Principal Auditor Cover Letter

I would like to submit my application for the principal auditor opening. Please accept this letter and the attached resume.

In the previous role, I was responsible for regulatory compliance expertise by sharing external regulatory environment, industry trends as well recommending actions to address any potential impact to the enterprise.

Please consider my qualifications and experience:

• Experience of analysing and articulating IT Infrastructure risks, combined with a good understanding of IT services and processes in an enterprise environment according to Enterprise Risk Management, Information Technology Infrastructure Library and Cobit frameworks
• Strong English language skills (additional languages would be beneficial)
• Knowledge of global medical devices and combination product regulations
• Robust knowledge of capital markets processing with demonstrable experience of IT auditing in an Investment Banking context
• Strong IT SME skills in the outsourcing and vendor IT governance arena and a proven track record in audit or a related discipline
• Has the confidence to deal with senior Stakeholders
• Proficient in time and resource management
• Has a strong appreciation of IT risks, regulatory requirements and IT controls in the third party vendor outsourcing and service delivery environment

Please consider me for the principal auditor opportunity. I am including my resume that lists my qualifications and experience.

In the previous role, I was responsible for support for key financial and operational areas impacting financial reporting and risk-based audits of these areas.

Please consider my qualifications and experience:

• Strong IT audit experience
• Able to shape and sustain the Internal Audit department’s use of computer assisted audit techniques, including data extraction and analysis, continuous auditing, SharePoint collaborative audit portals
• Experience in complex team activities
• In-Depth Knowledge of U.S. cGMPs, Device or Biologic regulations and FDA guidance
• In-Depth Knowledge of EU GMPs, Device or Biologic regulations and ICH guidance’s and International Standards (Risk Management, ICH 8, 9, 10)
• Knowledge of other International GMP, Device or Biologic regulations (ANVISA, Japan, Canada )
• Knowledge of drug, device or biologic manufacturing, packaging, laboratory, and warehousing operations
• Knowledge of Global Markets including Foreign Exchange, Futures & Options, Over the Counter (OTC) credit and rates, Fixed Income & Equities

Please consider me for the principal auditor opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for leadership in the development of audit scope, identification of key objectives, related risks, and the control activities/environment in place to mitigate these risks.

Please consider my qualifications and experience:

• Experience of working directly with vendors
• Capable of carrying out planning, preparation, coordination and execution of audits, including those in international vendor locations and be able to facilitate issue tracking and validate closure of issues
• Demonstrable competency to evaluate the adequacy and effectiveness of controls in the relevant business areas in accordance with Group Audit methodology and the established risk assessment framework
• A creative, tenacious and delivery oriented “self-starter” with confidence, drive and enthusiasm
• Works with integrity and to the highest possible professional standards, in particular as the work requires close engagement with third party organisations and representatives
• Experience in Banking would be beneficial
• Strong understanding of banking and capital markets products, key banking regulations including Basel III, CCAR (SR 15-18, Regulation Y and YY)
• Knowledge of controls surrounding model risk governance, model development, implementation and change management, model validation (SR 11-7)

I submit this application to express my sincere interest in the principal auditor position.

In my previous role, I was responsible for leadership to business unit Regulatory Affairs Specialists (RAS) and international regulatory staffs to provide regulatory support for changes to existing products.

Please consider my qualifications and experience:

• Excellent written / verbal communication skills and be able to communicate effectively at all levels within Group Audit and with the stakeholder
• Programming experience in quantitative and object oriented programming environments, Matlab, C++, SAS or R
• Strong knowledge of (re)insurance, internal control and governance
• Good understanding of finance and regulatory requirements in Japan
• CPA, CA, CIA or professional certification (preferred)
• Good command of both English and Japanese (speaking, reading and writing)
• Structured analyst, able to analyse, structure and assess difficult circumstances and data
• Inclusive team-player, focused on results and able to support the team in reaching team goals and milestones

In response to your job posting for principal auditor, I am including this letter and my resume for your review.

In the previous role, I was responsible for advice on branch specific privacy issues and act as the local regulatory liaison on key privacy matters.

Please consider my experience and qualifications for this position:

• Good knowledge of (re)insurance, internal control, governance, finance and/or regulatory environments in Asia
• Prefer a background in mortgage originations or related fields
• Knowledge of TMO or other LOS systems is desirable
• Project management and presentation experience is desirable
• Experience with data analysis and data tracking and trending is desirable
• Regulatory Reporting knowledge of reports and schedules (FRY-9C, FFIEC031/041, FFIEC002, FR2314/ FRY-11, FRY-7
• Proficient with Microsoft Office to include Excel, Access, Visio and PowerPoint
• Audit experience preferred in public accounting or internal audit, focusing on Financial Services