivery of client scope of work, including communication with local EY team and Primary Team
• Track progress around completion of client scope of work, and ensure resources are applied to ensure completion
• Experience auditing global multi-nationals
• Manage the day to day delivery of client scope of work, including communication with local EY teams and Primary Team
• Ensure client engagement economics are monitored in a weekly basis with weekly updates provided to team engagement manager
• Monitor other Audit teams being charged to client accounts to ensure all remain within agreed budgets
• Ensure client platforms are updated for all relevant and required information, on an ongoing basis, and then information held within is accurate and reliable
• Ensure COE process for capturing technology platform content is followed on a day to day basis and drive through any changes to same
• Previous or current experience of auditing client accounts desirable
• Project Management - Ability to manage all aspects of Client account
• Ability to ensure all key deliverables are meet
• Ability to motivate team to meet team and wider COE goals
• Strong delegation skills
• Manage client economics, monitor progress, highlight areas of concern and provide regular reporting to COE leadership
• Report on client deliverable matrix to client relationship manager and COE leadership
• Previous experience of managing audit engagements
• Additional languages desirable but not essential

Director of Internal AuditResume Examples & Samples

• 10+ years of Banking / Audit experience
• In depth knowledge of FBO and CCAR rules
• Understanding of Risk Management and Governance
• Familiarity with key global regulatory reform and impact on foreign financial institutions
• Current working knowledge of Internal Audit Services practices, policies, procedures and systems
• Proficient in auditing principles and techniques
• Project Management skills a must

Audit Manager Anti Money LaunderingResume Examples & Samples

• Execute audit procedures conducted in full recognition of the risks of the client group which encompass the internal risks, control risks and internal/external environments and regulatory risks
• Demonstrate good judgement in application of audit procedures
• Effectively execute sections of the audit as assigned by the SAM or Director
• Conduct such projects as may be assigned by Senior Audit Manager or Director
• Working level interpersonal, relationship management and communication skills

Audit ITResume Examples & Samples

• This role will execute advisory & audit responsibilities for the firms HIPPA compliance program
• Coordinate firms SOC2 engagements with external auditors
• Identify risks, assess controls design, and conduct testing
• Test restricted access and maintain access rules within automated monitoring tool
• Assist and provide electronic audit evidence

International Audit ManagerResume Examples & Samples

• The position is responsible for coordination and communication with external auditors and internal clients, including senior management, and serves as a resource on current and expected internal control topics
• The Audit Manager has responsibilities for management and coaching of multiple audit teams throughout the year and serves as the direct developmental manager for designated audit staff associates
• The position will also lead and/or participate in departmental and/or cross-functional projects and initiatives as identified
• Review and adjust audit schedule based on changes in audit timing, senior management requests, and resource availability
• Inspect overall internal control processes to determine accuracy of financial statement account balances and compliance with laws and regulations, company policies and procedures, and GAAP
• Review internal control processes to evaluate efficiency and effectiveness of processes, procedures, and internal control systems
• Delegate accountability to team members, empowering them and giving them latitude to make independent judgments, within broad parameters, including desired business outcome
• Financial Policies and Procedures: Knowledge of the Company's financial policies and procedures including Standard Practices and Procedures, Standard Accounting Codes, Reporting And Budgeting, Code of Business Conduct, Global Anti-bribery Policy, as well as internal policies and procedures specific to area of responsibility (e.g., Coca-Cola International, Global Business Services)
• Audit Interviewing: Ability to question individuals in order to gather and understand facts about processes, events, or transactions
• Professional Skepticism: Ability and inclination to tactfully yet forcefully pursue understanding and verification to the point of reasonable assurance
• Objectivity: Ability to remain independent and objective when performing audits. This includes adhering to the facts and standards (e.g., GAAP, Standards, Practices, and Procedures) and not being unduly influenced by operating management
• Project Management: Ability to effectively manage projects via detailed actions plans as well as collaborate and follow-up with team members and clients to deliver projects on time and within budget
• Multi-tasking: Ability to process multiple types of information, perform multiple tasks simultaneously, and/or make judgments about moving from one task to another based on their importance
• Network/Resources: Ability to develop diverse network/resources to leverage ‘best in class’ knowledge, approaches and processes

Operational Audit Manager TigardResume Examples & Samples

• 10+ years of audit experience, preferably within a medium to large bank or financial services company internal audit department. Experience working in a Big 4 CPA firm or bank risk management or compliance function is also desirable
• 5 + years in management/leadership roles, overseeing audit/project/consulting teams, evaluating the work and performance of others, and serving as a trusted advisor to senior managers and executives
• Experience simultaneously leading multiple audits/projects covering areas such as core banking functions, back-office operations, systems and processes, financial and/or regulatory reporting, enterprise risk management and regulatory compliance activities, and key projects
• Must have solid general knowledge of banking/financial services business functions, systems, products, and regulatory requirements. Should have specific or advanced knowledge of key banking enterprise risk management areas, such as: operational risk, model risk, credit risk, liquidity risk, reputational risk, etc
• Experience auditing or working on projects relating to key banking requirements, such as DFAST, consumer regulations (e.g., UDAAP, GLBA, etc.), capital planning, etc. also strongly desirable
• Must hold a bachelor's degree in accounting, finance, or a related business discipline or have equivalent work experience. MBA or other advanced degree considered a plus
• Candidate should hold at least one accounting, auditing, risk management, or compliance professional designation, such as CPA, CIA, CFE, CISA, CAMS, etc
• Working knowledge of common auditing and risk management approaches and frameworks, such as GAAP, COSO, Sarbanes Oxley requirements, and regulatory (FDIC, FRB, OCC) expectations of an effective Internal Audit function
• Adept at delivering concise and informative presentations to and interacting with senior executives, regulatory examiners, and boards of directors

Audit File Preparation SpecialistResume Examples & Samples

• High school diploma or equivalent. (Some college preferred)
• Strong organization skills and attention to detail with the ability to prioritize
• Prior PC experience to include moderate to advanced Excel, Word and Access
• Ability to work under moderate supervision; self-motivated
• 1-2 year relevant experience; familiarity with mortgage servicing documents
• Must be able to work efficiently in DokTrak, Ace, Mortgage Serv, UniFi, and Nautilus
• Good verbal and written communication, spelling, grammar and typing skills
• A general expertise of all documents that would be requested by internal and external agencies for compliance reviews

AuditResume Examples & Samples

• Lead and participate in audit projects from planning to reporting and deliver a quality product in line with department standards and expectations
• Monitor and analyze key performance indicators to identify trends
• Develop and maintain business relationships to monitor changes in the control environment
• The position may require up to 15% travel
• Extensive previous experience in auditing and/or technology

Audit Manager Consumer CardsResume Examples & Samples

• Performs independent testing of business data extractions and segmentations for accuracy and applicability to internal audit testing and regulatory requirements
• Develops and supports management information for project management tracking and governance reporting to committees and regulators
• Serves as lead analyst for all types of reviews and leads time based project teams as required
• 5+ years of development experience with SAS Enterprise Guide
• Senior level experience in a related role with experience in providing scheduled and ad-hoc reporting, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables

Audit Quality Review AssistantResume Examples & Samples

• Support delivery of the UK content of the AQR checklist to ensure compliance with UK auditing standards and regulations
• Support the development of briefing material for reviewers
• Work with the AQR team leader, UKI PPD, EMEIA and EYG to agree final ratings for the RIs
• Work with the AQR team leaders to prepare the office Quality Improvement plans (‘QUIPs’) and consolidate these to complete the UK&I QUIP
• Support the delivery of the practice and work with the talent team to communicate those messages
• Support the assembly of all final documentation which is then made available to our regulators for their review
• Help draft the overall report to the Board on the AQR process
• Support the QAD review process
• Knowledge of auditing standards
• Proven ability to familiarise yourself quickly with new methodologies or deep knowledge of “GAM”
• Project management and report writing skills

Audit Quality Review ManagerResume Examples & Samples

• Developing your technical skills by doing research to respond to technical queries and consultations over a wide range of areas, including going concern and modified audit reports
• Independence – practical implementation of independence standards and policies within the audit service line (eg audit documentation, independence communication to clients)
• Implementation of Global policies within the UK related to the Assurance Practice Manual and the Global Reporting Manual
• Developing, updating and maintaining audit reports and engagement letters for changes arising from global policies and UK regulation/standards
• Regulatory developments – assist in drafting the Firm’s response to consultation papers issued by various professional bodies
• Thought leadership – Based on regulatory developments affecting the Firm and the profession, help develop thought leadership and publications for use by clients and audit teams on various topical issues
• A challenging mind-set,
• Ability to quickly assess the practical consequences of different strategies,
• Ability to deliver difficult messages in a clear and constructive manner,
• Ability to influence others, excellent written skills,
• Strong technical knowledge,

Audit Manager, TechnologyResume Examples & Samples

• Bachelors degree in Finance / Accounting
• 3-6 years of experience
• 3-6 years in public accounting, internal audit or related financial services field
• May also require 3-6 years experience in Technology Audits, MIS or a combination of Audit experience with Technology skills
• Experience leading small to mid-sized projects

Audit Team ManagerResume Examples & Samples

• Bachelors degree in Accounting, Finance, Business or Management Information Systems or equivalent degree required
• Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA) or related certifications preferred. Normal office environment
• Responsible for effectively managing staff to achieve performance team metrics, develop and motivate staff to achieve personal effectiveness; mentor, train and share high level knowledge
• Assist in the building of strategic partnerships with assigned business lines, AEGON domestic and international units, and third party organizations to help achieve department goals
• Participate in project oversight group meeting as directed by the Assistant Director for projects within the respective business lines
• Ensure staff demonstrates appropriate customer service and sense of urgency
• Working closely with the various Audit Project Managers, maintain an effective team schedule which ensures the full and proper use of business lines resources
• Look for opportunities to improve existing conditions and processes, implement solutions, and measure impact
• Assist the Audit Project Managers with the planning, execution, and reporting of specific projects under his/her direction as directed by the Assistant Audit Director
• Embrace and effectively drive the concepts of a strengths-based organization

