Audit Director Resume Samples

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LM
L McGlynn
Lexus
McGlynn
904 Bailey Harbor
Los Angeles
CA
904 Bailey Harbor
Los Angeles
CA
Experience Experience
01/2016 – present
Los Angeles, CA
Audit Director, Franchise
Los Angeles, CA
Audit Director, Franchise
01/2016 – present
Los Angeles, CA
Audit Director, Franchise
01/2016 – present
  • Manage Citi Alumni network and activities in country
  • Provide integrated country business and risk profiles and plans to senior management
  • Oversee, in partnership with HR, franchise-wide talent review and development activities including succession, recruiting and training
  • Partner with regional business and function executives on goals, performance review and compensation of country business and functional heads
  • Manage reporting and tracking of legal entities in-country
  • Leader of Public Sector Business, including responsibility for full PandL, business development and client relationships
  • Cross-Business/Function issue management (e.g., Transfer Pricing Transparency)
05/2013 – 10/2015
Dallas, TX
IT Audit Director
Dallas, TX
IT Audit Director
05/2013 – 10/2015
Dallas, TX
IT Audit Director
05/2013 – 10/2015
  • When leading a review you are the prime responsible establishing and maintaining a professional relationship with senior management and their teams
  • Support the VP of IT Audit to external auditors; interacts with regulatory agencies by providing responses and comments regarding internal audit issues and procedures
  • You will also join a Knowledge Management Community, engaging in best–practice sharing, knowledge accumulation and actively share your knowledge with other Philips Internal Audit peers
  • Takes a lead role in assisting the Global Head of IT Audit and Regional Head of Internal Audit (North America) in developing the annual Internal Audit activity plan. Manages ongoing relationships with the key senior stakeholders, to ensure the plan stays up to date and aligned to strategic priorities and key risks
  • Building, developing, and managing teams to meet the goals and objectives outlined. The IT Audit Director will work closely with the leadership team to accomplish these goals
  • Collaborate with stakeholders and audit teams to provide expert support, analysis, and research for complex problems and processes relating to the subject matter
  • Develops the scope of internal audit reviews and agrees them with senior management
07/2009 – 01/2013
Chicago, IL
Audit Director
Chicago, IL
Audit Director
07/2009 – 01/2013
Chicago, IL
Audit Director
07/2009 – 01/2013
  • Proactively work with Senior Managers and overall Project Manager to participate in client meetings to provide updates on progress and findings
  • Effectively performs all HR related company processes such as Performance Management, team mentoring, development planning, Organizational planning, etc
  • Consult, work with, and service client base to make recommendations on business improvement and process improvement and serve as a business advisor to client
  • Works effectively with senior management and builds strong relations with all relevant stakeholders, including management partners locally and regionally
  • Manage, develop, train, and mentor staff on projects and assess performance for engagement and year-end reviews
  • Monitoring the development of managers, and juniors, playing a key role in their development
  • Develop planning, participate and manage execution of projects within established budgets and timelines
Education Education
Bachelor’s Degree in Accounting Required
Bachelor’s Degree in Accounting Required
Pepperdine University
Bachelor’s Degree in Accounting Required
Skills Skills
  • Strong understanding of investment management, trading or capital markets businesses, products or processes
  • Excellent project management, organizational and presentation skills
  • Experience managing teams of skilled professionals and developing junior talent
  • Excellent communication (verbal, written, and listening) and interpersonal skills, including strong writing skills, particularly as related to audit reports and management presentations
  • Ability to develop and maintain effective working relationships with senior management and external regulators
  • Good understanding of current regulatory and industry events
  • CFA, CPA/CA, CRM or similar professional certification is
  • 12+ years of audit experience (either external or internal)
  • Excellent attention to detail
  • KYC, AML, Fraud, Technology, Sanctions, and Consent Orders experience is a major
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1

Audit Director Resume Examples & Samples

  • Overall management and/or leading the execution of assigned audits and projects, including ensuring timely completion
  • Responsible for leading multiple projects in addition to the effective management of audit execution
  • Primary business engagement responsibilities for one or more lines of business and foster strong relationships with the business
  • Providing controls advisory services to the Company’s various businesses
  • Collaborate with the other corporate risk and control functions to ensure activities are coordinated and fully leveraged
  • Identify key control issues and emerging risks, and work with management to ensure timely and effective remediation
  • Work with the applicable Regional Head of Audit in preparing and presenting periodic updates to the relevant internal and external governance forums
  • Provide timely and candid feedback and coaching to staff
  • Assist in the recruiting and development of a high performing team that will be a training ground for talent
  • Effectively manage resources to optimize productivity, meet training and development needs, and deliver high quality, value added assurance and advisory services
  • Engagement with relevant regulators
  • Broad exposure/experience with audit, risk management, operations, finance and compliance activities is preferred
  • Experience managing teams of skilled professionals and developing junior talent
  • Excellent communication (verbal, written, and listening) and interpersonal skills, including strong writing skills, particularly as related to audit reports and management presentations
  • Good understanding of current regulatory and industry events
2

Audit Director Resume Examples & Samples

  • Manages multiple teams of professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Identifies internal talent and fill key position, attracts talent with required expertise to meet the risk profile of the business, builds deep bench strength and develops appropriate succession plans
  • Ensures IA meets/exceeds the requirements and expectations of Citigroup's regulators
  • Specific subject matter expertise and a strong business understanding of Corporate Functions and Operations, including an expertise in at least one of the following-- Public Affairs, Corporate Operations including Realty Services, Accounts Payables and/or Procurement
3

Audit Director Resume Examples & Samples

  • Capital Planning Testing policies and procedures
  • Contribute towards the delivery of high impact reports of IA's contributions to executive management, regulators, and Citigroup and Citibank boards' sub-committees, developing trend analyses and thematic reporting
  • Collaborate across businesses and functions to improve the identification, quantification, measurement, management, reporting and controls in governance, risk management and internal control environments
  • Take responsibility and accountability of audit's coverage and reporting on common high risks areas such KYC, AML, Fraud, Technology, Sanctions, and Consent Orders and other enforcement action compliance
  • Proactively advance integrated auditing concepts. Leverages Internal Audit's Centres of Excellence to improve audit processes and coverage
  • 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 Citi's capital program policies, processes, controls, standards, methodologies and framework
  • Provide leadership and vision for the audit execution plan for data quality (accuracy, completeness, integrity), data input, rules/expectations across functional areas and systems to ensure accurate reporting of CCAR data and /or implementation of stress scenarios for forecasting
  • Consolidate and provide systemic and thematic issues and raise cross-functional topics as a result of audits related to CCAR/DFAST sections of Capital Planning for the senior leadership
  • Establish improve monitor close continuous partnerships with Risk, Finance and Technology Centre of Excellence (COE) Audit Team Members
  • Strong focus on internal controls and integrity of data
  • Previous CCAR/DFAST experience or Subject matter expertise in Capital Planning would be beneficial
  • Experience in evaluating company and business line financial information through detailed analysis of worksheets, systems and processes including products, business lines, channels, customers, new business, and forecasts
  • Strong analytical skills and the ability to use them to analyse complex data structures
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of Risk & Treasury products, especially those associated with the Institutional business
4

Audit Director Resume Examples & Samples

  • Directs complex 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. Responsible for providing valued and timely independent assurance on the design and operating effectiveness of a sub set of a product, function, or legal entity at a global or regional level
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of Financial Services Industry, especially those associated with KYC, AML, Transaction Monitoring and Sanctions
  • Knowledge of financial services Compliance and AML programs, regulations, standards, and standard business internal policies
  • Greater than 15 years of experience in areas related to banking regulations, AML programs, local standards, and internal policies
5

Audit Director Resume Examples & Samples

  • Manages a complex and 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: Consumer Banking, regulatory compliance, technology management, project/program management, and supplier management
  • Senior level (15+ years) 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 consumer regulatory requirements and a solid business understanding of consumer banking products and services, especially those associated with the Mortgage, Credit Cards, Retail and Unsecured Lending businesses
  • Knowledge of financial services Compliance programs, regulations, standards, and standard business internal policies
6

