Analyst, Internal Audit Resume Samples

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SH
S Hegmann
Sarina
Hegmann
49961 Goyette Trafficway
Houston
TX
49961 Goyette Trafficway
Houston
TX
Experience Experience
04/2015 – present
Chicago, IL
Senior Analyst, Internal Audit
Chicago, IL
Senior Analyst, Internal Audit
04/2015 – present
Chicago, IL
Senior Analyst, Internal Audit
04/2015 – present
  • Completion of clear and concise work papers that articulate the work performed and the conclusions reached
  • Preparation of risk-based work plans and work papers to professional standards in line with Internal Audit methodologies
  • Performing due date tracking, management follow-up, and validation testing for the remediation of audit findings
  • Communication with senior client management to articulate issues and areas for improvement
  • Perform process audits / assignments independently or lead the team of Analyst(s) with support from Manager(s)
  • Work with the business to finalize management action plans, owners, and business hand-offs
  • Provide periodic updates to the management of business units across the Firm
01/2013 – 03/2015
New York, NY
Technology Operations Analyst Internal Audit
New York, NY
Technology Operations Analyst Internal Audit
01/2013 – 03/2015
New York, NY
Technology Operations Analyst Internal Audit
01/2013 – 03/2015
  • Document, track and perform trend analysis on End-Users support calls to identify opportunities for process and or system improvements
  • Financial soundness
  • Respond to first level 1 audit methodology process execution “HOW TO” calls and escalate assistance requests to Internal Audit Quality Assurance/Audit Methodology team as necessary
  • BS or equivalent in Information Systems or Accounting/Information Systems. Related certifications (CISA, PMP, Microsoft or similar) are a plus
  • Assist in the development and delivery of audit application technical and workflow process training sessions including the preparation of user instructional guide documentation
  • Plan and conduct periodic audit system continuity of business testing procedures in alignment with corporate and department business goals. Assist in the design and development of ad-hoc audit system management information reports to monitor system performance and transaction process bottleneck activities
  • Coordinate Internal Audit personal computer deployment and equipment refresh activities in alignment with Citigroup distributed technology standards. Monitor alignment of equipment standards with Citigroup technology standards
08/2010 – 11/2012
New York, NY
Analyst, Internal Audit
New York, NY
Analyst, Internal Audit
08/2010 – 11/2012
New York, NY
Analyst, Internal Audit
08/2010 – 11/2012
  • Ensure timely update of audit program / plan of action / testing program and preparation of work paper for the work performed
  • Support Senior Analysts and Managers and make recommendations on audit matters to Business Unit stakeholders
  • Assist in conducting process audits with the assignment leads (Sr. Analysts / AMs / Managers)
  • Perform procedures to validate the implementation of agreed remedial action points reported to the senior management
  • Identifying and evaluating the organization’s risk areas and providing input into the development of the annual audit plan
  • Communicating the results of audit results via written reports and verbal presentations to management
  • Conducting interviews and walkthroughs, reviewing documents and evidence, and preparing working papers
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Harvard University
Bachelor’s Degree in Accounting
Skills Skills
  • Strong initiative and a self-starter with a proven ability to work with minimal supervision; and
  • Demonstrable experience and ability in gaining an understanding of the business' risk and control environment
  • Flexible and team-oriented with strong integrity and professionalism
  • Real estate experience is a highly desirable
  • Paying attention to details and producing quality work
  • Responsible for timely, high quality and error free execution of field work
  • Proficient in Microsoft Office products including, Word, Excel, Outlook and other business software to prepare reports, memos and summaries
  • Ability to communicate with influence
  • Knowledge/understanding of risk as it relates to operational/reputational/earnings and financial risk and other divisional specific risk categories
  • Strong analytical experience
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1