Svp Gfa AuditResume Examples & Samples

• Minimum of fifteen years proven and progressive audit and/or accounting experience or equivalent
• Minimum of a bachelor’s degree in business, accounting, finance, related field or equivalent experience, and a MBA or professional certification
• Extensive knowledge of the Company, Group, and financial services industry, businesses supported and the regulatory framework they operate in
• Strong managerial, communication, analytical, problem-solving, organizational, lateral thinking and interpersonal skills

Zpa Product AuditResume Examples & Samples

• Highlighting the quality situation for the respective areas concerned clearly
• Presentation of the problems and analysis
• At least 3 years job related experience with automotive painting processes
• Technician/Mechanic certification or apprenticeship
• Familiar with the painting layers and its surface effects on the car
• Knowledge of paint-shop sealing process
• Presentation and computer skills (MS Office package)

Audit Manager, AdministrationResume Examples & Samples

• Provide on-the-job training, technical advice and counselling to junior staff
• Identify and suggest opportunities to improve Audit process and the operations
• Knowledge of auditing practices, procedures, and principles sufficient to analyze client operations. Ability to select the most suitable audit approach, and adapt to the requirements of the audit situation. Apply audit methodology in non-traditional ways including data analytics
• Should have Bachelors or equivalent degree in Business, Accounting, or designation (CIA, C.A, C.M.A., C.G.A., C.P.A., C.F.A.), or related field
• Developed working knowledge of the regulatory environment that governs the Bank, specifically the Bank Act, OSFI guidelines, IIROC regulations, and in-depth knowledge of Canadian Anti-Money Laundering regulations. Certified Anti-Money Laundering Specialist (CAMS) designation would be an asset
• Successful candidates must exhibit CIBCs values of trust, team work, and accountability
• International travel may be required (up to 20%)
• May be required to work outside of standard hours to meet deadlines

Domestic Audit ManagerResume Examples & Samples

• Function Specific Knowledge and Skills
• Audit Interviewing. Ability to question individuals in order to gather and understand facts about processes, events, or transactions
• Objectivity. Ability to remain independent and objective when performing audits. This includes adhering to the facts and standards (e.g., GAAP, Standards, Practices, and Procedures) and not being unduly influenced by operating management
• Schedule and allocate resources according to the audit plan based on team members' calendar, preference, and skill level

Audit Manager With SOX ExperienceResume Examples & Samples

• Competitive salary
• Prepare audit reports on the condition/adequacy of the company’s control environment
• Supervise audit staff and providing regular performance feedback
• Minimum 8 years of experience

AuditResume Examples & Samples

• Lead and participate in audit projects from planning to reporting with limited supervision and deliver a quality product in line with department standards and expectations
• Stay up to date with the global and regional regulatory and market environment, especially as it pertains to Asset Management and Finance
• Professional accountancy qualification and/or other professional certifications
• Relevant experience in financial services in public accounting or in internal audit
• Well versed in GAAP including recent accounting pronouncements. Working understanding of UK, EU, US SEC and Regulatory Reporting
• Previous experience in one or more of the following areas preferred: finance and accounting, regulatory compliance, and asset management

Infosec AuditResume Examples & Samples

• Support Audit, Compliance, and Regulatory programs for Information Security and its Technology organization internal business partners
• Participate in a primary capacity for audits, compliance, and regulatory activities, including, but not limited to: FFIEC, GLBA, SSAE16, PCI, Sarbanes-Oxley (SOX), Internal Audit, & Customer/Client Inquiry
• Possess knowledge of the information security, financial, and/or technology regulatory environment and risk management practices
• Provide oversight and align resources for program activities across a global security organization
• Work collaboratively with corporate compliance, internal audit, enterprise risk management and various technical teams in the design and implementation of audit, regulatory, and compliance practices for Information Security
• Promote proactive readiness activities and enhancement of Information Security-based internal controls to support future internal and external reviews
• Develop data points into Information Security risk management reporting activities, including dashboards, metrics, and executive reporting content
• Advises Information Security leadership on the status of technology risk and compliance issues based on assessment results and information from various monitoring and control systems
• Must have 7+ years of work experience in Information Security, Audit, Risk, and/or Compliance. Open to experience in other relevant fields (i.e., finance, business administration, information technology, etc.) as along as candidate can demonstrate relevancy to this Information Security based role
• Must have 3+ years direct participation and experience across common industry security policy areas, including, but not limited to ISO, NIST, COSO, COBIT, PCI, FFIEC, SOX, SSAE16, and others
• Bachelors Degree in Business, Information Systems Management (or related field) or equivalent work experience
• Proven experience working with multiple individuals on internal and external delivery and communication initiatives
• Ability to synthesize a variety of data points into comprehensive and effective execution and risk mitigation plans
• Strong executive presence and communication skills - experience in Audit/Compliance/Regulatory discussions and proactive readiness activities with internal partners and external customers/clients
• Delivers effective and strong documentation to support compliance and certification audits
• Must be extremely flexible and able to manage multiple tasks and priorities on very tight deadlines
• CISSP, CISA Certifications preferred

VP of AuditResume Examples & Samples

• 5+ years of Financial Service / Banking experience; 5+ years of Internal Auditing experience in the Financial Services industry
• Experience of key Regulations impacting Investment Banking Industry
• Experience with auditing Global Financial Crime Regulations, including KYC, AML, and Sanctions

Director of Internal AuditResume Examples & Samples

• Understanding of risk management and governance
• Proficient in auditing principles and technique
• Proficient in Risk Management and Audit expertise

Gf Audit ManagerResume Examples & Samples

• Develops and executes a robust audit plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
• Delivers on time high quality audit reports, Internal Audit and regulatory issue validation and where appropriate, branch examinations, as well as business monitoring and governance committee reporting
• Recruits staffs, develops talent, builds effective teams, and manages a budget
• 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: consumer or investment banking, technology management; project/program management; regulatory compliance or supplier management
• Analyzes reported findings

Audit Manager DataResume Examples & Samples

• Contribute specialist expertise in areas of scope (product, technology and data) and provide coaching to team members in all phases of the audit process
• Develop strong understanding in one or several of the Enterprise Data Management processes, institutional banking businesses and global functions audited and the role of technology to support the business processes
• Articulate objective, evidence-based conclusions on the operating effectiveness of controls supported by clear and concise rational, and make practical recommendations for the remediation of issues identified
• Participate in strategic Internal Audit projects and initiatives
• Consult with and provide guidance to local and regional audit teams seeking subject matter expertise
• Working knowledge of financial products (Equities, Fixed Income, Derivatives, Funds, etc)
• Working knowledge of data management disciplines (Data Governance, Master Data Management, Big Data, ETL)
• Understanding of regulatory requirements for privacy and market data, Dodd-Frank, Volcker Rule, GLBA, etc
• Extensive experience in an Audit/Compliance or IT management and related risks and controls with exposure to application development, change management, operations, information security
• CAATTs experience or uderstanding of data sciences and architecture are strongly preferred
• Relevant professional qualifications such as CISA, CISSP, CIA, CFA, Securities Licenses

CIB AuditResume Examples & Samples

• Work experience and/or academic coursework in financial accounting, financial statement analysis and corporate finance
• High proficiency in Microsoft Excel, Word, and PowerPoint. Knowledge of Bloomberg a plus
• Data management
• Independent research skills, particularly via web-based applications
• Commitment to continuous learning and skill development
• Flexibility, strong time management and multi-tasking skills

Audit Manager CardiffResume Examples & Samples

• Building and maintaining strong relationships with existing clients of the firm, understanding opportunities to assist with their issues
• Reporting directly to the Assurance Partner and Director and having a number of direct team members report to you
• Responsibility for the coaching and development of the team members reporting directly into you taking responsibility for the career development of others
• Assisting with managing the staffing of the job, the financial performance and ensuring that key deadlines are met
• Have ACA or similarly qualified
• Experience of management of the audit from planning to supervision and review of the process
• Flexibility in your approach to meeting goals as part of the team

Audit Accountant SeniorResume Examples & Samples

• Drafting financial statements and reports in accordance with standards
• Preparing and indexing work papers
• Assuming responsibility for efficiently supervisor both audit and non-audit engagements
• Performing various procedures established under GAAP to verify accuracy of client’s financial matters
• Minimal travel required within the state of NC

Regional AuditResume Examples & Samples

• Governance: provide governance function (including structure, processes) to ensure that Audit, SOX and MICOS related items are delivered appropriately, working with and across RDO, GPS, TRM, internal audit and business stakeholders
• Support: provide (from a regulatory perspective) guidance and support on audit project scope, commitments, deliverables, milestones, and co-ordinate inspections and our responses across RDO
• Compliance: Review all audit point and control issues to check that the solutions provided ensure that the identified risk is addressed and remains addressed going forward – ensure that the documents and approvals provided can standalone as evidence on tasks performed / to be performed
• Reporting: Develop KPIs, metrics and reporting appropriate for management of audit and controls environment that increases capability while reducing risk. Communicate effectively with all levels involved to ensure consistency and clarity of the message