Audit Director Resume Examples & Samples

  • Franchise Management includes responsibility for executing the overall strategy of the franchise to achieve the short and long term goals of the Citi franchise in that country. CCOs help drive the growth of the overall Citi franchise and may also have varying degrees of direct accountability for specific areas of the business. CCOs’ roles as regards Franchise Management vary from country-to-country. However, when franchise-related issues arise within a country, all business managers and function heads in the country will work under the CCO's direction to resolve the issues. The CCO is accountable for escalating any franchise-related issues to the Regional CEOs and International Franchise Management in New York
  • The Director of Franchise Governance LATAM & Mexico 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 CCO to meet the CCO
  • Senior client representation,
  • Cross-Business/Function issue management (e.g., Transfer Pricing Transparency)
  • Responsible for employee wide communication within country
  • Ensure all functions and businesses in country have succession plans which are reviewed at least annually and include a focus on developing a pipeline of local talent
  • Manage Citi Alumni network and activities in country
  • The Director of Franchise Governance LATAM & Mexico 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 Director of Franchise Governance LATAM & Mexico will be responsible for managing a team of Franchise Governance team auditors supplemented by other Internal Audit personnel on a project-based secondment to a Franchise Governance audit and potentially by guest-auditors drawn from the CCOs and control functions
  • Strong communication skills, both verbal and written, to be able to interact confidently with IA peers, stakeholders and regulators
  • Strong team leader and player, able to build and leverage relationships across the organization
  • Able to work effectively at all levels in an organization
  • Candidate must be able to write reports, make presentations and articulate them in a clear, concise manner in English. Presentations in Spanish will be required from time to time
7

IA Audit Director, Treasury & Trade Solutions Resume Examples & Samples

  • Delivers learning and development programs and is a recognized leader in training and developing others
  • Takes responsibility and accountability of audit's coverage and reporting on common high risks areas such KYC, AML, Fraud, Technology, Sanctions, and Consent Orders and other enforcement action compliance
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of TTS products, especially those associated with the TTS business
8

Gf-audit Director Resume Examples & Samples

  • Contributes towards the delivery of high impact reports of IA's contributions to executive management, regulators, and Citigroup and Citibank boards' sub-committees and thematic reporting
  • Proactively advances integrated auditing concepts. Leverages Internal Audit's Centres of Excellence to improve audit processes and coverage
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of ICG and consumer products, especially those associated with the Markets business
  • Strong interpersonal skills for interfacing with all levels of internal and external audit and senior management
  • Strong leadership skills with a proven track record in making a positive impact on the organization
9

Cluster Audit Director, Western Europe Resume Examples & Samples

  • Delivers cost effective and efficient management of audit teams and audit engagements.Ensures IA meets/exceeds the requirements and expectations of Citibank’s and Citigroup's regulators
  • Takes responsibility andaccountability of audit's coverage and reporting on common high risks areassuch KYC, AML, Fraud, Technology, Sanctions, and Consent Orders and otherenforcement action compliance
  • Actively supports and drives theInternal Audit Transformation Program and IA’s and management’s efforts forCiti to have a “Strong” internal audit function and for Citi to have “Strong”control functions
  • Fully supports and endorses theQuality Assurance function of Internal Audit and promptly accepts andremediates deficiencies found by QA
  • Ensures the adoption of theappropriate portions of the Citigroup and Citibank Audit Committee Charters andthe Internal Audit Charter for applicable legal entities
  • Proactively advances integratedauditing concepts. Leverages Internal Audit's Centres of Excellence to improveaudit processes and coverage
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of ICG and consumer products, especially those associated with the markets business
10

Audit Director Resume Examples & Samples

  • Assist in the management, development and direction of the London based audit team
  • Overall project management and timely completion of assigned reviews and projects
  • Prepare and present periodic updates to Luxembourg and Dublin based fund boards
  • Maintain communication and develop relationships with key EMEA regulators, particularly the FCA
  • Collaborate with other corporate risk and control functions to ensure activities are coordinated and fully leveraged
  • Participate in key governance and oversight routines surrounding risk and control management
  • Identify key control issues and emerging risks; work with management to ensure timely and effective remediation
  • Recruit and develop a high performing team that will be a training ground for talent
  • The successful candidate should have extensive progressively responsible leadership experience in investment/asset management, risk or control related roles; Exposure/experience with audit, risk and compliance activities is preferred
  • Experience building and managing teams of skilled professionals
  • Excellent communication (verbal, written, and listening) and interpersonal skills; Strong writing skills, particularly as related to audit reports and management presentations
  • Ability to develop and maintain effective working relationships with executive management and external regulators
11

Audit Director Resume Examples & Samples

  • Takes responsibility and accountability of audit's coverage and reporting on common high risks areas such Financial Accounting, Regulatory Reporting, Valuation and Legal Entity management
  • Advanced level experience in a related role with extensive experience in Capital Markets business, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables
  • Specific subject matter expertise regarding broker dealer regulations and a strong business understanding of traded products, especially those associated with SEC regulated businesses
12

Audit Director Resume Examples & Samples

  • Responsible for assisting in the delivery of high quality, value-added multiple concurrent audits on time and to specification
  • Contributes to the delivery of audit reports and (where appropriate) branch examinations, that are complete, insightful, timely, error free and concise
  • Possesses a broad and comprehensive understanding of multiple disciplines (Audit, Risk, Compliance, and Training) and of different Audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including Securities and Investment Banking, technology management; project/program management; or supplier management
  • Takes responsibility and accountability of audit's coverage and reporting on common high risks areas such Product, Regulatory Change and Compliance related areas, as well as Consent Order and other enforcement action compliance
  • BA/BS or equivalent. Related certifications (CPA, CFE, ACA, CFA, CIA, CISA or similar) are a plus
  • Specifically this will cover the core businesses Capital Markets Origination, Corporate & Investment Banking, Markets, Treasury & Trade Solutions, Securities & Fund Services, and the Citi Private Bank
13

Audit Director Resume Examples & Samples

  • BA/BS or equivalent. Related quantitative/risk certifications (CFA, FRM, ACT, PRM, CQF or similar) are a plus
  • Specific subject matter expertise regarding technology application control disciplines and a strong understanding of market risk management concepts, applications and methodologies
  • Control subject matter expert with extensive experience in identifying, analysing and assessing operational risks across products, business lines and regions
14

Capital Markets Audit Director Resume Examples & Samples

  • Bachelor's Degree in Accounting, Economics, and/or Finance
  • Previous Audit experience (Financial; Operational; Products)
  • Investment Banking experience
15

Executive Audit Director Resume Examples & Samples

  • 10+ years of previous experience
  • Strong Credit / Quant / Model Risk background
  • Supervisory experience
16

Audit Director Resume Examples & Samples

  • 4+ years of current or recent CPA firm experience servicing Real Estate clients
  • Previous Audit (Financial) and Tax (Compliance; Corporate; Partnership) experience
  • Previous experience with Budgeting/Forecasting/Planning, Cash Flows, Financial Statement Preparation, and GAAP / GAAS
17

Senior Audit Director Resume Examples & Samples

  • Perform risk assessment with team. Lead and manage audit execution. Development of
  • Bachelor's /Master's degree in finance/business or information technology related field
  • Minimum of ten years auditing/ risk related experience in relative business areas/practices
  • Excellent understanding of risk based audit approach and risk management
  • The ability to communicate effectively at all management levels is critical. This includes
18

Audit Director Cork Resume Examples & Samples

  • Discusses complex accounting and auditing issues with engagement team and client management
  • Provides input and guidance in the development of, as well as the review of, the Audit Planning Memorandum, Audit Approach, detailed audit programs, and Summary Review Memorandum
  • Develops and maintains strong working relationships with client personnel, particu­larly executives, throughout the year and continuously improves our clients' satisfac­tion by identifying and addressing their needs through inquiries, listening to their response, and suggesting action that may involve introducing services provided by the firm's practice units to the client
19

IT Audit Director Resume Examples & Samples

  • 10+ years of IT Audit experience (e.g., application controls, IT general controls and pre-implementation)
  • Certified Professional Designation (e.g., CISA, CISSP, CIA)
  • Extensive knowledge on investment products, trade lifecycle, and associated risks
  • Consistently enhance the department’s contributions by developing innovative approaches and solutions (including use of Data Analytics) within Internal Audit Department and clients
20

Audit Director Resume Examples & Samples

  • Proficient in MS Office suite - Word, Excel and PowerPoint
  • Team and engagement management
  • Innovative ideas to servicing clientele
  • Minimum 10 years of audit experience in public accounting required
21

Audit Director Resume Examples & Samples

  • Directs complex 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 plan
  • Possesses strong project management and interpersonal skills, makes sound decisions, exhibits initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
  • Analyzes report findings; recommends appropriate interventions where needed
  • A self-aware, self-confident individual who has well developed listening skills, and a strong ability to engage a group of accomplished business unit heads by providing proactive advice on a variety of audit matters while carefully balancing the independent requirements of the Internal Audit function
  • Knowledge of financial services, Compliance programs, regulations, standards, and standard business internal policies
22