Analyst, Internal Audit Resume Examples & Samples

  • Identifying and evaluating the organization’s risk areas and providing input into the development of the annual audit plan
  • Performing audit procedures, including identifying and defining issues, conducting testing, and concluding on testing results
  • Conducting interviews and walkthroughs, reviewing documents and evidence, and preparing working papers
  • Communicating the results of audit results via written reports and verbal presentations to management
  • Working with the Internal Controls Group to perform internal control procedures, understanding and documenting client processes and procedures, identifying and defining issues, conducting testing, and concluding on testing results
  • Performing various other tasks and projects as required
  • Strong initiative and a self-starter with a proven ability to work with minimal supervision; and
  • Flexible and team-oriented with strong integrity and professionalism
  • 2-4 years internal audit experience, experience on SOX compliance and/or SOC 1 engagements preferred
  • Ability to apply internal auditing and accounting principles and practices, management principles and preferred business practices
  • Proven capability in collecting and analyzing complex data, evaluating information and systems and drawing logical conclusions
  • Track record in planning and project management and in maintaining composure under pressure while meeting deadlines
  • Strong skills in resolving problems and negotiating issues; and
  • Proficient in Microsoft Office products including, Word, Excel, Outlook and other business software to prepare reports, memos and summaries
2

Data Analyst Internal Audit Resume Examples & Samples

  • An interesting position as a member of the global Data Analytics team, driving the integration and enhancement of the Data Analytics Program throughout Internal Audit
  • Educating the Internal Audit and the Business in how Data Analytics can improve their control framework and delivering increasingly innovative solutions in the assurance Internal Audit provides to the bank
  • Opportunities to analyse data from a broad range of business areas and to deepen your understanding of the business working in partnership with business experts to support audits in these fields
  • Provide insights to audit teams which are not possible using traditional audit techniques and deliver great value to the team
  • Proactively engage Internal Audit team to identify opportunities to leverage technology and analytics in connection with risk assessment, audit execution processes, as well as helping the business understand how they could improve their control framework using data analytics
  • Be a team member or team leader on various special projects requiring analytical skills and bank industry knowledge
3

Senior Data Analyst, Internal Audit Resume Examples & Samples

  • 5-8 years of data analysis experience, preferably leveraging Microsoft SQL Server or Tableau tools
  • Demonstrated knowledge of the data analysis process and experience with the application of data analytics in the assessment of IT and business processes
  • Experience with Microsoft SQL Server (SSMS, SSIS and SSRS), SQL/T-SQL Query Language and Tableau (or like tools) preferred
  • MCSA and MCSE certifications in SQL Server, or Tableau Desktop Certification are highly desirable
  • 3-5 years of internal audit experience preferred
  • CISA and / or CISSP certifications a plus
4

Senior Data Analyst, Internal Audit Resume Examples & Samples

  • Develop expertise in navigating the data environments in TWC and provide value-added data analysis solutions to various internal audit teams
  • Technical experience writing SQL or ACL code for audit, regulatory compliance, or risk management reporting with the ability to utilize data analysis methodologies and tools to increase the efficiency and effectiveness of the internal audit process
  • Identify opportunities to utilize data analysis in the assessment of risk and controls
  • Navigate technology environments to locate, validate, extract, and format data for testing
  • Effectively document data analysis activities in accordance with internal audit policy
  • Work with IT and Audit Management to define and document data requirements
  • Ability to work in a complex and changing environment with multiple tasks and projects on different platforms and technologies
  • Proven experience in problem solving, attention to detail and root cause analysis in a technical environment
  • Ability to communicate in a professional, accurate and clear manner to a variety of internal and external contacts (technical, non-technical, peers, management)
  • Proficiency with ACL and SQL (e.g., SQL Server Management Studio, TOAD, etc.)
  • Proficiency with presentation tools (e.g., IDEA, Tableau, etc.)
  • Ability to lead projects/initiatives with high risk and complexity
  • Some combination of experience with ACL, MS SQL, SAS, Cognos, or other data analysis tools
  • Licensed CPA, CIA, CFE, CISA, or ACDA a plus
  • Prior cable or telecommunications experience a plus
  • Internal controls and/or financial accounting/auditing experience a plus
5