Audit Manager Atlantic TrustResume Examples & Samples

• Plan, execute and manage audit assignments of U.S. Wealth Management businesses (Atlantic Trust) including identifying controls, designing audit steps and performing audit testing. These audits will typically involve several business processes or business lines operating at a single location or multiple locations
• Work effectively with audit management and other team members to identify significant risks, control or operational weaknesses which may prevent Atlantic Trust from meeting its objectives
• Advise Audit management and clients of best practices and promote compliance with CIBC/AT policies and procedures, accounting standards, control policies and relevant regulations and legislation
• Contribute to developing the annual audit plan by identifying the planning needs, assessment of risk and to provide coverage for the assigned business clients. The plan may cut across CIBC/AT business lines and processes, and will consider interdependencies using an end-to-end approach
• Provide advice to clients on the design and implementation of internal controls at the business process or managerial level, while recognizing Internal Auditors need to remain independent
• Maintain regular contact with peers and business line management to share information and to provide clarification on issues, policies or relevant standards. Also maintain contact with Legal, Compliance and Business Risk Management to stay current with policies and regulations
• Keep abreast of process, product and structural changes in CIBC/AT; changes in industry practice, regulations and information technology which may affect the control practices which are appropriate for CIBC/AT; current developments in auditing standards and guidelines
• Developed business knowledge and working experience in the financial services sector with a focus on the Wealth Management, Asset Management, Trust businesses and the related regulations
• Comprehensive knowledge of auditing practices, processes, standards, techniques, procedures and principles with an ability to interpret complex concepts, apply them and explain them to others. Typically this knowledge is acquired through obtaining a professional designation (e.g. CPA, CIA, CFIRS, CTA) or an equivalent extensive business experience
• Refined relationship management and negotiation skills with the ability to influence others to resolve differences of opinion
• Well-developed verbal and written communication skills
• Ability to clearly and concisely document test results, conclusions and recommendations
• Ability to gather, synthesize, organize and interpret data or information and formulate appropriate conclusions and insights is necessary
• Excellent organizational and time management skills: ability to simultaneously manage multiple tasks and conflicting demands within time constraints with minimal supervision
• The ideal candidate will have 4-5 years of relevant experience in the Investment Management Industry including Trust operations

Manager, Fcra AuditResume Examples & Samples

• Responsible for the management of all matters relating to audit fieldwork and claims analyses
• Supervise Senior Analysts in the execution of fieldwork tasks and activities, including, contract and financial analysis, relevant interactions with auditors, legal and business units
• Review Senior Analysts’ work to ensure high quality of output
• Monitor staff schedules and workload and help prioritize tasks and assign work accordingly
• Proactively resolve problems by identifying bottlenecks and escalating issues
• Train, evaluate and provide feedback to staff on performance and growth opportunities
• Support settlement discussions and perform ad hoc analyses and special projects as assigned

Corp AuditResume Examples & Samples

• Minimum of 3 yrs of financial analysis experience, preferably in the Financial Services industry
• Comprehensive knowledge of Microsoft Office products, primarily Excel and Access
• Advanced skills in Excel and Essbase
• Working knowledge of SAP, CDGL, GLW and EMPORT preferred
• Bachelor's degree (preferably emphasis in finance, economics, or accounting) Excellent verbal and written communication skills
• Ability to work independently and prioritize responsibilities
• Excellent analytical skills
• Knowledge of finance concepts
• Understanding of accounting principles and processes
• Possesses the ability to work with a sense of urgency

Audit Semi SeniorResume Examples & Samples

• Member of the team on audit assignments for the firm's enviable client base
• Perform substantive and controls testing on different areas of the accounts
• Produce sets of accounts
• Support the senior members of staff and deliver on the job training where necessary to new trainees

CIB AuditResume Examples & Samples

• Minimum 6 - 8 years experience in public accounting or financial services firm
• Plan, execute and document audit reports for audits conducted within the IS business, including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure
• Ensure audits are completed timely and within budget
• Partner with business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence
• Proven ability to be able to multi task as well as asses and change priorities
• Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness

Audit Manager TreasuryResume Examples & Samples

• 5+ years in the Banking industry within a Treasury or Credit Risk Management function and/or Internal Audit function
• Understanding of Regulatory and Financial industry guidance and best practices relevant to the business, including technology implications
• Knowledge and experience in Control Theory and Professional Auditing practices

Short Stay AuditResume Examples & Samples

• Registered Nurse with 3 years of experience in an inpatient setting
• Extensive knowledge of multiple types of Current Procedural Terminology (CPT) and Healthcare Common Procedure Coding System (HCPCS) information systems
• Comprehensive knowledge of Microsoft Word, Excel and Access
• Experience with or knowledge of common coding or HIM systems
• Coding certification(s)
• Experience auditing or reviewing codes and medical records

Audit Team ManagerResume Examples & Samples

• Lead and develop business unit Internal Controls staff
• Develop and maintain effective working relationships with appropriate corporate and business unit management
• Knowledgeable of risk framework and relevant tools
• Assist in development and evaluation of divisions; guidance materials for all financial compliance risk program components (e.g. risk assessment, controls evaluations and testing, root cause analysis, and remediation plans)
• Develop subject matter expertise on specific financial processes within the organization and share knowledge to enhance best practices
• Keeps Internal Controls senior management informed of status. Progress, issues, and concerns
• Assist in quarterly / periodic reporting for SOX program components
• Ten or more years of audit experience or equivalent experience required. Five or more years of managerial experience preferred. Strong knowledge of audit process or related work experience preferred. Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA) or related certifications preferred

Audit AdministratorResume Examples & Samples

• Following up post-audit requirements
• Direct customer liaison
• Directing customer enquiries to the appropriate function
• Managing diary systems and utilisation of the audit team
• Storing, retrieving and archiving information
• Researching and reporting information
• Other additional administrative duties as required

Audit & Exam Prep ManagerResume Examples & Samples

• Develop and Implement standardized Audit and Exam management protocols
• Maintain awareness of emerging issues form internal audit and external examination activity that may impact the Preparation process
• Develop appropriate MIS to track the progress Audit and Exam Prep initiatives to ensure completion within stated timeframes and to keep management informed. Provide strategic, clear, and regular updates and advice to management regarding significant matters, including issues requiring timely escalation and resolution
• Actively partner with functional support teams (i.e. IT Risk, Risk, Compliance, and Internal Audit) to develop positive working relationships and maintain an open environment for collaboration and remediation
• Strong organizational, project management, and multi-tasking skills
• Intermediate to strong knowledge of Microsoft Office (Excel, PowerPoint, Access and Word)
• Strong decision making, analytical and creative thinking skills and awareness and understanding of deadlines
• 10+ years of experience in Audit, Exam Management, Controls or Operational Risk
• Experience with interacting and managing Regulatory Exams
• Understanding of systematic processes for identifying and escalating risk and control weaknesses
• Effective communication and negotiation skills at the Senior Management Level and all levels
• Strong decision making, analytical and creative thinking skills
• Action-oriented and effective listening skill
• Ability to handle multiple priorities

Administrative Assistant AuditResume Examples & Samples

• Provide general administrative and secretarial support to Regional managers and the team
• Co-ordination of business travel - flights/hotels/cars/visas
• Arrange meetings/conference calls across different time zones
• Onboarding/Offboarding (involving laptop/arranging systems access as required/arranging access to the office etc)
• Expense processing and reconciliation (via Oracle)
• Diary management
• Preparation of meeting documents using Word, Excel (Pivot) and PowerPoint
• Preparation of monthly expense spreadsheet and MIS
• Ordering stationery via ePurchase
• Manage Absence Tracking Database
• Request systems access as required via EURC
• Provide back up support for other regional administrative assistants when necessary to provide adequate coverage
• Co-ordination of department meetings, training and visitor schedules
• Support of ad hoc projects, and preparation of presentation materials
• 3 - 5 years experience in secretarial/administrative duties
• Strong team player, independent and mature
• Strong computer skills (proficient knowledge of MS Word, Excel (Pivot) and PowerPoint and Outlook)
• Ability to prioritize workload, multi-task, work well under pressure and be pro-active
• Committed in approach, flexible attitude towards working hours
• Ability to build both internal and external relationships
• Ability to demonstrate utmost discretion and professionalism at all times

Audit ManagersResume Examples & Samples

• Financial Services particularly Banking experience
• Major clients/projects (eg sizeable PLC's)
• Salary - Competitive
• Hours of Work - 35 per week Monday - Friday
• Location: London
• Opening Date: 26th June 2015
• Closing Date: 27th July 2015

Audit Manager, Consumer / MortgageResume Examples & Samples

• Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation as well as business monitoring
• Manages audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan, specifically Consumer Banking Global Mortgage functions associated with the Mortgage Default Servicing businesses
• Applies in-depth level of expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams. Proactively advances integrated auditing concepts and use of technology
• Manages, during audits, a small to medium sized team of Internal Audit professionals. Develops talent, builds effective teams, and manages a budget
• 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 primarily linked to Consumer Banking Global Mortgage functions associated with the Mortgage Default Servicing businesses, as well as regulatory compliance and supplier management risks associated with these functions
• Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally often at higher levels on matters which will have a major impact on the area managed
• Independently completes assigned audits within budgeted timeframes and budgeted costs which may include intermittent travel
• Recommends appropriate and pragmatic solutions to risk and control issues. Identifies inconsistencies in data or results and defines business issues. Challenges policies, procedures or practices and formulates recommendations as necessary
• Audit Manager or Lead Auditor experience with experience in business and functional people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
• Specific subject matter expertise regarding solid business understanding of Consumer Banking Global Mortgage products, specifically those associated with the Mortgage Default Servicing businesses
• Demonstrates experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment. Ability to multi-task and maintain timely delivery and success of critical assignments and deliverables
• Must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style
• Must be able to work in a dynamic and collaborative team environment and take feedback from peers and seniors to be leveraged in future assignments
• Must be able to independently research assignments, apply learnings, and provide peers and seniors with relevant assessments and conclusions or opinions
• Should be eager to learn, demonstrate increased understanding of competencies, and anticipate progressive increases in responsibilities

Audit & Accounts Semi SemiorResume Examples & Samples

• Complete whole sections of the audit pack
• Resolve simple queries and refer more complex issues to more senior members of staff
• Complete all substantive tests with minimal supervision, ensuring that all jobs are completed within budget and timescales
• Complete sets of accounts, working from source documents to final accounts for review by the appropriate manager / senior

Audit ManagersResume Examples & Samples

• Demonstrate expertise in primary accounting frameworks (UK GAAP or IFRS) and related financial reporting matters
• Identify areas requiring improvement in the clients' business processes
• ACA / ACCA / CPA / CA (ICAEW, ICAS or equivalent international awarding body) - preferably first time passes
• Extensive external audit experience in a Big 4 / top tier firm
• In depth experience in a particular industry sector (manufacturing, telecoms, consumer goods etc.) an advantage but not essential