Audit Director, & Change Resume Examples & Samples

  • Possesses a broad and comprehensive understanding of multiple disciplines (Audit, Risk, Compliance, and Training) and of different Audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including Consumer or Investment Banking, technology management; project/program management; or supplier management
  • Develops approaches to promote knowledge sharing and promulgate management best practices across Internal Audit and Citigroup
  • Works closely and collegially within IA and with line management and control functions to ensure efficient and effective provision of independent audit assurance
  • Ensures the adoption of the appropriate portions of the Citigroup and Citibank Audit Committee Charters and the Internal Audit Charter for applicable legal entities
  • Related certifications (CPA, ACA, CFA, CIA, CISA, PMP, PgMP, PMI-ACP, PMI-RMP or similar) are a plus
  • Specific subject matter expertise regarding Program or Project Management control disciplines and a strong business understanding of financial products, especially those associated with the Consumer and/or ICG business
23

IT Audit Director Near Resume Examples & Samples

  • Risk identification supporting the annual audit plan
  • Provide oversight for Sarbanes Oxley program management
  • Manage staff development, training, and career planning
  • Manage departmental budget and resources
  • Develop a thorough understanding of Company accounts, financial processes, systems, policies and procedures and maintain technical proficiency with Generally Accepted Accounting Principles, auditing standards, trends and best practices
  • Minimum of ten years of experience in assessing financial/operational risks and controls
  • Minimum of four years prior Sarbanes Oxley experience
  • Prior “Big Four” experience
  • MBA or advanced degree in Accounting or Finance
  • Technology-related industry experience
  • Sarbanes-Oxley program management experience
  • Strong written, oral and presentation skills
  • Strong leadership capabilities
24

Audit Director Resume Examples & Samples

  • 12+ years of related Risk Management and/or Internal Audit experience, including experience in large, complex Financial Institution
  • Strong understanding of market risk management, including Value at Risk models; complex asset liability management; funding and liquidity management; interest rate risk; derivatives; securitization; and, back office functions
  • Knowledge of Liquidity Coverage Ratio and applicable regulations
25

VP / Audit Director Resume Examples & Samples

  • Maintain a current perspective of the risk profile of areas of responsibility, which includes a need to ¿plug-in¿ to applicable business functions to be aware of significant changes in products, services, processes, etc. that may impact a function¿s risk profile and potentially compel adjustment of the audit plan and focus of audits performed
  • Maintain awareness and knowledge of significant accounting/regulatory requirements and industry drivers in order to properly assess risk and deploy audit resources effectively to changes in business conditions
  • Maintain effective working relations and periodic communicate with business function leaders and/or staff in order to support continued understanding, as well, as build and ensure an open-channel of communication within areas of responsibility
  • Oversee development of risk-based testing for assigned audits, review, and evaluation of documented work papers, and effectively communicate with the client and audit team during all phases of the audit
  • Lead multiple audit teams comprised of one or more auditors at a given time
  • Recruit, supervise and deploy audit staff with requisite skills to achieve the overall department audit plan, while achieving acceptable audit standards
  • Coach and provide feedback in many forms to department associates, including providing quarterly and annual evaluation/feedback of assigned associates
  • Participate actively in the department¿s management team and execute on strategic objectives in order to further progress the effectiveness of the team
  • Knowledge and understanding of Internal audit standards and frameworks such as COSO, IIA Professional Standards, and COBIT
  • Knowledge and understanding of Applicable accounting, regulatory, and industry drivers applicable to areas of responsibility
  • Demonstrates ability to perform an annual risk assessment in order to develop the audit plan
  • Demonstrates ability to provide a strategic perspective to audit risk assessment, planning and execution
  • Demonstrates ability to motivate, coach, and develop associates
  • Demonstrates excellent communication skills (verbal & written) to present facts and opinions in a clear, concise manner in order to influence peers and all levels of management
  • Demonstrates excellent Interpersonal skills that enables the development of solid working relationships with others at all levels
  • Demonstrates ability to identify emerging risks
  • Demonstrates ability to exercise good judgment in evaluating situations, making decisions, and notifying others of potential situations
  • Demonstrates thorough ability to evaluate magnitude of risks and mitigation of controls
  • Demonstrates thorough analytical skills to logically organize thoughts, review data, develop themes, and determine what is important and pertinent
  • Demonstrates strong ability to anticipate roadblocks/delays, assess critical path, and develop alternative approaches
  • Demonstrates strong ability to evaluate data mining strategies using MS Excel, MS Access or other tools to quantify results or test controls
  • Demonstrates strong proficiency in Microsoft Office Suite
  • Demonstrates ability to lead a team including effective delegation/follow-up to meet established deadlines
  • Demonstrates ability to review and critique the work of others (e.g., work papers, test approach)
  • Knowledge and understanding of how to interview and hire associates
  • Knowledge and understanding of TeamMate and/or other audit software
  • Knowledge and understanding of financial services industry process, major business functions, systems and applications
26

Audit Director Product Control Resume Examples & Samples

  • Ensures timely delivery of high-quality comprehensive regulatory and internal audit issue validation, and where determined appropriate issue validation on other remediation actions, including issues arising from the external auditors, consultants and other parties
  • Possesses a broad and comprehensive understanding of multiple disciplines (Audit, Risk, Compliance, and Training) and of different Audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including Investment Banking, corporate functions, technology management; project/program management; or supplier management
  • Related certifications. (CPA, Tax JD, Series 7/27, ACA, CFA, CIA, CISA or similar) are a plus
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of financial instruments products and related risks and controls. The focus will be on ICG and Product control processes inclusive of Independent price verification experience
27

Audit Director Resume Examples & Samples

  • Contributes to strategic direction of Citi’s Internal Audit (IA) function in the establishment of a franchise audit plan of work, which includes reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
  • Uses excellent communication, leadership and strong management skills to influence a wide range of internal audiences including respective product, function, or regional executive management partners
  • Manages the resourcing strategies for the Global IA FA team, establishing relationships with both IA and non-IA partners and talent development programs and maintaining a structured program for IA and guest reviewer participation in franchise audits
  • Works with the Regional Franchise Chief Auditors and Audit Lead Directors to identify and secure the appropriate mix of skills and seniority of resources for each franchise audit
  • Maintains a guest reviewer feedback process to both set objectives and feedback outcomes in order to identify areas for continued improvement and to ensure that the FA Guest Auditor program delivers on its development objectives for IA and business guests
  • Responsible for the co-ordination of audit planning including entity structure development, risk assessment, quarterly and annual planning across the Franchise Audit team
  • Responsible for capacity planning for franchise audit globally
  • Oversees the statistical reporting of plan status across Franchise Audit and works with Franchise and Product and Function Chief Auditors to identify and resolve barriers to execution
  • Track and co-ordinate the timely delivery of high-quality comprehensive internal audit issue validation, and assist in providing audit workpapers as requested from external auditors, regulators and other parties
  • Oversee the fulfilment of the Franchise Audit Organizational Design (OD) and facilitate the recruitment of staff and development of talent across teams and geographies within the Franchise IA team
  • Oversees management of the Franchise IA budget, working with Chief Auditors to manage cost management and allocation and providing regional and global Franchise Chief Auditors with analysis of expenses
  • Assists the Chief Auditor, Franchise, Culture, Ethics and Reputational Risk with preparing board level/audit committee reporting regarding issues, trends, root causes and impacts at the various levels of severity for governance fora reporting on franchise governance and franchise management
  • Responsible for maintaining Franchise Audit Methodology Training materials and analysis of training reports to ensure all resources have undertaken mandatory audit training
  • Identifies and delivers learning and development programs for the Franchise Audit team members to enhance team knowledge and associated audit program
  • As agreed and on a targeted basis, may also participate in the delivery of specific targeted franchise audit projects. Franchise audit activities may be at the country or regional level, and must performed in accordance with IA standards, Citi policies, and local regulations
  • Works closely and collegially with Franchise Chief Auditors, other IA colleagues and with line management and control functions to ensure efficient and effective provision of independent audit assurance
  • Significant experience and leadership responsibility in Internal Audit and large scale Financial Services companies
28