Senior Analyst, Internal Audit Resume Examples & Samples

  • Execute audits across all business areas and support functions of the Macquarie Group (including capital markets, asset management, AML)
  • Communication with senior client management to articulate issues and areas for improvement
  • Some domestic and international travel will be required
6

Analyst, Internal Audit Resume Examples & Samples

  • Contribute to audit initiatives across the Enterprise
  • Take accountability for ensuring audit responsibilities are completed on time, within budget and to agreed standards
  • Contribute proactively to the team and ensure all audit issues and obstacles are managed appropriately
  • Support Senior Analysts and Managers and make recommendations on audit matters to Business Unit stakeholders
  • Proactively monitoring risk and assurance requirements
  • Demonstrate ongoing commitment to continuous improvement of processes
  • Ability to communicate with influence
  • Knowledge/understanding of risk as it relates to operational/reputational/earnings and financial risk and other divisional specific risk categories
  • Strong analytical experience
  • Proficient on excel
7

Senior Analyst, Internal Audit Resume Examples & Samples

  • Minimum 4 years of experience within the asset management industry
  • Risk based audit experience preferred in public accounting, or Corporate, Internal Audit, with a specific focus on the asset management industry
  • Proficiency in evaluating and testing internal controls and in applying risk based audit skills
  • Strong analytical, risk management and problem solving skills
  • Strong interpersonal skills to be able to interact with Senior Management of Wellington Management
  • BS/BA degree required – Accounting, Finance, Economics, Computer Science, Information Technology, or other relevant business field of study
  • A CIA, CISA, CPA, CFE, CRMA/CRM, CAMS, and/or, PMP is a plus
  • Ability to thrive in a fast-paced environment, in a developing function
  • Willingness to travel, when needed
8

Senior Analyst, Internal Audit Resume Examples & Samples

  • Chartered Accountant or Full time MBA
  • CPA, Certified Internal Auditor or other professional certification is optional
  • 2 years min Audit experience, mortgage servicing or public accounting experience preferred
  • Should be proficient with using various Microsoft products including Excel, Access and Word and with flowcharting software
9

Systems Analyst Internal Audit Resume Examples & Samples

  • Develop detailed business requirements through discussion with IA stakeholders
  • Participate in ongoing discussions and document reviews with the Citi IT Systems Analysts as they convert the Business Requirements into Functional Requirements
  • Participate in all aspects of planning and executing UAT activities for each AIMS application release including the development of detailed test scripts
  • Act as a source of knowledge for the AIMS Helpdesk, QA and MI team on how specific functionality works
  • Review AIMS documentation and procedures put together by the QA team as well as perform various miscellaneous tasks related to the AIMS system
  • BA/BS or equivalent in Information Systems or Accounting/Information Systems
10

Analyst, Internal Audit Resume Examples & Samples

  • Identification and evaluation of the risks on audited activities
  • Preparation of the risk assessment & work programs
  • Previous working experience in Financial/Audit field is preferable
  • Appetite to learn new things and develop audit skills
  • Paying attention to details and producing quality work
  • Taking accountability for his/her actions
  • Generating creative and practical ideas at work (e.g. Think outside of the box)
  • Sharp analytical mind
11