Audit ExecutivesResume Examples & Samples

• Honours degree (or equivalent)
• ACA/CA/ACCA qualified or equivalent
• Excellent technical expertise with proven industry knowledge – UK GAAP/IFRS
• Proven experience in delivering external audit and assurance engagements in the Financial Services industry
• Ability to coach and develop more junior members of staff

Basel, Audit ManagerResume Examples & Samples

• 5+ years in the banking industry within a public accounting, risk management, finance and/or internal audit function
• BA, BS, or equivalent degree in accounting or finance relevant field
• Experience executing audits or processes involving consumer / corporate credit risk, operational risk, capital adequacy
• Proficiency in spreadsheets, dynamic tables and designing queries for large data bases
• Advanced degree in Accounting, Finance, Business, or related field
• Basel II implementation (Credit, Operational, Pillar 2) or auditing experience in the US
• Professional Certification (CIA, CFSA, CPA, or equivalent)

Internl AuditResume Examples & Samples

• Investment Management - covers the firm’s Private Wealth Management, Asset Management and Merchant Banking businesses. Investment Banking and Global Investment Research businesses
• Corporate - covers the firm’s Risk Management, Corporate Governance, Finance, Legal, Compliance and Regulatory Reporting areas. covers Human Capital Management, Services and the Executive Office
• Technology – Covers Application Technology, Technology Infrastructure and Data Analytics
• Regular interaction with Senior Management of within Goldman Sachs across the globe
• Ability to handle and maintain confidential data
• Prioritize time-sensitive tasks
• Ability to multi-task efficiently and meet tight deadlines
• Understanding of firm policies and the potential to handle certain issues independently
• Manage calendars; organize meetings, luncheons, dinners and conference calls
• Co-ordinate itineraries and appropriate room reservations
• Preparation of expense claims including reconciliations
• Prepare Travel & Expense reports
• Co-ordinate all travel arrangements including flight, hotel bookings and itineraries
• Candidate should be a Graduate
• Candidate currently handling a similar role/working in an MNC will be preferred
• Effective team player with exceptional organizational and communication skills
• Strong organizational skills with the ability to handle multiple, high priority projects simultaneously whilst maintaining attention to detail
• Ability to handle highly sensitive, confidential and non-routine info
• Strong interpersonal, leadership and proactive problem solving abilities
• Ability to maintain a positive attitude and professional demeanor at all times
• Ability to work well under pressure, adapt to unexpected events, prioritize and multitask in a deadline driven environment
• Strong Client service orientation
• Must be adept in the use of MS Office 2000 or later, particularly Outlook, Excel, Word and Power Point

Audit Manager IT InfrastructureResume Examples & Samples

• Approximately 4-6 years of experience preferably in the area of IT audit and / or related control functions
• Plan and execute collaborative risk-based IT audits of low to moderate complexity and conclude whether risks are appropriately managed through the existence of effective control or other techniques
• For those audits where the auditor assumes responsibility, the auditor is expected to develop a comprehensive audit plan clearly outlining the objective, scope, deliverables, approach and schedule. Planning must also consider Fraud Risk scenarios as per PCAOB guidelines
• Ensure that audit conclusions and recommendations are properly supported by an orderly accumulation and analysis of documented audit evidence, and that the audit report content is clear, concise and supported by the audit work completed
• Perform accountabilities with minimal supervision and provide audit management with regular status updates of the assignment. The incumbent is expected to seek and obtain direction, perspective and resources as required in order to complete the assigned audit on time and within budget
• Working knowledge of primary Bank business areas (eg. retail banking, wealth management)

Audit Manager, Treasury & Trade SolutionsResume Examples & Samples

• Specific subject matter expertise regarding technology application control disciplines. Solid business understanding of ICG/TTS products, especially those associated with Cash, Trade, and Cards businesses
• Understanding of or experience working in a TTS Regional Processing Center servicing multi regional businesses is preferred
• Bilingual (English/Spanish or English/Portuguese) is highly preferred
• Continuous Quality Improvement mind-set

Card Services AuditResume Examples & Samples

• Finalize audit findings and use judgment to provide an overall opinion on the control environment
• Bachelor's degree in Accounting/Finance, Economics or related discipline
• Working knowledge of Regulatory Compliance

Audit CIB Treasury Services Auditor AVPResume Examples & Samples

• Disseminate best practice and regulatory requirements. Critically assess the impact of evolving industry and regulatory changes on the business and its control environment
• Travel to overseas business locations as required. While the amount of travel will vary depending upon business need, approximately 10-15 per cent should be anticipated
• Significant relevant experience, ideally from an audit or control perspective
• Strong analytical skills particularly in regard to assessing the probability and impact of control weaknesses
• Proven ability to multi-task

Audit ManagersResume Examples & Samples

• Identify, anticipate and resolve technical issues within your clients
• Contribute to engagement to meet engagement project objectives and budget
• Explain to staff members how their work contributes to the engagement and their career development
• Lead by example, showing a commitment to quality and integrity and motivating and enthusing others
• Start to develop deeper working relationships with the client
• Be responsible for the quality of your team’s work meeting compliance and risk management requirements

AuditResume Examples & Samples

• Flexible and adaptable to dynamic and changing work environments, including travel to other countries as part of regional audit engagements
• Educated to degree level, preferably ACA/ACCA or similar certification
• Significant audit or relevant business experience, within a financial services organisation or major accounting firm
• Ability to travel within the EMEA region (up to 30%)

Markets Audit AVPResume Examples & Samples

• Supporting Heads of Audit on varied Audits where applicable
• Building effective relationships and identifying and resolving risk and control issues
• Either Internal or External Audit Experience
• Good understanding of FICC products

SOX Audit ManagerResume Examples & Samples

• Knowledge of SOX regulation with an emphasis on 404 testing requirements, auditing in the financial services industry and specifically auditing SOX 404 and/or SOC 1, and basic accounting principles
• Professional certifications (e.g., CPA, CIA) and/or an MBA along with demonstrated technical abilities in select areas (e.g., accounting, regulatory compliance, etc.) are preferred
• Strong project and people management skills
• Proven advanced experience with MS Office Suite (i.e. Word, Excel, Access, Powerpoint) including Visio, Project, etc
• Candidates should 10-12+ years previous management experience

AuditResume Examples & Samples

• Understand the design, implementation and use of models or quantitative methods across the firm, including the adequacy of developmental evidence and demonstration of effective independent challenge where warranted
• Lead all aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation and follow‑up and verification of issue closure
• Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of management controls in accordance with department and professional standards
• Ensure the delivery of a seamless program of audit coverage in partnership with other audit teams
• Identify emerging control issues and report them to line of business and audit management
• Perform periodic monitoring of operational and financial data to recognize patterns and trends with risk and control implications
• Stay up to date with evolving regulatory and market events impacting the firm's risk organization
• Master’s or Ph.D. with a quantitative focus, e.g. math, science, engineering
• Exposure to Quantitative Finance, Model Risk Management and/or Valuation or two years of relevant work experience
• A mindset capable of forming and supporting independent views on risks associated with using a model or quantitative method
• Good programming skills, e.g. C/C++, R/S+, Matlab
• Excellent communication and interpersonal skills, including strong technical writing and the ability to present complex and sensitive issues to senior management
• Enthusiastic, self-motivated, and effective under pressure facing multiple deadlines

SOX / SOC Audit ManagerResume Examples & Samples

• Strong leadership, analytical, and organizational skills are needed
• Strong communication (both verbal and written) skills
• A College or University degree and seasoned auditing experience in a financial institution, or similar public accounting experience in the financial services industry. Experience in SOC 1/SOX 404 work is preferred
• Candidates should have previous management experience

IT SOX AuditResume Examples & Samples

• Provide advice to IT application owners on the implementation of strong IT general computer controls (GCC) over applications in-scope for control verification
• Perform design effectiveness testing (DET) and detailed operational effectiveness testing (OET) of IT GCC
• Perform deep-dive testing for non-standard/complex IT controls
• Perform Quality Assurance Reviews of control documentation and DET and OET testing performed by the IT Line
• Advise IT Line on appropriate remediation of control matters/issues identified during DET and OET testing
• Perform risk analysis for control matters/issues identified during DET and OET testing
• Monitoring and Management reporting on the status of IT control documentation and testing and issue remediation
• Provide training and support for IT Line regulatory coordinators and control owners
• Degree in Information Technology Management, Management Information Systems, Accounting, Business,
• Experience working in the financial services industry
• Familiarity with IT Risk and Security functions
• Relevant certifications (e.g. CISA, CISM, CRISC, PMP)
• Experience working on a global, multi-cultural team

Audit Manager, Wealth ManagementResume Examples & Samples

• Ability to prioritize increasing and sometimes conflicting demands from multiple stakeholders
• Ability to travel for audit purposes, sometimes for consecutive weeks, a few times a year
• Familiarity with audit principles/practices and methodology

Audit & Accounts ManagerResume Examples & Samples

• Maintaining the highest standards of auditing and directing your team to co-ordinate resources effectively
• Reviewing and monitoring performance indicators on all assignments
• Supporting more junior team members and addressing any instances of under performance
• Preparing for and conducting effectively personal development meetings for others
• Nurturing client relationships whilst identifying opportunities to increase the client base