Audit Director, ICG Operations Resume Examples & Samples

  • Uses excellent communication, leadership and strong management skills to influence a wide range of internal audiences including respective product, function, or regional executive management partners and external audiences including regulators and external auditors. Frequently engages in both internal and external negotiations which will have a major impact on the function, and possibly on the organization as a whole
  • Ensures the delivery of audit reports and (where appropriate) branch examinations, that are complete, insightful, timely, error free and concise
  • Contributes towards the delivery of high impact reports of IA's contributions to executive management, regulators, and Citigroup and Citibank boards' sub-committees, developing trend analyses and thematic reporting
  • Strong business understanding of operational processes, including settlements, payments, corporate actions, margining, and loan processing
29

Audit Director Resume Examples & Samples

  • Takes responsibility for the delivery of audit reports and (where appropriate) branch examinations, that are complete, insightful, timely, error free and concise
  • Leads the delivery of high impact reports of IA's contributions to executive management, regulators, and Citigroup and Citibank boards' sub-committees, developing trend analyses and thematic reporting
  • Expertise on Valuation of financial instruments and key controls associated with the Independent price verification and fair value adjustments process
  • Leads efficient audits by managing budget vs actuals
30

Audit Director Resume Examples & Samples

  • Responsible for the co-ordination of entity structure development, risk assessment and planning across the Global Compliance audit team
  • Oversees the stat reporting of plan status across Global Compliance and works with Regional Directors and Global Compliance Chief Auditors to identify and resolve barriers to execution
  • Oversee the fulfilment of the Global Compliance OD and facilitates the recruit of staff and development of talent across teams and geographies within the Global Compliance IA team
  • Oversees management of the Global Compliance IA budget, working with Chief Auditors and Regional Directors to manage cost management and allocation and providing regional and global leads with analysis of expenses
  • Possesses a broad and comprehensive understanding of multiple disciplines (Audit, AML, Risk, Compliance, and Training) and of different Audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including AML, Consumer or Investment Banking, corporate functions, technology management; project/program management; or supplier management
  • Works closely and collegially with Global Compliance Chief Auditors, other IA colleagues and with line management and control functions to ensure efficient and effective provision of independent audit assurance
31

Audit Director Resume Examples & Samples

  • Risks are appropriately identified and managed
  • Interaction with the various governance groups occurs as needed
  • Significant financial, managerial, and operating information is accurate, reliable, and timely
  • Employee's actions are in compliance with policies, standards, procedures, and applicable laws and regulations
  • Resources are acquired economically, used efficiently, and adequately protected
  • Programs, plans, and objectives are achieved
  • Quality and continuous improvement are fostered in the organization's control process
  • Significant legislative or regulatory issues impacting the organization are recognized and properly managed
  • Develop planning, participate and manage execution of projects within established budgets and timelines
  • Review processes to provide management with an assessment of business risk, internal control, and the overall effectiveness and efficiency of the process
  • Develop the knowledge and skills of Internal Audit Services personnel
  • Maintain active communication with operational leaders to manage expectations, ensure satisfaction, make sure deadlines are met, and lead change efforts effectively
  • Maintain knowledge and awareness of ongoing changes within the Company and lead efforts to adapt internal audit strategies and programs to address these changes on a timely basis
  • Perform other job-related duties as necessary
  • Any combination of CPA, CIA, CFE, CISA, MBA all preferred
  • Exceptionally strong interpersonal skills; including the ability to develop and maintain relationships, manage confrontational situations and manage / influence peers and superiors. Strong written and oral communication skills are required
32

Audit Director, Third Parties Resume Examples & Samples

  • Develops approaches to promote knowledge sharing and promulgate management best practices across Internal Audit and both Citibank and Citigroup
  • Advanced level experience in a related role (7-10 years in Divestiture and M&A Audits) with extensive experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of Divestitures and M&A transactions and related products, especially those associated with the Global Consumer Bank (Mortgage, Cards, Retail and Commercial Bank) and ICG (TTS, SFS, etc.) business
  • Proven track record of auditing complex Divestitures and M&A/Joint Ventures, risk assessments, and other related audit assurance activities
  • Demonstrated ability to work and interact successfully with internal company senior management, including Corporate M&A and M&A Legal
  • Proven track record of working with acquired companies’ CIOs/CEOs/Chief Risk Officers/Chief Auditors
  • Able to work with management and staff across countries, cultures, and organizational groups. Strong sense of cultural and human resource sensitivity while performing audit assurance work on sale of business or acquisition reviews
  • Extensive experience in managing material non-public information (transaction pipeline) and applying professional judgment in sharing restricted information within the organization, while following necessary controls
  • Able to successfully navigate virtual audit teams and influence positive outcome
  • Experienced in the design and implementation of Divestiture / M&A related Audit Methodologies and frameworks
  • Experienced in promoting the awareness of the Divestiture and M&A audit program through development and execution of internal training programs
  • Experienced in interacting with regulators on divestiture and M&A audit related risks for business sale and purchase transactions
  • Strong technology, corporate functions, and third parties audit experience with understanding of critical risks in technology infrastructure (mainframe, distributed systems, networks, data centers), application security, corporate functions (HR, Payroll, Payables, Procurement), Third Parties (Enterprise Risk Management and Business Supplier Management), Program and Project Management, Information Security, and Continuity of Business
33

Audit Director Resume Examples & Samples

  • Advanced-level experience in a related role with extensive experience in business, functional and people management
  • Senior-level experience in a related role with experience in business, functional and people management
  • Strong understanding of Product control processes and some work experience in the area
34

Basel Audit Director Resume Examples & Samples

  • 8+ years experience in the banking industry within a public accounting, finance, risk management and/or internal audit function
  • 3+ years of Basel II experience: project management, auditing experience, Credit / Operational risk, RWA reporting, or Pillar 2
  • Professional certification (CIA, CFSA, CPA, or equivalent)
  • Ability to manage people in a way that inspires, develops, and delivers results
  • Strong communicator with demonstrated ability to propose win/win solutions to audit clients
  • Experience auditing, or developing Basel or Risk models
  • Experience in Basel credit risk processes for consumer or corporate credit products such as credit cards
  • Advanced Degree in Finance or related field
35

Audit Director, Enterprise Risk Management Resume Examples & Samples

  • Direct and drive the success of multiple, complex, concurrent engagements being executed on time and within budget with value-added insights
  • Develops comprehensive risk-based audit and continuous monitoring programs for the area(s) of responsibility. Keeps abreast of all industry/regulatory developments, impacting the operations and risk profile
  • Communicate effectively, clearly, concisely, and accurately using written and verbal communications with executive management. Influence and impact meaningful organizational change that strengthen the Bank’s control environment
  • Works and partners with other department Audit Directors to ensure that suitable audit scope and coverage is effectively integrated with the other Inspection Group disciplines: (i.e., Compliance, Credit, Finance/Operations, Enterprise Risk Management, and Technology)
  • Participates in various committees as assigned to provide reports and information on current/emerging business issues to top management
  • Identifies specific training needs for different audit groups and develops and conducts compliance training
  • Ensures performance of independent and objective evaluations of the adequacy, effectiveness and efficiency of the Bank's internal controls, disclosure controls, and operating systems in area of responsibility
  • Manages audit audit projects which consist of planning, evaluating, investigating, reporting, reviewing, and supervisiing; annual audit planning, continuous monitoring, and risk assessments over areas of design, performance, documentations, supervision and review of audit work; the reporting of the results of audit work; and the monitoring and verfication of audit management's resolution of audit findings
  • Manages all audit activities in the area of assigned audit responsibility irrespective of the variety, complexity or exposure associated with the area
  • Manages, directs, trains, mentors, and evaluates assigned staff. Ensures adequate staffing
  • Maintains effective and professional relationship with bank senior management, audit clients, and managers
  • Maintains effective and professional relationships with staff of the bank's public accountants; representatives of federal and state regulatory agencies; and others dealt within a professional capacity
  • Bachelor’s Degree in Business Administration or related field Required, Master’s Degree Preferred
  • Required license(s) or certification(s): CIA, CRCM, CAMS, CFE, CPA
  • Years of functional/professional experience: 10 to 15 years of directly related experience
  • Years of supervisory or managerial experience: 7 to 10 years of supervisory/managerial experience
36