Technology Operations Analyst Internal Audit Resume Examples & Samples

  • Conduct level 1 problem resolution of office productivity software, distributed desktop/laptop hardware, network problems and provide basic end-user technical support services to Internal Audit staff
  • Respond to IA End-User Helpdesk audit management system service assistance across the entire range of Internal Audit’s current and future application tools. ----Audit Information Management System (AIMS), PlanView, Lotus Notes based AutoAudit/IssueTrack Audit Workpaper Management System, IAUPT – Internal Audit Universe Planning Tool - web-browser based Audit Universe planning Tool,
  • Respond to first level 1 audit methodology process execution “HOW TO” calls and escalate assistance requests to Internal Audit Quality Assurance/Audit Methodology team as necessary
  • Document, track and perform trend analysis on End-Users support calls to identify opportunities for process and or system improvements
  • Assist in the development and delivery of audit application technical and workflow process training sessions including the preparation of user instructional guide documentation
  • Coordinate the daily and weekly processing of internal audit use system access entitlement requests including conducting periodic system access entitlement reviews to ensure appropriate system access to sensitive audit management data
  • Plan and conduct periodic audit system continuity of business testing procedures in alignment with corporate and department business goals. Assist in the design and development of ad-hoc audit system management information reports to monitor system performance and transaction process bottleneck activities
  • Coordinate Internal Audit personal computer deployment and equipment refresh activities in alignment with Citigroup distributed technology standards. Monitor alignment of equipment standards with Citigroup technology standards
  • Participate in the performance of audit system enhancement user acceptance testing activities and identification of required corrective actions. Develop users test plans and test cases scenarios
  • Document, review and process audit management system data correction transactions in accordance with departmental procedures. Participate in the development and preparation of periodic data quality and integrity scans of audit management systems to identify possible data validation and integrity shortfalls
  • Monitor audit management system development services, application system licenses fees and internal technology infrastructure services provider expenses chargeback fees
  • Participate in the preparation and secure deliver of internal audit information to authorized regulators and external auditors
  • Contribute to the development, implementation and periodic assessment of Internal Audit operating policies and procedures to support the consistent communication and execution of Internal Audit business activities across all IA region and office locations
  • Specific proven expertise, extensive years of experience, in the performance and delivery of application support and distributed technology helpdesk services
  • Expert technical background and experience in supporting large global distributed technology environments. Demonstrated expert in MS Office productivity software tools, (Word, Excel, PowerPoint, Access, Visio, SQL, Business Objects, Data Analysis Tool) Windows operating systems, relational database concepts and reporting tools
  • Leadership skills with operational experience in managing small to moderate teams in highly sensitive and critical business environments requiring the achievement of results within defined deadlines
  • Excellent verbal and written communication skills. Problem analysis and interpersonal skills. Ability to interact with all levels of internal and external audit management levels
  • BS or equivalent in Information Systems or Accounting/Information Systems. Related certifications (CISA, PMP, Microsoft or similar) are a plus
  • Knowledge of mobile technology hardware and software applications solutions
  • Basic level of understanding and exposure to Internal Audit concepts and/or technology general control processes would be beneficial
  • Multi-Lingual capability a plus
12

Analyst, Internal Audit Resume Examples & Samples

  • Understand expectations from the lead on the audit assignments
  • Acquire technical / business unit knowledge and soft skills as necessary for efficient delivery of work
  • Assist in conducting process audits with the assignment leads (Sr. Analysts / AMs / Managers)
  • Responsible for timely, high quality and error free execution of field work
  • Ensure timely update of audit program / plan of action / testing program and preparation of work paper for the work performed
  • Clear and timely documentation and communication of the results orally and in writing to the assignment leads (Sr. Analysts / AMs / Managers)
  • 1-2 years of Audit experience, mortgage servicing or public accounting experience is an advantage
  • Should be proficient in using various Microsoft products including Excel, Word, Powepoint, Access and Visio or equivalent flowcharting tool(s)
  • Strong communication and analytical skills required
13

Senior Analyst, Internal Audit Resume Examples & Samples

  • Understand expectations from the audit assignment lead (AM/ Manager)
  • Perform process audits / assignments independently or lead the team of Analyst(s) with support from Manager(s)
  • Discussions with assignment lead on risks, findings and progress
  • Prepare the audit program / plan of action / testing program and ensure adequacy of risk coverage – both operational and standard requirements as per review checklist
  • Clear and timely documentation and communication of the results (draft findings) orally and in writing to the assignment leads (AM/ Manager)
  • Perform procedures to validate the implementation of agreed remedial action points reported to the senior management
  • Chartered Accountant/ Full time MBA
  • CPA, Certified Internal Auditor (CIA) or other professional certification is optional
  • 2-4 years of Audit experience, mortgage servicing or public accounting experience is an advantage
  • Should be proficient in using various Microsoft products including Excel, Word, Powerpoint, Access and Visio or equivalent flowcharting tool(s)
  • ACL knowledge will be a plus
14