Technology Operations AuditResume Examples & Samples

• Ensure their department is compliant with all technology-related regulatory requirements, in partnership with country & function leads and IT Risk
• Take accountability of proactive risk and operational controls and escalation point for their department
• Monitor ongoing operational effectiveness of key technology-related regulatory controls and associated remediation activities and drive compliance
• Primary contact point (SPOC) to manage timely collection of information requests from regulatory (surveys, questionnaires, inspections and related preparation work ) and internal/external audit engagements (Internal and external including but not limited to financial year-end audit)
• SPOC will be responsible to work with information owners / SMEs to ensure validity and accuracy of information for submission
• Representation in regional governance boards (e.g. Regional Data Confidentiality Board)
• Co-ordinate ad hoc “read-across” reviews / impact assessments for areas of heightened regulatory awareness
• Compliant on all risk related requirements
• Proactive measurement of Capacity (overhead room) and Security (i.e. IDS stats)
• Deliverables by due date, achieve metrics and hit KPIs
• Timely escalation and reporting to CIO APAC and respective department APAC Head
• Operational Vendor Governance Support
• Overlook the Vendor engagement for Tech Ops with Strategic and non strategic vendors
• Regular review of Vendor KPIs
• Identify scope for saves through vendor contract renegotiation and other programs like Service Harmonization, Work Driver Elimination, Vendor Sourcing etc
• LI-CSJOB*
• Demonstrated thought leadership and the ability to craft and execute against the strategy
• Excellent organizational, problem solving, interpersonal and operating skills to effectively drive the agenda with the TS APAC management team and CIO APAC team
• Have strong influencing skills and professional judgment, be solution-oriented and demonstrate a genuine desire to seek out the issues and challenge the status quo
• Ability to develop meaningful, lasting senior relationships and assume the role of trusted advisor with credibility and authority with proficiency in leading by influence within complex organizations, developing an environment of cooperation and partnership
• Outstanding communication skills and the ability to relate to staff at all levels
• Encourages critical and innovative thinking, challenges existing norms and supports change

Regional AuditResume Examples & Samples

• Governance: provide governance function (including structure, processes) to ensure that Audit, SOX and MICOS related items are delivered appropriately, working with and across TS, TRM, internal audit and business stakeholders
• Support: provide (from a regulatory perspective) guidance and support on audit project scope, commitments, deliverables, milestones, and co-ordinate inspections and our responses across TS Infrastructure
• Reporting: Work with IT Risk and other regional compliance officers to create dashboards, metrics and reporting appropriate for management of audit, conducting proactive self-assessments and reviewing controls in the end environment that increases capability while reducing risk. Communicate effectively with all levels involved to ensure consistency and clarity of the message

Corp-auditResume Examples & Samples

• Participate in audit engagements covering the JPMC Banking, Investor Services and Compliance primarily including audit planning, audit field work and control evaluation and follow-up and verification of issue closure
• Support the team to identify risks, evaluate, test and report on the adequacy and effectiveness of management controls
• Support the team on validating of audit issues and contribute to provide an overall opinion on the control environment
• Document audit results and support the team to communicate issues to management, identifying opportunities for improvement in the design and effectiveness of key controls
• Support the Audit team to build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
• Stay up to date with the global regulatory and market environment, especially as it pertains to Banking, Investor Services and Compliance (attending internal trainings)
• Studying or recently graduated in Economics, Business Administration, International Relations, Accounting or related discipline with a background on audit or control area (previous job with six months or a year in audit or control area, i.e.: big four companies, financial institutions or JPM intern or employee with experience in control areas)
• Fluent in English (verbal and written)
• Ability to manage multiple tasks concurrently in an efficient and effective way with supervision
• Excellent communication (i.e. verbal and written)
• Teams work to manage its own tasks or well individually and in teams, shares information and collaborates with colleagues during execution of the audit
• Self motivated and self learned

Principal Audit ManagerResume Examples & Samples

• Solid SME and leadership skills
• Strong understanding of the Sourcing lifecycle, including contractual arrangements and third party vendor governance activities
• Banking expertise

Audit Manager / OperationsResume Examples & Samples

• Completing internal audit reviews of the operational audit function
• Making sure all recommendations are acted on by management or reported to Board level
• Contributing to the continuing development of the internal audit team

Head of AuditResume Examples & Samples

• Ensure CA Risk risk assessments, and risk assessments of other CA areas, adequately reflect regional risk factors and risk themes within the region
• Ensure that the Risk plan, and audit plans for other CA areas, provides adequate coverage of the specific risk factors within the region
• Responsibilities may extend to include ownership of global risk assessments in CA Risk and in conjunction with CA and HoAs within CA Risk, ensure global risk assessments and audit plans adequately covers the relevant risk factors
• Audit signing responsibility for audits within CA Risk plan (in close cooperation with the relevant global HoA)
• Audit input and challenge for global and other audits within CA Risk plan with significant APAC dependencies or impact, in cooperation with the relevant Global Risk HoA
• Full participation in Risk Quarterly Business Reviews (QBR); full participation in APAC LE QBR; participation as required in other CA QBRs
• Delivering continuous risk monitoring for CA Risk in APAC, fully integrated within the global Continuous Risk Monitoring (CRM) for CA Risk
• Stakeholder management responsibility for key regional heads (regional stakeholders) in close liaison with CA and HoAs within CA Risk
• Supporting the APAC LE IA leadership in discharging the APAC LE audit mandate for Risk
• Ensuring/securing an adequate regional talent pool for CA Risk including development of regional CA Risk talent

Specialist, Audit Analysis, ILSResume Examples & Samples

• Manage information pertaining to other program standards that are recognized by Disney, ensure that relevant program materials and supporting documents are well organized and accessible by ILS teams
• Plan, coordinate and conduct the re-evaluation of existing recognized programs as well as that of potential candidates per ILS Program policies; track details and report on progress as appropriate; document results and provide recommendations to leadership
• Assess potential use of other available industry tools that may further improve the program evaluation and related processes; communicate findings, manage progress and provide recommendations
• Engage with Audit Analysis team members, other ILS teams as well as internal and external stakeholders as necessary to complete the required program evaluations, applicable re-evaluations and related processes
• Manage the facility reinstatement process including the review of submitted requests and the assessment of supporting documents; track cases and report on progress, engage with Audit Analysis team members to ensure efficient workflow and proper documentation; provide recommendations to leadership and follow through to complete the process in the ILS database
• Contribute to the review of ILS policies and standards; conduct the necessary research and analysis of data to support leadership discussions on relevant ILS Program policies and related audit standards
• Assist in the implementation of new and refined approaches of the ILS Program; contribute toward defining operational procedures in support of implementation
• Serve as an internal resource to the Audit Analysis team and the broader ILS global teams for inquiries and discussions related to the assessment of submitted audits and related program standards
• Stay up-to-date with industry development in the social compliance field and provide insights on relevant trends that may affect the ILS Program
• Other responsibilities may include supporting the leadership team on research projects as needed as well as additional tasks when requested
• 5 years of relevant experience in managing a social compliance program or setting program standards in an international corporate setting
• Proven effective project management skills and prioritization
• Organized and methodical in approach
• Strong business acumen; superior attention-to-detail
• Highly effective communicator - across all levels and with different cultures
• Balanced critical-thinking
• Proficient in MS Office Suite, SharePoint, Excel and PowerPoint
• At a minimum 6 years of relevant experience and advanced working knowledge in managing a social compliance program, industry program or multi-stakeholder initiative program
• In-depth practical knowledge of social compliance standards and auditing methodology in general
• Expertise in social compliance programs and related corporate social responsibility issues
• Relevant work experience in overseeing manufacturing operations or industrial engineering experience
• Proven ability to manage from a strategic perspective as well as carry out related tactical operations
• Fluency in a second language
• Bachelor’s degree in any field

Audit & Accounts Semi SeniorResume Examples & Samples

• Complete whole sections of audits in accordance with the company's procedures
• On small jobs, act as a senior, delegate to juniors and complete the whole audit
• Provide guidance to more junior members of staff and assess their work
• Planning audits on small jobs
• Carry out work on a wide range of accounts
• Analyse and settle VAT returns

AuditResume Examples & Samples

• Supervises junior auditors assigned to engagements providing guidance and overall review of deliverables
• BS/BA in accounting or finance and an active CPA is required
• 3 years of progressive experience within a public accounting firm
• Multiple industry experience a huge plus

Audit Manager, ICG Market OperationsResume Examples & Samples

• Manages audit activities for the ICG Operations at the regional level including a portion of the audit annual plan
• 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: Investment Banking, project /program management or regulatory compliance
• Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
• Degree equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
• Extensive years of relevant audit experience in operations and capital markets. Specific subject matter expertise regarding capital markets and related operational processes
• Experience in and familiarity with the financial regulations, governance requirements and regulatory expectations (especially, FCA Client Assets (CASS) and Transaction Reporting) will be a distinct advantage. Product knowledge for cash securities, FX, Commodities and the relevant operations processes is desirable but not essential

CIB Markets & CIO & Treasury AuditResume Examples & Samples

• Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of the control environment. Analyze risks and proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified
• Provide senior audit management and internal stakeholder timely updates and insight on the design and effectiveness of business, risk, operation and technology control practices, and thematic firm-wide control and industry developments
• At least 4 years of audit and business experience in covering investment bank products with detailed knowledge of capital markets products
• Well versed in Asia laws and banking regulations (e.g. liquidity, derivatives)
• Effective communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
• Flexible and adaptable to dynamically changing work environments, including travel to other countries as part of regional audit engagements

Ia-audit ManagerResume Examples & Samples

• Manages budget
• Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyzes reporting findings; Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems
• Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues

Audit Manager, OperationsResume Examples & Samples

• Contribute to the definition, shaping and delivery of Audit's strategic vision
• Drive the development of leading edge capability in our people and processes
• Build powerful relationships with senior stakeholders, in Operations and across the Company, to influence business strategy and policy, working practices and standards by providing insight, challenge and thought leadership
• Plan and lead a portfolio of audit projects ensuring delivery within defined time, cost and quality parameters
• Work with a co-source arrangement, from a professional services firm to provide IT audits, ensuring leading edge expertise, continuity of knowledge and consistency of standard
• Lead, motivate, develop and appraise team members so that their individual and collective performance supports Audit in delivering against its strategy
• Support the Director of Audit Operations in ensuring that all other responsibilities are fully met

Audit Asset ManagementResume Examples & Samples

• Effectively manage audit engagement teams, performing timely review and providing honest and constructive feedback
• Stay up to date with the global and regional regulatory and market environment, especially as it pertains to Investment Management
• Although it’s not mandatory, a relevant accounting, auditing or industry-related certification is desirable
• Working understanding of key regulations impacting investment management