Senior Audit Director Resume Examples & Samples

  • Directs, mentors, trains, and evaluates assigned staff
  • Develops, directs, and executes audit plans for an audit discipline; and may also be responsible for various projects to improve efficiencies. May second the General Auditor for audit supervision. May complete 2nd level of review over audit recommendation closure for complex issues. Lead, manage and execute multiple complex projects within required timelines and expectations required
  • Understands thoroughly the underlying risks applicable to the related audit disciplines, as well as understands the impact to other audit disciplines through continuous monitoring activities through the team
  • Attracts, retains, and develops necessary talent to achieve audit discipline/functional strategic objectives
  • Assures that risk assessments individually and in aggregate properly reflect the risk profile of the audit discipline
  • Requires significant audit, risk, compliance, banking, and/or product knowledge. Individual is expected to be subject area expert in multiple skill sets, business areas, or products
  • Works, collaborates, and influences to assure that the audit discipline effectively supports the strategy of the function
  • Directs and supervises to ensure BNPP Inspection Generale and the Bank of the West Inspection Group policies and procedures are adhered to on audit assignments
  • Minimum years of audit and /or risk experience: 12+ years
  • Primary focus of role is on day-to-day operational execution, although roles will also include contributing to strategic planning within area of expertise
  • 20% Strategic/40% Tactical/40% Transactional
  • Technology Support
37

Audit Director Resume Examples & Samples

  • Interacting with client senior management in oral and written communications in Japanese
  • Consistently identify engagement and operating problems and provide timely solutions and consultation
  • Manage multiple concurrent engagements without disruption or loss of control and within scheduled deadlines
  • Manage multiple client relationships, billings and resource needs
  • Build personal referral sources and clientele while actively participate in team marketing opportunities
  • Lead audit committee meetings presentations
  • Complete CPE specific to the manufacturing and distribution industry
  • Exceptional communication skills, both written and verbal with a fluency in the English and Japanese languages and expert knowledge of Japanese business culture and customs
  • Executive presence with experience interacting and communicating with C-Suite executives on behalf of the Firm
  • Exceptional client relationship skills and time management skills
  • Proactively offer innovative ideas to servicing clientele
  • Experience with US based Japanese-owned organizations
  • Open to both domestic and international travel
38

Regional Audit Director, Leading Insurer Resume Examples & Samples

  • Oversee/Manage projects within time budgets and target dates, reporting any timing problems or budget over-runs to management
  • Review/Prepare audit reports, including executive summary and rating of adequacy of risk management, making practical and value-added recommendations to improve risk management practices and the efficiency and effectiveness of operations; audits reports are to be clear, concise and well-organized, and issued within departmental service standards
  • Present findings and recommendations to business unit management; reach agreement on appropriate solutions to risk management and operational efficiency issues
  • Manage direct report's staff performance, expectation, and others. Being able to be the go-to person for coaching and mentoring
  • Good working knowledge of asset management, wealth and insurance business
  • Actuarial experience in valuation, or product development and pricing (good to have)
  • Excellent communication skills, oral and written
  • Commitment to quality
  • Recognized accounting (CA, CMA, CGA, CPA) or auditing (CIA. CISA), or actuarial (ASA, FSA) professional designation
  • 12+ years relevant experience
39

Audit Director Resume Examples & Samples

  • Develop end to end audit approach globally for all aspects of Citi’s Fiduciary activities to ensure adherence to legislation and regulation covering Citi’s authorized business activities in the various jurisdictions in which Citi operates, working closely and collegially within IA and with line management and control functions to ensure efficient and effective provision of independent audit assurance
  • Manage Internal Audit’s working relationship with members of the Global Fiduciary Coordinating Committee and relevant Control Functions
  • Collaborate across Fiduciary businesses and functions globally in order to improve the identification, quantification/measurement, management, reporting and control of best practices in governance, risk management and internal control, both within Fiduciary teams and functions, and across Citigroup
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of Fiduciary products, especially those associated with the Investment Management, Trust and Pensions businesses
  • Candidates should have substantial experience of diversified financial services institutions, ideally including experience in audit and in (or auditing) regulatory compliance and Fiduciary regulations, including OCC Reg. 9 and ERISA. International experience is required. Related certifications (CPA, CFA, CIA or equivalent) are a plus. Citigroup is committed to career development, so candidates should have the intellectual curiosity to continue to learn and grow within Citigroup
  • Candidates must have effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style. Candidates must have effective persuasion skills, the ability to work effectively at the highest levels of the organization, and will display highly effective networking and influencing skills. This person will be comfortable acting as an agent for positive change with agility and flexibility
  • This individual will have proven experience in dealing with compliance issues, including (but not limited to) product suitability, treating customers fairly, Fiduciary laws and rules, new product approval processes and dealing with a wide range of regulators, and influencing geographically dispersed teams of world class professionals. Their experience will have been in highly respected diversified institutions with complex and diverse products and customers. This person will have shown solid career progression within these well respected institutions and proven experience in a role with enterprise wide scope
  • This individual will be a member of the executive leadership team for Internal Audit. This person will also interface with Compliance and related functions and business leaders as Citi Internal Audit will be driving the adoption of leading edge practices. He / She will have executive presence and a reputation for building strong relationships with stakeholders and leading teams, both direct reports and in peer/influence models. Effectiveness in working within a large scale and complex matrix organization is essential
40

Ia-audit Director Resume Examples & Samples

  • Contributes to strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
  • Leads multiple teams of professionals
  • Identifies recruitment needs. Recruits staff, develops talent, builds effective teams, and manages a budget. Identifies internal talent and fills key positions, attracts talent with required expertise to meet the risk profile of the business, builds deep bench strength and develops appropriate succession plans
  • Effective coordination skills to deliver cross-region audits
41

Audit Director, Franchise Resume Examples & Samples

  • The Director of Franchise Governance 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 CCO to meet the CCO Franchise Governance Objectives
  • Ensure compliance with all laws, regulations, and Citi policies, including ethics and business practice
  • Manage reporting and tracking of legal entities in-country
  • Chair the country's Anti-Money Laundering Committee (AML)
  • Chair the Country Business Risk, Compliance, and Control Committee (BRCC)
  • Ensure fair and equitable internal policies and practice including human resources, finance, legal and compliance
  • Identify and pursue cross-marketing opportunities
  • Leader of Public Sector Business, including responsibility for full PandL, business development and client relationships
  • Oversee public affairs and community programs
  • The Director of Franchise Governance EMEA will be responsible for delivering audit reports in respect of each jurisdiction in which Citi has a presence in accordance with committed deadlines expressed in the risk-based audit plan developed and delivered in accordance with the Internal Audit franchise audit methodology. The Director of Franchise Governance EMEA will also be responsible for supporting the EMEA Franchise Chief Auditor in the development of the annual franchise audit plan which will be risk based from 2016, including the design and implementation of a risk assessment framework in order to risk assess each EMEA franchise
  • The Director of Franchise Governance EMEA will be responsible for managing a team of Franchise Governance team auditors supplemented by other Internal Audit personnel on a project-based secondment to a Franchise Governance audit and potentially by guest-auditors drawn from the CCOs and control functions
  • Specific subject matter expertise regarding control disciplines and a strong business understanding of banking products is required – exposure to institutional and investment banking products and functions is desirable as is experience and knowledge of technology risks and controls
  • Demonstrated experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment and meeting deadlines
42

Audit Director Resume Examples & Samples

  • Anticipate issues and exercise critical thinking and judgment to effectively influence business management and peers and act as a catalyst. Demonstrate a strong understanding of the company’s business, core strategies and priorities, and provide value-added audit results
  • Participate in high-level strategic meetings and help guide the decision making process as a key member of the CFO Audit leadership team
  • Provide strong leadership to the Audit team. Recruit, hire, retain and develop top talent within the function. Coach and train associates within team and across audit
  • Coordinate talent planning and associate development activities for the CFO audit team, ensuring appropriate skill sets and bench strength
  • Create board and regulatory reporting for Audit executives as well as lead discussions with the Line of Business Executive Leaders
  • Work with Audit’s senior leadership to develop, implement and communicate Corporate Audit’s mission, goals and strategies
  • Collaborate with regional audit teams based in other global locations as well as other functional and line of business audit teams and leadership
  • Significant experience (minimum of 15+ yrs) in a large, complex, financial services environment with a track record of advancement, leadership and business success
  • Strong knowledge of CFO business lines and subject matter expertise in Audit or Risk Management. Ability to utilize technical knowledge and experience in an audit environment effectively
  • Demonstrated understanding of stress testing concepts and capital adequacy components; familiarity with regulatory requirements; working knowledge of treasury and liquidity risk, financial instruments/structures and risk management techniques
  • Self-directed with strong interpersonal, leadership, and communication (both written and oral) skills
  • Excellent planning and operational deployment skills; ability to translate vision, strategy and business requirements into clear actionable goals
  • Proactively looks for opportunities, solutions and process improvements, manages projects, including contracting, milestones and task management, resources, risks/dependencies
  • Regulatory knowledge and interface experience
  • Masters in Business or related discipline
  • CPA/CFA/CA or other related certification desired
43