Senior Analyst, Internal Audit Resume Examples & Samples

  • Obtains, analyzes and appraises internal system controls for adequacy, effectiveness and efficiency, while evaluating the controls compliance with established policies, procedures and plans
  • Reports engagement observations to IA management with constructive recommendations for improving operations and controls, promoting growth, reducing costs, and ensuring compliance with applicable laws and regulations
  • Identifies risks within a process/functional area and recommends controls to mitigates the risks
  • The role will require a candidate that has very good communication skills to tailor messaging to various audiences while acting as the liaison between several functional groups
  • The analyst must have strong data analytical skills
  • Attends training, (formal and informal) and engages in self-study to keep abreast of emerging audit concepts, industry best practices and development of interpersonal skills
  • Bachelor’s degree and/or experience in Accounting or other business fields
  • Ability to work cross-functional and develop business partner relationships to achieve company goals
  • Extensive knowledge in analyzing data trends
  • Ability to source and interpret data from a variety of applications
  • Ability to prioritize and multi-task effectively
  • Problem solving and analytical skills
  • Strong knowledge of Microsoft applications (Excel, Access, SQL)
  • Strong knowledge of ACL, IDEA or similar analytic tools preferred
  • 25% travel required
15

Senior Analyst, Internal Audit Resume Examples & Samples

  • Participate in risk assessment and prioritization related discussions and assist determining the scope of activities and deliverables for the audit team
  • Execute complex and often ambiguous scope areas and leverage technical expertise and/or Dell knowledge
  • Evaluate the control objectives; determine management assertions, sample selection, testing and assess recommendations of all potential findings
  • Evaluate complex processes and/or business situations and identify solutions and opportunities for improvement
  • Lead discussions with management and utilize independent judgment to resolve problems
  • Work with the business to finalize management action plans, owners, and business hand-offs
  • Document, review, edit and evaluate work papers, ensuring adherence to Internal Audit Standards
  • Strong communication skills (verbal & written)
  • Self-motivated and strong drive for results
  • Effective project management and organizational abilities
  • Prefer experience in risk assessment and/or audit
  • Experience in Six Sigma and process improvement is an additional benefit
  • Prefer Bachelor's degree with 3+ years experience/equivalent training
  • Prefer diverse experience in a combination of roles within Dell and/or other large companies
  • Language skills are an additional benefit
16

Senior Analyst, Internal Audit Resume Examples & Samples

  • The ability to execute the planning, fieldwork and reporting stages of the internal audits
  • Leading interviews to understand current state systems, processes, and controls and assessing risk with minimal oversight and supervision
  • Performing walk-throughs of control processes and substantive testing, as necessary
  • Designing audit procedures for high-risk and complex audit areas
  • Completion of clear and concise work papers that articulate the work performed and the conclusions reached
  • Identifying, developing and documenting audit findings and discussing the findings with the stakeholders
  • Drafting audit reports and communicating audit results via verbal and written presentations to management
  • Developing and maintaining relationships with stakeholders
  • Drafting audit committee and other internal audit meeting materials
  • Performing due date tracking, management follow-up, and validation testing for the remediation of audit findings
  • Advising stakeholders on the strengths and weaknesses of controls and developing effective solutions
  • Performing job administration responsibilities, including creating status reports and tracking budget-to-actuals
  • Pursuing professional development opportunities via professional associations, certifications, and internal/external training; and
  • Performing various other tasks and special projects as required
  • 4-5 years of audit experience
  • Internal audit experience within the asset management industry
  • Experience applying internal auditing standards and accounting principles and practices, management principles and business practices
  • Experience preparing for and presenting to senior audiences
  • Experience planning and managing project plans (includes ensuring timely completion of assigned project phases within a provided budget); and
  • Proficiency with Microsoft Office suite applications, with a specific emphasis on Word, Excel, Outlook and PowerPoint to prepare work papers, reports, memos and summaries
17