Director of Internal AuditResume Examples & Samples

• Ensure that internal controls over financial reporting are designed and operating effectively
• Provide written reports and make presentations to the Board of Directors regarding Financial audits as well as other corporate governance initiatives
• Develop the annual audit plan and Sarbanes- Oxley Legislation compliance initiative
• Financial reporting risks must be identified in each business process and an internal control identified to mitigate each risk
• Establish and maintain controls to ensure the integrity of audit processes
• Responsible for the hiring, training and review of work performed by the internal audit staff
• Coordinate with external auditors regarding the documentation and testing of internal controls over financial reporting and information technology general controls
• Counsel management on the control and risk aspects of business processes, systems, policies and procedures

SVP Technology Infrastructure AuditResume Examples & Samples

• This role directs the timely delivery of complex high quality, value added assurance and audit reports for a portfolio of business activities, which meet the requirements of the Board, their affiliates and of respective regulators, globally
• This role is responsible for the management of risk assessment and audit delivery covering the full spectrum of Technology Infrastructure, including Data Center, Network, Customer and Employee processes, operations, systems platforms and devices, as well as enterprise/cross-sector processes such as information security, risk management and disaster recovery
• This encompasses providing objective risk based independent assurance with respect to the design and operating effectiveness of controls associated with Technology Infrastructure that support critical business systems and processes across the group

Audit Manager, Markets & Securities ServicesResume Examples & Samples

• Participate in and lead audits of Capital Markets and Securities Services businesses with particular focus on Prime Finance and Futures in accordance with Internal Audit methodology and regulatory requirements in the assessment of control issues, formulation of corrective actions and preparation of audit reports
• Assist in the maintenance of the “auditable entity” universe to reflect changes in business structure and organization as these occur
• Broad knowledge and experience of auditing capital markets products with specific detailed knowledge of equity markets sales and trading activities including equity derivatives. A detailed knowledge of electronic and algorithmic trading processes would be advantageous
• Experience auditing capital markets and broking activities
• Knowledge of advanced Excel and Access functions to perform data analysis/test automated controls
• Good interpersonal, judgement and decision making skills

Head of AuditResume Examples & Samples

• Intermediate level experience in a related audit role with experience in business and functional and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables
• Thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. He/She must be talented in risk and control analysis and audit concepts and skilled at analyzing root causes of problems and anticipating emerging issues
• Good understanding of the regulatory framework and expectations from financial regulators in Paraguay

Audit PrincipalResume Examples & Samples

• Identify and evaluate key risks and controls within assigned ‘management-structure-based’ auditable entities of the Bank, provide key input to the development of the annual Audit Plan, including execution of quarterly risk assessments that contribute to the quarterly refresh of the Audit Plan
• Manage and/or participate in operational, financial and credit consumer compliance internal audit engagements and advisory projects of various complexities from planning to communication of results, working alone or supervising teams of varying sizes
• Execute audit engagements leveraging ‘risk-based’ methodology and perform audit procedures including developing criteria and creative auditing techniques, reviewing and analyzing evidence, documenting and analyzing client processes, key risks and controls, systems and procedures, conducting interviews, reviewing documents, identifying and defining control design and operating execution weaknesses, developing and administering surveys, composing summary memos, and preparing and reviewing work papers
• Identify, develop, and document operational and/or compliance audit issues and collaborate with the business to develop corrective actions for improvement using good judgment, while maintaining independence and objectivity
• Communicate the results of audit and consulting projects via written reports and oral presentations to management and the Board of Directors
• Assist in providing training, coaching, and guidance in governance, risk and control to Nordstrom fsb management when conducting audits and other audit-related projects
• Bachelor’s degree from an accredited college or university. Equivalent experience may be substituted for this requirement
• Minimum of 5 years of full-time experience in legal, audit or advisory roles in credit consumer auditing is required. Experience in auditing credit cards operations is desired. Individuals without an audit or advisory background may substitute experience in credit consumer compliance or other relevant business operations obtained at Nordstrom or at other large multichannel, international organizations
• Minimum of 2 years of supervisory or project management experience is required
• Considerable computer skills, including word processing, spreadsheet, audit and data analysis packages, and other business software to prepare work papers, reports, memos, summaries, and analyses to support the logical conclusions drawn from the audit or project
• Considerable skill in planning and project management, and in maintaining composure under pressure while meeting multiple deadlines
• Strong knowledge of credit consumer compliance laws such as Truth in Lending, the Fair Credit Reporting Act, and Equal Opportunity Act highly desirable
• Strong verbal and written communication skills as well as the ability to develop collaborative working relationships with both internal and external contacts

Audit Manager Canadian BankingResume Examples & Samples

• Executes, tests and documents audit results and findings
• May assist in the development of Audit Profiles, plans, programs and reports in consultation with IAS team members and Executive
• MBA or CFA desirable or Financial designation (CA, CGA, CIA or equivalent). Professional designation (CIA, CRMA, CGA) to be obtained within 24 months of joining RBC. Professional designation (CIA, CRMA, CGA) to be obtained within 24 months of joining RBC

CIB / AuditResume Examples & Samples

• Drive all aspects of audit activities including risk assessments, annual planning and execution of individual audits
• Ensure that the audit program meets with French regulatory requirements
• Being able to partner with colleagues within the Audit team across the region
• Implement and execute an effective program of continuous monitoring activities, including analysis of key metrics to identify control issues and adverse trends, and keeping abreast of key initiatives and pertinent industry and regulatory developments
• Stay up-to-date with evolving industry and regulatory changes impacting the Paris activities and its control environment
• Education to degree standard (or equivalent) in an Accounting, Finance, Economics or related discipline is preferred
• Preferably with previous audit experience in CIB and Asset Management businesses
• Knowledge of applicable French and European regulatory requirements
• Recognized accounting qualification is desirable although not mandatory
• Excellent verbal and written communication skills in English and French, with the ability to present complex and sensitive issues to senior management in a persuasive manner

AVP / Audit ManagerResume Examples & Samples

• University Degree
• Post-graduate / professional qualifications within a relevant field (e.g. CPA, CA, CFA)
• Experience working in an Operational Risk function or within Internal Audit focused on Operational Risk framework implementation
• 5-8 years' experience in planning, scoping and managing internal audits, compliance or risk reviews related to the financial services industry
• Ability to lead projects and groups
• Excellent understanding of risk/audit issues and control frameworks and sense of commerciality in addressing risk areas
• Effective communication skills and experience in maintaining effective working relationships with stakeholders across a number of levels
• Strong track record of presenting risk concepts and issues in a simple and concise way to diverse groups and obtaining consensus on difficult topics
• Proven track record of excellent collaboration across diverse teams

Internal Operations Audit ManagerResume Examples & Samples

• Connect the dots across business priorities, processes and systems, providing management with new insights
• Maintain technical expertise and apply leading practices in advanced audit techniques (e.g. risk assessments, analytical review procedures, and process maturity assessments)
• Thought Leadership – Demonstrates a passion for technology and initiative in using creative approaches to analyze business risk. Interprets data to evaluate root cause and solve problems at a macro level. Open to non-traditional ways of providing risk assurance and seeking solutions in areas outside of your comfort zones
• Personal Leadership – Maintains productive customer partnerships, turning around difficult relationships (particularly with people not traditionally used to interacting with Internal Audit). Actively responds to changes in customer’s priorities and/or environment, delivering timely and innovative services. Builds credibility with global stakeholders through awareness of VMware’s cultural and business drivers
• Demonstrated experience successfully managing internal audit projects, conducting risk assessments and operational auditing

AuditResume Examples & Samples

• A BS/BA degree, preferably in Finance, Accounting, Business, Mathematics and/or MIS/CIS (all majors are welcome to apply)
• Ideally on track for 2:1 or above
• A Spring 2016 graduation date and availability to start July/August 2016
• Excellent analytical, problem solving, and communication skills
• A positive attitude and a keen attention to detail

AuditResume Examples & Samples

• Drive all aspects of audit activities including risk assessments, plan development and execution
• Ensure that audit program meets with Turkish regulatory requirements
• Participate in, and manage audit engagements from planning to reporting, and deliver quality products within department and professional standards
• Being able to partner with colleagues within the Audit team in the UK
• Risk based audit approach, independently evaluating, testing and reporting on the adequacy and effectiveness of controls, as well as identifying the root cause of issues
• Finalise and communicate audit findings in a clear and concise manner to management and identify opportunities for improvement in the design and effectiveness of key controls. Use judgment to provide an overall opinion on the control environment
• Present the results of audit work to local management and risk and control governance forums
• Confident in interaction with regulators as and when the need may arise
• Stay up-to-date with evolving industry and regulatory changes impacting the Istanbul based activities and its control environment
• Applicants must have a minimum of seven years experience in banking
• Applications must have a Technology Audit certificate
• Applicants must have excellent Turkish language skills and have completed military service
• Applicants must be able to communicate confidently, both verbally and in writing, in the English Language
• Education to degree standard (or equivalent) in an Accounting, Finance, or related discipline is preferred although not mandatory
• Capital Markets Level 3 license is preferred although not mandatory

AuditResume Examples & Samples

• Build and maintain key relationships with LOB stakeholders and colleagues, establishing a culture of engagement while adding value, effective teamwork and innovative thinking
• [Travel to overseas business locations as required.]
• Recognized accounting qualification desirable

Audit Manager MortgageResume Examples & Samples

• Lead audit projects from planning to reporting and direct the implementation and completion of the project plan to deliver a quality product in line with department standards and expectations
• Identify risks, evaluate, test and report on the adequacy and effectiveness of management controls
• Finalize audit findings and employ excellent judgment to provide an overall opinion on the control environment
• Effectively manage audit engagement teams, performing timely review and providing honest and constructive feedback
• Document audit results and communicate issues to management, identifying opportunities for improvement in the design and effectiveness of key controls
• Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
• Bachelor’s degree in Accounting, Finance or related discipline
• Minimum of seven years professional experience, preferably within Audit or Risk Management
• · Experience in operational and financial statement auditing
• · Experience and strong competency in project management, relationship management, analytical and audit skills
• Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change
• Enthusiastic, self-motivated, strong interest in learning, effective under pressure and willing to take personal responsibility/accountability
• Experience coaching, mentoring and developing professional skills of audit team members
• Advanced degree, CPA, CIA or similar certification preferred
• Previous experience in one or more of the following areas preferred: mortgage banking, risk management, regulatory compliance, finance and accounting