Audit Director, Data Quality / Ccar Resume Examples & Samples

  • Contribute to strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing, which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
  • Use excellent communication, leadership and strong management skills to influence a wide range of internal audiences including respective product, function, or regional executive management partners and external audiences including regulators and external auditors. Frequently engage in both internal and external negotiations which will have a major impact on the function, and possibly on the organization as a whole
  • Direct audit activities supporting a sub set of a product line, function, or legal entity at the global or regional level, in accordance with IA standards, Citi policies, and local regulations. Responsible for providing valued and timely independent assurance on the design and operating effectiveness of a sub set of a product, function, or legal entity at a global or regional level
  • Ensure the delivery of audit reports and (where appropriate) branch examinations, that are complete, insightful, timely, error free and concise
  • Ensure timely delivery of high-quality comprehensive regulatory and internal audit issue validation, and where determined appropriate issue validation on other remediation actions, including issues arising from the external auditors, consultants and other parties
  • Manage multiple teams of professionals. Develop talent, builds effective teams, and manage a budget. Identify internal talent and fill key positions, attract talent with required expertise to meet the risk profile of the business, build deep bench strength and develop appropriate succession plans
  • Ensure IA meets/exceeds the requirements and expectations of Citibank’s and Citigroup's regulators
  • Ensure delivery of consistent and standardized methodology for data quality, data governance, data quality lifecycle, mitigating actions, including the application and compliance with the Citi's capital program policies, processes, controls, standards, methodologies and framework, as well as other regulatory data requirements
  • Provide leadership and vision for the audit execution plan for data quality (accuracy, completeness, and integrity), data input, rules/expectations across functional areas and systems to ensure accurate reporting of CCAR data and /or implementation of stress scenarios for forecasting
  • Oversee the execution of tests for data validation and control framework for the FRB Stress test report submissions
  • Understand and review the CCAR functionalities as per the CCAR procedures, guidelines as prescribed by the FRB
  • Establish improve monitor close continuous partnerships with Risk, Finance, Consumer, Global Functions and Institutional Client Group and Technology Center of Excellence (COE) Audit Team Members
  • Functional knowledge of data management disciplines, data quality processes, and accompanying technology
  • Comprehensive Capital Analysis and Review (CCAR) and Dodd-Frank Act (DFA) stress tests knowledge and/or previous experience along the lines of Capital Planning in the Financial Banking/Loan Industry
  • Good knowledge of CCAR process and regulatory structure of financial services and banking industry and current regulatory guidance
  • Strong focus on internal controls and data integrity
  • Experience in financial and regulatory systems architecture
  • Knowledge of US GAAP and or RAP accounting
  • Solid knowledge of banking products including complex investment products and a solid understanding of accounting principles
  • Previous CCAR/DFASTexperience or data governance subject matter expertise in Capital Planning would be beneficial
  • Experience in evaluating company and business line financial information through detailed analysis of worksheets, data flows, systems and processes including products, business lines, channels, customers, new business, and forecasts
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of Consumer, Global Functions, and Risk & Treasury products, especially those associated with the Institutional business
  • Fundamental understanding of automated application controls and core IT processes (e.g. application development, change management, information security, computer operations, business continuity), and related risks and controls
44

Audit Director Resume Examples & Samples

  • Coordinate the Practices relationship with clients
  • Act as the first point of contact to Partners regarding the pursuit and achievement of department goals
  • Full oversight of SME clients and management of assignments attached to each audit
  • Ensure that audits are completed within allotted deadlines and on budget
  • Involvement in initiatives to drive the business and department forward
45

Audit Director, Risk Resume Examples & Samples

  • Establishes strong senior line management relationships, including with the EMEA Chief Risk Officer and non-executive chairs of legal entity Risk Committees. Pro-actively engages with senior management regarding issues, trends, root causes and impacts to the respective business activities
  • Represents IA at key Risk Management governance forums including the EMEA Risk Management Committee and legal entity Risk Committees
  • Directs audit activities supporting Risk Management in EMEA, in accordance with IA standards, Citi policies, and local regulations. Responsible for providing valued and timely independent assurance on the design and operating effectiveness of controls over Risk Management in EMEA
  • Co-ordinates timely delivery of high-quality comprehensive regulatory and internal audit issue validation, and where determined appropriate issue validation on other remediation actions, including issues arising from the external auditors, consultants and other parties
  • Engages with key regulators in EMEA on prudential regulatory requirements and audit coverage, in co-ordination with Heads of Audit in countries. Responsible for ensuring that there is adequate and appropriate audit coverage of the Independent Risk function across the region, which meets all regulatory requirements and expectations and risk-based audit methodology requirements
  • Oversees delivery across audit teams of the CRDIV Audit Strategy, ensuring that regulatory requirements and expectations are consistently met. Act as CRDIV SME for the audit function in EMEA
  • Provides regional oversight and management of the EMEA based Risk Management audit team. Recruits staff, develops talent, builds effective teams, and manages a budget. Identifies internal talent and fills key positions, attracts talent with required expertise to meet the risk profile of the business, builds deep bench strength and develops appropriate succession plans
  • Delivers learning and development programs and is a recognized leader in training and developing others, I particular focusing on prudential regulatory requirements including CRDIV
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of products, especially those associated with the business
46

EY Darwin Risk & Internal Audit Director Resume Examples & Samples

  • Demonstrated proven track record of being successful in winning new business
  • A commercial mindset with experience across a number of industries
  • A strong self-starter with a high level of initiative
  • Previous professional services experience with demonstrated sales experience will be highly regarded
47

IT Audit Director Resume Examples & Samples

  • Identify potential risk
  • Report results in an effective and timely basis
  • Develop and manage a team of managers and auditors
  • Effectively manage senior executive relationships
  • Provide guidance to and maintain compliance with audit methodology
  • 15+ years of internal or external audit or risk management experience, including significant management and leadership responsibility
  • Strong analytical and problem-solving skills
48

IT Audit Director Resume Examples & Samples

  • Knowledge of data management disciplines, data quality processes, and accompanying technology
  • Experience in Financial and Regulatory systems architecture
  • Knowledge of US GAAP and/or RAP Accounting
49

Audit Director Resume Examples & Samples

  • Previous CCAR/DFASTexperience or data governance subject matter expertise in Capital Planning
  • Experience evaluating company and business line financial information through detailed analysis of worksheets, data flows, systems and processes
  • Experience in auditing financial services organizations or relevant market risk management experience in products offered
50

Audit Director Resume Examples & Samples

  • Responsible for the co-ordination of entity structure development, risk assessment and planning across the GLOBAL COMPLIANCE audit team
  • Oversees the stat reporting of plan status across GLOBAL COMPLIANCE and works with Regional Directors and GLOBAL COMPLIANCE Chief Auditors to identify and resolve barriers to execution
  • Oversee the fulfilment of the GLOBAL COMPLIANCE OD and facilitates the recruit of staff and development of talent across teams and geographies within the GLOBAL COMPLIANCE IA team
  • Oversees management of the GLOBAL COMPLIANCE IA budget, working with Chief Auditors and Regional Directors to manage cost management and allocation and providing regional and global leads with analysis of expenses
  • Works closely and collegially with GLOBAL COMPLIANCE Chief Auditors, other IA colleagues and with line management and control functions to ensure efficient and effective provision of independent audit assurance
51

Audit Director Resume Examples & Samples

  • Demonstrated ability to thoroughly understand the audit risks for health care organizations
  • Manage, develop and coach professional staff in the field of health care
  • Lead business development efforts and actively develop referral sources in the Chicago area for health care
  • Travel to different client sites
  • Minimum 10 years of health care audit experience in public accounting required
52

Audit Director Resume Examples & Samples

  • 8+ years of current or recent CPA firm audit experience servicing affordable housing/HUD clients
  • Extensive knowledge and experience working in the affordable housing industry
  • Knowledgeable in feasibility analysis and capital raising to the application/cost certification process, including financial statement audits
  • Special expertise with extensive background in the financing of “80/20” bonds
  • Working knowledge of tax exempt financing and low-income housing tax credits including FNMA/Freddie Mac Permanent Financing
53

Audit Director Resume Examples & Samples

  • Analyzing data and preparing trend reports
  • Analyses audit results
  • Establish and review performance trends
  • Lead the MTM and PG teams to minimize individual auditor errors
  • Bachelor’s degree preferred or 5 years of relevant experience
  • Knowledge of audit principals and sampling methodologies is required
  • Knowledge of multiple lines of claims processing system is required
  • 3 years of audit experience preferably in the healthcare industry is a plus
  • Crystal reporting experience is preferred
54