Senior Analyst, Internal Audit Resume Examples & Samples

  • Identifies possbile solutions to a variety of technical problems and takes actions to resolve
  • Applies judgment within defined parameters
  • Receives general guidance and may receive more detailed instruction on new projects
  • Audits financial and operational processes in accordance with the International Standards for the Professional Practice of Internal Auditing
  • Evaluates financial and operational risk to the organization and performs tests of controls and substantive procedures to assess the adequacy of the control environment
  • Helps prepare project-level risk assessment documentation, the detailed audit program, and opening and closing communications to auditees
  • Executes detailed audit program assignments and documents testing performed and results achieved in a clear and concise manner
  • Communicates progress and issues with the primary audit project business contact and audit management
  • Works proactively with business partners to ensure audit recommendations are implemented timely
  • Collaborates with SOX project management teams and external auditors
  • Bachelor's degree in related field, or equivalent work experience
  • 2+ years experience in related field
18

Senior Analyst, Internal Audit Resume Examples & Samples

  • Plans and conducts moderate-level audits and/or projects, to assist the team in completing the audit plan, within established budgets. With management oversight, responsible for conducting interviews and walk-throughs, performing analysis to identify key business risks and controls, determining audit scope, designing testing strategies, testing, evaluating, and documenting internal controls, identifying control gaps and identifying and reporting audit issues based on significance, risk and impact. Collaborate with business partners to develop appropriate management corrective action plans. Conduct follow up on remediation of control gaps. Coordinate or actively participate in audit related meetings
  • Assist in the accomplishment of Audit Department initiatives, goals, productivity, efficiency, and audit plan
  • Contributes to the development and use of an audit analytical system (e.g. ACL) in support of enhancing audit testing strategies and/or monitoring activities
  • Assists in special projects or performs other duties as assigned
19

Senior Analyst Internal Audit Resume Examples & Samples

  • Qualified CA with proven experience in Audit activities
  • Ability to think critically, objectively, and analytically with an appropriate level of skepticism
  • Ability to determine control objectives, identify control procedures that address those objectives, and assess the adequacy of those procedures
  • Ability to work accurately and efficiently under pressure
  • Proven ability to guide, challenge, support, and develop professional staff auditors
  • Ability to manage project work to meet budgets and agreed timelines
  • Experience with spreadsheet, word processing, and presentation packages, preferably Microsoft Office software products, required
  • Strong interpretive skills and analytical abilities
  • Exposure to or knowledge of Information Technology controls and audits will be a plus
  • Willingness to work in a 9 AM to 6 PM shift
20

Senior Analyst, Internal Audit Resume Examples & Samples

  • Execute and lead projects as prescribed by the test plan for internal financial, operational, and compliance audits in accordance with business policies and other regulatory requirements in an evolving corporate environment
  • Identify deficiencies and recommend process improvements to policies/procedures and internal business controls
  • Summarize findings in a clear and concise manner
  • Ability to work in a flexible, fast-paced work environment
21

Analyst, Internal Audit Resume Examples & Samples

  • Execute projects as prescribed by the test plan for internal financial, operational, and compliance audits in accordance with business policies and other regulatory requirements in an evolving corporate environment
  • Work cohesively with other members of the department
  • Accomplish department goals and implement innovative ideas
22

Analyst, Internal Audit Resume Examples & Samples

  • Demonstrated experience in audit and / or risk management
  • Demonstrable experience and ability in gaining an understanding of the business' risk and control environment
  • Ability to engage and communicate with influence across a wide range of stakeholders