Franchise Audit Business ManagerResume Examples & Samples

• Contributes to the strategic direction of Franchise Audit, partnering with the Franchise Chief Auditors in maintaining the Franchise plan of work, including reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance
• Directs and owns the resourcing strategy for the Global IA FA team, establishing relationships with both IA and non-IA partners and talent development programs and by interacting with senior IA and other colleagues at Managing Director and Director level, maintains a structured program for IA and guest reviewer participation in franchise audits
• Leads the continuous improvement of the guest auditor programme. Establishes a mechanism to collect guest reviewer feedback to identify opportunities for improvement, and implements improvement initiatives to ensure that the FA Guest Audit programme delivers on its development objectives for IA and business guests
• Works with the Regional Franchise Chief Auditors and Audit Lead Directors to organise and provide logistical support for guest auditors assigned to each franchise audit
• Responsible for co-ordinating audit planning including entity structure development, risk assessment, and quarterly and annual planning across the Franchise Audit team
• Responsible with the Regional Franchise Chief Auditors for capacity planning and resource scheduling for Franchise Audit globally
• Partners and supports the Franchise Audit Chief Auditors in driving Franchise performance and effectively managing the function. Works closely with the global MIS team to develop and cascade relevant performance reporting including (but not limited to) audit plan status, issue validation, business monitoring and time reporting
• Supports the Franchise Audit Chief Auditors in their interaction with Regulators and coordinates information deliverables to Regulators and Business stakeholders to ensure consistency across the regions
• Coordinates and oversees the Franchise Audit budget, working closely with IA Operations to develop the annual budget and allocation of Franchise Audit costs to the business. Ensures full transparency of Franchise Audit expenses, thereby promoting ownership and accountability by the Franchise Audit Chief Auditors. Leads productivity and efficiency initiatives within Franchise Audit in support of Execution 2.0
• Prepares Franchise Audit board level/audit committee reporting regarding issues, trends, root causes and impacts, working closely with the global MIS and Quality Assurance teams
• Responsible for maintaining and evolving Franchise Audit Methodology Training materials and ensures the Franchise Audit global team fully complies with mandatory training requirements
• In consultation with the Franchise Audit Chief Auditors, assesses IA Franchise learning requirements and skills gaps, and works closely with the IA L&D team to leverage Citi and Internal Audit learning programmes and/or develop bespoke training to meet these requirements
• Professional qualification (Chartered Accountant or equivalent certification) preferred
• Significant experience and management responsibility in Internal Audit and large scale Financial Services companies. Previous experience in an operational or management reporting role would be an advantage
• Strong communication skills, both verbal and written, to be able to interact confidently with IA peers, stakeholders and regulators; active listening skills
• Ability to manage conflict, work under time pressure, and work proactively without close supervision
• Strong presentation (MS Powerpoint) skills
• Experience working in a global, matrixed environment; sensitivity to cultural differences

Specialist, Post AuditResume Examples & Samples

• Participates as a specialized knowledge resource in established processes
• Suggests improvements to business processes and Independently completes small sub-projects within a defined course of action
• Will organize specialized and defined information for review
• Tends to reference documented process and practices and learnings from previous experience to address challenges. May handle more common complex challenges but escalates situations that have not been encountered previously
• Most decisions are based on prescribed and dictated guidelines. Knowledge of theory and practice will assist with the ability to interpret and determine next course of action that may deviate from the norm
• Understands and accommodates established process and project timing. Deviates only if provided direction
• Relies on general direction to understand importance and urgency of work content
• 50%: Analyze a wide variety of vendor programs to verify their accurate execution by various departments of Sports Authority (advertising, marketing, logistics, accounts payable, inventory, etc.)
• 15%: Create valid supportable claims when overpayments are detected followed by submitting the claims to the internal owner for approval; providing verbal or written enhancement as necessary to supply the owner a complete understanding of the claim
• 10%: Professionally correspond with our vendor community to obtain approval and/or defend claims
• 10%: Work with Manager of Report and Database to create queries and tools internally to replace external software and fill audit needs
• 10%: Work with SR. Analyst to understand the requirements of the audit as well as assisting with creating an audit plan. This position will also assist the Sr. Analyst in leading a number of process improvement and re-engineering projects throughout the year, both inter and intra-departmental
• 5%: Maintain communication with Sr. Post Audit Analyst and Group Manager Trade Payables regarding projects and complex issues
• B.S. or B.A. in related field or related experience preferred
• Required 1-3 years of experience in Corporate Retail, Manufacturing, Finance, Auditing, Marketing or related job experience. Post Audit experience a plus
• A high-level of proficiency with Microsoft Office applications (e.g. Advanced Excel, Advanced Access, Power Point)
• Highly effective interpersonal and communication skills, to include written and verbal communication with internal and external partners
• High energy and self-motivated with the ability to work in a fast-paced, high-volume environment
• Proven experience and ability in prioritizing goals and objectives with little to no direction
• Ability to develop, implement, follow, maintain and improve processes practices and standards
• Able to prioritize in alignment with Company objectives while still getting the necessary day-to-day tasks done
• Ability to work in a team environment and maintain a positive work attitude under pressure

Audit MangerResume Examples & Samples

• 2-4 years relevant experience
• Exceptional financial auditing skills
• MBA, CPA, CFA or related certifications
• 4-8 years relevant experience, including experience in audit or relevant specialty area

Ccar Data Audit SMEResume Examples & Samples

• Develop and executes a robust CCAR Data Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations, and Credit Suisse policies
• Responsible for assessing the quality of the data attributes used for CCAR modeling. This requires hands-on data analytics and/or model development experience, and the ability to interact with the model developers, model validation, technology, and the risk and finance units
• Ensure delivery of consistent and standardized methodology for risk data quality, risk data governance, risk data quality lifecycle, mitigating actions, including the application and compliance with the Bank's policies, processes, controls, standards, methodologies and framework
• Review data work done for the activities of the CCAR work streams to ensure the functions are organized, efficient, and produce accurate financial actuals
• Provide systemic and thematic issues and raise cross-functional topics as a result of data audits related to CCAR/DFAST sections of Capital Planning
• Works closely and collegially within IA (with Risk, Finance and Technology audit teams) and with line management and control functions to ensure efficient and effective provision of independent audit assurance

Audit Semi SeniorResume Examples & Samples

• Plan, execute and complete audit/audit and accounts, to include the preparation of reports to management on issues identified during the audit
• Liaise with clients (within the financial services sector) and relevant stakeholders to obtain relevant information
• Research (where required) and resolve queries from clients
• Liaise with colleagues as appropriate
• Carry out relevant ad hoc duties as and when required
• Part qualified ACA/ACCA accountant with a minimum of 1 - 2 years' experience in an accounting practice
• Proven strong academic record including a minimum of a 2:2 degree
• Prior financial services audit experience advantageous but not mandatory
• Proven team player but also works very well on own initiative
• Excellent logic and problem solving competencies
• Ability to work to tight deadlines and to multi-task

Audit Manager, AnalyticsResume Examples & Samples

• Develops audit analytics in support of a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
• Delivers on time high quality analytics for audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting
• Manages audit analytics activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan
• Applies in-depth level of analytics expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams
• Applies sophisticated analytics techniques to gain an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach
• 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
• Drives the innovative use of audit analytics through direct participation in all phases of audits (i.e., business monitoring, planning, fieldwork, reporting)
• Defines data needs, designs and executes audit analytics during audits in accordance with the audit methodology and professional standards
• BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CFE, CAMS, CIA, CISA or similar) are a plus
• Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of various financial services products

Audit Account ManagerResume Examples & Samples

• Effectively manage teams and actively coach and develop team members
• Responsible for planning and managing international assignments for compliance with all technical requirements
• Responsible for handling various assignments concurrently, including
• Qualified Accountant - e.g. ACA, ACCA, CPA qualified
• Minimum of 5 years relevant experience
• Ability and willingness to work primarily on challenging and complex projects
• An ability to pro-actively manage projects and teams
• High level of understanding of international audit and accounting standards (including US GAAP)
• Excellent commercial, management and organizational skills
• As a Manager in the Global Reporting Center of Excellence you will have a proven track record of outstanding performance within a Big 4 Accountancy Practice and display strong people and business skills. In Addition to this you will have worked on Large public/ multinational clients within the Industrial, Commercial & Technology sector. You will also be expected to have shown an on-going commitment to your personal and professional development through continuing education and development

Gf-audit ManagerResume Examples & Samples

• Participate in and lead audits of Treasury businesses with particular focus on interest rate risk management in banking books, liquidity risk management and Funds Transfer Pricing management in accordance with Internal Audit methodology and regulatory requirements in the assessment of control issues, formulation of corrective actions and preparation of audit reports
• Work collaboratively with IA teams in other locations, sharing issues and concerns identified to evaluate and identify potential global themes
• Consulted often by others for advice and opinions
• Broad knowledge and experience gained within a Front Office Treasury, Market Risk or Treasury Audit role
• Demonstrable knowledge of key controls operated by support functions associated with Treasury activities
• Experience of managing team members and leading projects

Gf-audit ManagerResume Examples & Samples

• Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting)
• Manages a complex and critical unit within Internal Audit including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget; 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 Consumer or Investment Banking, Technology Management, Project/Program Management, Regulatory Compliance or Supplier Management
• BA/BS or equivalent; related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
• Specific subject matter expertise regarding technology application control disciplines and a solid business understanding Direct Custody and Clearing, Investor and Issuer Services products