IT Audit Director Resume Examples & Samples

  • 8+ years of Audit experience
  • Expertise in IT Audit and Controls and leading business practices
  • Strong knowledge and experience with SAP, SAP GRC, Oracle Financials, operating systems and databases, cloud computing
  • Solid project management and analytical skills
  • Microsoft Office/Suite proficient (SharePoint, Excel, Access, Word, Project, Visio, etc.)
55

Audit Director Resume Examples & Samples

  • Develop Internal Audit plan/Risk Assessment
  • Lead the execution and completion of large and complex projects
  • Management and building of the Internal Audit team/group
  • Project/ Ad hoc Work
  • Manage the overall Audit process with external auditors
  • 8+ years of Audit, preferably out of public accounting or large publicly traded company
  • 3+ Management experience
  • CPA,CIA, CISA, CFE
  • Exceptional skills in data analysis, communication, & problem solving
56

Audit Director Resume Examples & Samples

  • 10+ years of Accounting experience; 5+ years of experience performing Audits (internal or public) with at least 3 years in a mid-sized Publicly Traded Global Manufacturer
  • Undergraduate Degree in Accounting
  • CPA / CIA or similar certification
  • Extensive Sarbanes-Oxley Compliance experience
  • Solid understanding of Auditing manufacturing facilities, US GAAP and COSO 2013
57

Audit Director Resume Examples & Samples

  • In charge of development of audit plan in accordance with the legal framework as well as group regulations
  • In charge of recruiting staff for critical internal audit unit, development of talent, effective setup of teams, and management of the related budget
  • Works effectively with senior management and builds strong relations with all relevant stakeholders, including management partners locally and regionally
  • Lead reviewer
  • Approval of business monitoring of quarter-end reports
  • Senior level individual with experience in related business, as well as relevant management skills
  • Knowledge of technology applications and infrastructure, control issues
  • Strong negotiator who is able to effectively interface with all relevant peers internally, as well as externally
  • Sound understanding of Citigroup services
  • Passed relevant certifications (CPA, ACA, CFA, CIA, CISA, etc.)
58

Audit Director Resume Examples & Samples

  • Establish the SunTrust credit risk audit strategy across the three-year audit cycle, including annual audit plan for credit risk oversight
  • Own the SunTrust overall credit risk assessment and evaluation of credit risk management
  • Work with business segment audit teams to consistently assess and audit controls around credit processes. Ensure holistic coverage and coordination with Credit Review
  • Lead audit execution as a quality reviewer
  • Build relationships with audit clients to accurately assess the risk profile and influence changes that improve the effectiveness and efficiency of the control environment
59

Audit Director Resume Examples & Samples

  • Establish the SunTrust model risk audit strategy across the three-year audit cycle, including annual audit plan for model risk oversight
  • Own the SunTrust overall model risk assessment and evaluation of model risk management
  • Work with business segment audit teams to consistently assess and audit controls around model-driven processes. Ensure appropriate holistic coverage and coordination
  • Plan and develop the annual audit plan for Corporate Risk Management. Coordinate with the other audit team Directors to ensure a holistic annual audit plan of risk management
60

Gf-audit Director Resume Examples & Samples

  • Directs audit activities supporting a sub set of a product line, function, or legal entity at the global or regional level, in accordance with IA standards, Citi policies, and local regulations
  • Responsible for providing valued and timely independent assurance on the design and operating effectiveness of a sub set of a product, function, or legal entity at a global or regional level
  • Leverages Internal Audit's Centres of Excellence to improve audit processes and coverage
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of the Consumer technology and applications, especially those associated with the ASPAC region
61

Audit Director Global Functions Technology Resume Examples & Samples

  • Possesses a broad and comprehensive understanding of multiple disciplines (Audit, Risk, Compliance, and Training) and of different Audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including Consumer or Investment Banking, corporate functions, technology management; project/program management; or supplier management
  • Specific subject matter expertise regarding technology application control disciplines and a strong understanding of corporate functions, especially those associated with Finance, Compliance, Data and Continuity of Business
  • Demonstrated experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment
62

Audit Director Wealth Management Resume Examples & Samples

  • Managing audit engagements from start to finish with key clients
  • Building your own network and developing your own service offerings, with the firm's continuous support
  • Providing ongoing insights and solving issues for the firm's employees as well as external clients - strong communication skills are essential to maintain these relationships
  • Team leadership responsibilities including mentoring, counselling and coaching
63

Audit Director, ICG Technology Resume Examples & Samples

  • Lead a team of audit professionals to deliver valued and timely independent assurance to Citi’s Board and executive management on the control design and operating effectiveness of the ICG technology environment
  • Fully support and work closely and collaboratively with Internal Audit colleagues charged with responsibility for other audit and reporting responsibilities in the ICG
  • Ensure quality assurance is provided over all aspects of the audit process in to ensure compliance with corporate methodologies and professional standards
  • Provide expert guidance to promote audit execution, best practices and process improvements
  • Monitor business activities and risks across ICG technology to maintain a risk based audit plan with active engagement in the quarterly plan refresh process
  • Support Internal Audit’s contributions to the Board of Directors and its respective sub - Committees
  • Work to improve the identification, quantification/measurement, management, reporting and control of best practices in governance, risk management and internal control, both within ICG technology and across Citigroup
  • Ensure cost effective and efficient management of the teams and individual audit engagements and working together with colleagues, ensure the overall cost effective and efficient performance of the IA function
  • Coordinate the planning, execution, and reporting of technology audits according to corporate methodologies for a portfolio of audit entities across technology and ICG businesses in North America
  • Understand, and audit the compliance with, regulations that impact technology across the region. Liaise with all technology regulators
  • Develop a solid understanding of core businesses, technologies and services in the region
  • Support global Heads of Technology Audit in the recruitment of staff, the development of talent and in building an effective team of audit professionals that will deliver a quality audit product for the region
  • Coordinate the delivery of the audit portfolio against budgeted timeframes, resourcing requirements, and controllable costs, and provide the global Heads of Technology Audit functions with status updates
  • Ensure quality assurance is provided over all aspects of the audit process in North America to ensure compliance with corporate methodologies and professional standards
  • Provide guidance to team members to promote best practices and process improvements
  • Monitor business activity and risks in a portfolio of audit entities and use this information to work with global Heads of Technology Audit to help shape the scope and focus of the audits
  • Report to senior management on issues, trends and causes of issues in North America, and monitor the progress of remedial actions to satisfactory resolution
  • Build and manage relationships with local line management as key audit contacts
  • Liaise with local business audit teams to ensure effective integration of audit scope and sharing of best practices
  • Ensure optimal levels of computer assisted audit tools and techniques (CAATTs) are used to by staff to increase audit coverage and drive audit efficiencies
  • Responsible for coordinating individual and team development plans, and for annual appraisals of team members in conjunction with local Heads of Technology Audit functions
  • Keep abreast of new laws, rules, products, technologies and applications and assess their impact on risks and controls
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of ICG products
64

Internal Audit Director APJ Resume Examples & Samples

  • Obtain and maintain a broad and in-depth understanding of the VMware business and its external environment. Develop credible business partnerships with the regional leadership team. Keep current on new programs or business changes and provide relevant insight of the risk implications. Incorporate this understanding in audit projects
  • Leverage in-depth knowledge of key business focus areas such as product development, sales & marketing programs, human resources, information technology, etc. to ensure the successful development of risk assessments, analysis of critical drivers of business risk, assessment of supporting process activities and proposal of value add business process improvements to executive management
  • Lead regional audit projects ensuring appropriate visibility of international business risks. Define project objectives, scope and resourcing. Manage audit team members’ performance and quality of output to meet the overall project objectives
  • Define and execute the long term strategy for the Internal Audit regional presence this should include identifying resource needs and building a highly competent team. Develop team members and clients by sharing risk management, audit and content expertise
  • People Leadership - Provides sound rationale for recommendations. Cultivates networks throughout the organization to garner support and create a foundation for future influence. Fosters a sense of energy, ownership and personal commitment to the work. Promotes sharing of expertise and a free flow of learning across the organization. Conveys information clearly and concisely. Listens carefully to others’ opinions and ideas. Involves others in decisions and plans that affect them. Seeks to understand and address the concerns and interests of others with opposing viewpoints. Relates to others in an accepting and respectful manner. Expresses own viewpoints tactfully to avoid unnecessary conflict
  • Personal Leadership - Demonstrates a willingness to try new things, even at the risk of failure. Willingly adapts to shifting priorities. Establishes trust with executive leadership, peers and staff. Demonstrates composure and patience under trying circumstances. Treats others fairly and consistently. Accepts responsibility for one’s own performance and actions. Confronts actions that are or border on the unethical
  • BA with 15+ years/MBA with 13+ years of Internal Audit, Corporate Finance and/or Operational Consulting experience
  • Experience conducting audits of a global nature and/or in various geographies
  • 73130BR
65