Audit Manager, Wealth ManagementResume Examples & Samples

• Plan, execute and manage audit assignments of 70% Wholesale Brokerage Operations businesses and 30% Wealth Management businesses including identifying controls, designing audit steps and performing their testing. These audits will typically involve several business processes or business lines operating at a single location or multiple locations
• Work effectively with audit management and other team members to identify significant risks, control or operational weaknesses which may prevent CIBC or one of its subsidiaries from meeting its objectives
• Drive audit reporting by identifying significant business control weaknesses, and objectively assess the severity and materiality of the issues and their potential impact on the business. Work with business management to develop action plans to ensure recommendations provide realistic and workable solutions that mitigate risk and long term exposure
• Contribute to developing the annual audit plan by identifying the planning needs, assessment of risk and to provide coverage for the assigned clients. The plan may cut across CIBC business lines and processes, and will consider interdependencies using an end-to-end approach
• Provide advice to clients on the design and implementation of internal controls at the business process or managerial level, while recognizing IA’s need to remain independent
• Ability to clearly and concisely document test results, conclusions, and recommendations
• Ability to prepare and communicate audit reports dealing with facts and concepts for presentations to client management and external auditors. Specifically, being able to draft audit reports that reflect a clear understanding of the client's business and provide realistic solutions for audit findings

Director of Internal AuditResume Examples & Samples

• Develop and maintain efficient and effective audit programs including appropriate scope and metrics
• Act as lead auditor for internal audits, collecting and analyzing data and drawing conclusions with regards to compliance status
• Prepare and present reports that reflect the audit’s results and document process
• Identify areas of risk and provide appropriate recommendations for new policies and procedures
• Act as an objective source of independent advice to ensure validity, legality and goal achievement
• Continue and develop knowledge regarding rules, regulations, best practices, trends, tools, techniques and performance standards
• Interface with senior management and external auditors
• Minimum 10 yrs experience with a combination of public accounting and private industry accounting
• Minimum 5 years as a Sr Internal Auditor or Manager
• Minimum 5 years working with ERP systems (Oracle, SAP, NetSuite) from basic user function to controls
• Advanced level MS Office (Excel, Word, Powerpoint)
• Minimum 5 years supervisory experience
• Communication skills effective for various levels of employees
• Ability to work independently as well as in teams
• Bachelor’s Degree in Accounting Required with continuation to Master’s Degree in Accounting or MBA helpful
• CPA or CIA designation

Audit Manager, TreasuryResume Examples & Samples

• Keep abreast of industry developments, new laws, rules, products, technologies and applications and consider implications for the business and audit universe and plan
• Familiarity with Basel III, Liquidity Coverage Ratio (LCR) and Interest Rate Risk for accrual portfolios
• Demonstrable knowledge of data analysis and/or technical skills to analyze data utilizing automated tools
• Knowledge of advanced Excel & Access functions to perform data analysis/test automated controls is highly advantageous

Forensic Audit ManagerResume Examples & Samples

• Participate in the execution of the company-wide fraud risk assessment and the reporting of anti-fraud opportunities where appropriate
• Assist in the execution of fraud detection activities
• Develop and maintain effective relationships with relevant management, including Audit Services Directors, the Corporate Compliance Officer, opco General Counsels and others relevant individuals
• Five years audit experience in a Big Four and/or large, complex company environment with three plus years prior forensic experience
• Demonstrated forensic investigation skills, including the ability to develop an investigation approach/strategy, effectively interview personnel associated with the investigation, obtain and analyze evidence, and draw relevant conclusions
• Demonstrated ability to understand and evaluate anti-fraud controls and to deploy fraud detection activities in areas of higher fraud risk
• Strong skills in Microsoft products including PowerPoint, Word and Excel, as well as forensic accounting tools
• CPA or CFE preferred

Gf-audit ManagerResume Examples & Samples

• Independent Price Verification and Fair Value Adjustments
• Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate) branch examinations, as well as business monitoring and governance committee reporting
• Manages a complex and critical unit within Internal Audit including a small to medium sized team of Internal Audit professionals
• Manages the completion of an audit within the allotted a budget
• 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 Consumer or Investment Banking, Technology Management, Project/Program Management, Regulatory Compliance or Supplier Management
• Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues, analyzes reporting findings, and recommends appropriate interventions where needed; proposes creative and pragmatic solutions for risk and control problems; partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
• Expertise on Valuation of financial instruments and key controls associated with the independent price verification and fair value adjustments process

Audit Semi SeniorResume Examples & Samples

• Preparation of full statutory accounts
• Preparation of management accounts
• Building and maintaining excellent relationships with clients and seeking to provide a value added service
• VAT and Tax returns
• Ad hoc and project work

Team Lead, AuditResume Examples & Samples

• Assigns SOX body of work to auditors and monitors execution
• Provides technical expertise to staff and is able to manage, measure, and monitor status of work and deliverables in accordance with agreed upon timeframes
• Reviews, evaluates and approves SOX workpaper documentation, including results of walk-throughs, test of design and operating effectiveness, validation results, and auditor rationale and conclusions, in accordance with departmental procedures, standards and protocols
• Reviews internal audit reports issued for any SOX implications
• Actively communicates with SOX team within Finance and external auditor and understands the SOX project from end-to-end perspective
• Ability to concisely report and prepare metrics/reporting for the status of SOX testing
• Responsible for staying current on regulatory rules and changes within the industry, with specific attention on SOX, and communicating changes/developments to the department
• Participates in meetings with business unit to discuss audit results
• Communicates exceptions to related audit team managers as needed
• Conducts the performance management process for direct reports. Oversees the performance management process and ensures that Audit Managers are identifying training and development needs for their respective audit teams
• Communicates with partners at all levels, developing and presenting recommendations on operations and controls for the business unit

Director of Internal AuditResume Examples & Samples

• Oversee and manage the effectiveness and efficiency of the audit team, including using kaizen techniques
• Advise the Bank’s Executive Management and other personnel of emerging audit trends and issues and consult and guide the Bank in the establishment of controls to ensure compliance and risk mitigation
• Being a resource and providing leadership and engagement at a team level and across Risk & the wider Bank

CO OP Audit TechnologyResume Examples & Samples

• Strong IT background (Windows 7, XP, NT, AD, Microsoft IIS, SQL Server, Outlook 2010, Notes R8, VPN etc.)
• Programming and database technology (noting there may/may not be some limited exposure to programming over the course of the Co-op term)
• Solid experience helping users with the MS Office Suite (WORD, Excel, PowerPoint, Access), VB
• Basic knowledge of PC networking and communication
• The successful candidate will be able to work effectively in a team environment, have good time management skills, effective listening and communication skills

AuditResume Examples & Samples

• Bachelor’s Degree in accounting, finance, technology or the equivalent combination of Education, training, and work experience
• 3+ years of audit experience in both Information Technology and Finance areas
• Solid listening skills
• Strong organization and follow-up skills
• Ability to give and follow instructions accurately and efficiently
• 1 or more relevant professional certifications, with preference given to a CISA

AuditResume Examples & Samples

• Auditing of accounts to accomplish the yearly audit plan
• Document business controls and processes,
• Be able to spot and document any potential issues, and discuss this with the management in Audit and Business unit
• Maintain updated knowledge on any new regulations or the industry as a whole
• Contribute to initiative to improve the team as a whole
• Strong experience in Internal/External Auditing or Consulting, or
• Alternatively someone with strong experience in Financial Institutions with a drive to move into auditing
• Have management skills to lead projects and manage team members
• Self motivated and committed

Gf-audit ManagerResume Examples & Samples

• Develops and executes a robust audit plan, by reviewable entity, for assigned businesses in accordance with internal audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
• 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: consumer or investment banking, technology management; project/program management; regulatory compliance or supplier management
• Analyzes reporting findings
• Recommends appropriate interventions where needed
• Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Market risk products, especially those associated with market risk

Audit Manager, AnalyticsResume Examples & Samples

• BCAR reporting
• Compliance Surveillance
• Advance Proficient in SAS
• Proficiency in MS Excel and MS Access
• Strong problem solving and conflict resolution skills with the ability to exercise mature judgment

Gf-audit ManagerResume Examples & Samples

• Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate,) branch examinations, as well as business monitoring and governance committee reporting
• Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget; 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 Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management
• Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues; analyzes reporting findings; Recommends appropriate interventions where needed; proposes creative and pragmatic solutions for risk and control problems; partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
• BA/BS or equivalent; related certifications (CISA, CISSP, CIA or similar) are a plus
• Specific subject matter expertise regarding technology control disciplines and a strong technology infrastructure knowledge with a sound understanding of the financial services provided by Citi, especially those associated with the ASPAC region

Assistant Audit ManagerResume Examples & Samples

• Direct reporting to the IT Audit Manager and working in a team environment
• Perform system audits and risk assessments
• Engage in developing audit plans and evaluate specific issues

Director of Internal AuditResume Examples & Samples

• Assessment and testing of financial, operational, compliance, and information technology risks
• Analysis of company's systems, processes, methodologies, data, internal controls and governance practices
• Review and approval of audit programs and time budgets
• Implementation of policies and procedures
• Process improvement
• Mentoring and professional development of staff
• Bachelor's degree in Accounting required; Master’s degree preferred
• CPA or CIA strongly preferred
• Public accounting experience strongly preferred
• Internal audit management experience required

AuditResume Examples & Samples

• Analyse risks and proactively identify the root-cause of issues
• Education to degree standard is preferable, as is a relevant professional qualification
• Recognized Accounting qualification is desirable although not essential. All relevant educational, business or accounting qualifications will be taken into account

AuditResume Examples & Samples

• Execute and document audits with limited supervision in a risk focused manner and to a high standard in accordance with department and professional standards
• Finalise audit findings and use judgment to provide an opinion on control effectiveness
• Communicate audit issues in a clear and concise manner, both verbally and in writing
• Execute continuous monitoring for assigned areas. This includes monitoring of key metrics to identify control issues and adverse trends in the control environment and keeping abreast of key initiatives and pertinent industry and regulatory developments
• Recognised Accounting qualification is desirable although not essential. All relevant educational, business or accounting qualifications will be taken into account