Audit Director Resume Examples & Samples

  • Responsible for business development; coaching staff and managers on business development strategy
  • Demonstrate proactive client contact; viewed as a trusted business advisor
  • Grow business practice; add new clients; expand services of existing clients allocating business to leaders within business unit
  • Leverage expertise and industry acumen into cross serve opportunities and new engagements
  • Prepared to oversee large challenges to completion
  • Has direct profit responsibility for specialty practice and/or department
  • Responsible for ongoing planning, marketing and business development of a specialized department
  • Responsible for practice budget and variance analysis
  • Responsible for practice billing and timely collection of fees
  • Serve as business unit’s resident specialist in tax, audit or other specialty
  • Ensure quality control standards are met
  • Participate in various administrative aspects of managing the department including overcoming roadblocks to take engagements to completion
  • Drive a team environment; demonstrate support of management decisions and builds a positive culture
66

Audit Director Resume Examples & Samples

  • Manage, develop, train, and mentor staff on projects and assess performance for engagement and year-end reviews
  • Play a key role in future business generation by identifying new business opportunities through networking within industry
  • Bachelor’s degree in accounting, MBA a plus
  • Demonstrated experience in practice development and business development
67

Audit Director Global Effectiveness Resume Examples & Samples

  • Present proposed audit scope and approach to SVP Corporate Audit
  • Facilitate workshops with business to understand process flows for in-scope processes, identifying key financial, IT, operational and compliance risks and assess the adequacy of controls in place to mitigate risks
  • Identify the key controls to test and monitoring activities to assess during the audit. Review the results of testing, providing timely coaching to audit team members
  • 10+ years of accounting/control or finance experience; financial planning and analysis experience preferred
  • Ability to influence at all levels of the organization
  • Strong interpersonal skills and proven collaboration/teamwork experience
  • Must be willing and able to travel approximately 45% - 65% of the time
68

IT Audit Director Resume Examples & Samples

  • 10+ years of experience in Information Technology and/or Finance fields. Bachelor's degree
  • Understanding of core IT management processes (e.g., Change Management, System Development Lifecycle, Information Security, IT Operations etc.)
  • Broad understanding of business functions and processes
  • 50% travel (Domestic and International)
  • Supervisory experience. Fluent in English. Strong presentation, written/oral skills
69

Audit Director Resume Examples & Samples

  • Meet with cross-functional business leadership team (e.g., Sales, Operations, Finance, Treasury, Global Procurement and/or HR) during engagement planning to gain understanding of business processes, risks and challenges of the function to be audited
  • Conduct weekly status update meetings with management. For any opportunities identified, communicate the issue, root cause and financial statements or profitability impact. Partner with management to develop cost-effective remediation plans
  • Identify best practices during audit engagements and share them across business units and locations
  • Identify and implement opportunities to improve the efficiency of PepsiCo's audit procedures and/or supporting administrative processes
  • Support Sr. Directors with the development of Corporate Audit strategic plan and other key department initiatives
  • Manage the travel & expense and consulting forecast for audit engagements, providing explanations for variances to plan
  • 10+ years of accounting/control or finance experience
  • Bachelor's Degree (Finance or Accounting preferred)
  • Master's in Business Administration (MBA) preferred
70

Audit Director / ICG Mexico Resume Examples & Samples

  • Develops approaches to promote knowledge sharing and promulgate management best practices across Internal Audit, Citibank and Citigroup
  • Takes responsibility and accountability of audit's coverage and reporting on common high risks areas such KYC, AML, Fraud, Technology, Sanctions, and Consent Order and other enforcement action compliance
  • TECHNICAL SKILLS
  • Specific subject matter expertise regarding capital markets business practices, especially familiar with the key risks and controls associated with a broker – dealer sales and trading operation are key
  • Knowledge of treasury services activities an advantage
  • Good knowledge of requirements and expectations of the diverse local and US Financial Services regulators
  • Understanding of the risks and compliance considerations of private side financing operations of investment banking activities
  • Possible target roles: Internal Audit (preferred); Product Control; Operational Risk; Compliance
  • Fluent English and Spanish language
  • SOFT SKILLS
71

IT Audit Director Resume Examples & Samples

  • Map technology risks and controls that could adversely impact business results or weaken control levels
  • Review processes and technology practices enterprise-wide to ensure the use of compliant practices, procedural efficiency, and accuracy
  • Proposes recommendations for changes as needed and participates consultatively in agreed upon remediation plans with the client to the extent possible
  • Audit reviews may be conducted in specialized areas, such as IT or supporting business products, financial controlling and corporate infrastructure
  • Support the VP of IT Audit to external auditors; interacts with regulatory agencies by providing responses and comments regarding internal audit issues and procedures
  • CISSP or PMI designation is a plus
  • Subject matter expert of IT general controls (e.g. change management, disaster backup recovery, data center or networks)
  • Advanced technical knowledge and experience with the following operating systems and database platforms (e.g. mainframe, client/server, Windows, UNIX, AS400, DB2, etc.)
72

IT Audit Director Resume Examples & Samples

  • Bachelor’s Degree in Information Technology, Finance, Accounting or Business Administration
  • 12+ years of experience in IT, Audit and/or Accounting with a Bachelor's Degree; or, 10+ years of experience in IT, Audit, and / or Accounting with an Advanced Degree
  • Candidate must be a Certified Information Systems Auditor (CISA)
  • Public Accounting or equivalent experience in a public company Internal Audit department
  • Experience in IT internal control frameworks and testing methods
  • Experience in auditing enterprise technology systems
  • Experience in risk assessment and evaluation of key technologies and applications
  • Experience in the use of the COBIT framework in conducting risk assessment and management activities
  • Experience in identifying financial reporting risks, mitigating controls, and tests to ensure the controls are operating effectively
  • Strong preference for SAP experience
  • Familiarity with JD Edwards, BPCS, etc
  • Familiarity with IT risks surrounding cloud computing, cybersecurity, mobile device security, medical device security, big data, vendor management, IT governance, social media, etc
  • Proficient in Microsoft Office, particularly Excel, Word, Visio and PowerPoint
  • Experience with accounting principles, audit procedures and techniques, and internal controls
  • Understanding of applicable laws and regulations impacting the industry data privacy regulations, PCI, HIPAA, Safe Harbor, SSAE 16 and internal IT controls
  • Experience with the COSO / SOX Internal Controls Framework
  • Other Industry-specific IT / Operations certification, such as CISSP, CISM, CRISC, CGEIT. Other certifications such as CPA, CIA, CFE or, CMA also considered of value
  • The ability to apply good judgment and problem solving skills
  • Able to work independently as well as part of a progressive, high-performing team exercising influence management skills to contribute to value added deliverables
  • Expert level knowledge in the requirements of SOX 404 and internal controls over financial reporting
  • Ability to define financial reporting risks, mitigating controls, and tests to ensure the controls are operating effectively
  • The physical demands described within the Responsibilities section of this job description are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions
  • While performing the duties of this job, the employee is regularly required to be independently mobile. The employee is also required to interact with a computer, and communicate with peers and co-workers
  • Up to 20% travel, domestic and international
73

Audit Director Resume Examples & Samples

  • Bachelor’s Degree in Accounting, Finance or other business related field
  • 10+ years of experience in public accounting
  • Applied working knowledge of GAAP and accounting procedures
  • Experience with utilizing OMB Circular A-133 Audits of States, Local Governments, and Nonprofit Organizations is preferred
74

Internal Audit Director, Asia Pacific Resume Examples & Samples

  • Support the Vice President in all aspects of leading and setting vision for an evolving world-class function
  • Lead the Asia Pacific audit team with a strategic approach to risk assessment, integrated and effective audit methodology, and impactful reporting across Asia. Emphasis on best practices in efficiently achieving high quality audits and reviews, with identified solutions, and timely reporting to relevant stakeholders
  • Responsible and accountable for an effective audit plan, talent resourcing and management, and an overall budget for your team
  • Closely work with the Global IT Internal Audit Director, and other Regional Directors in developing a comprehensive and flexible audit plan, using an appropriate risk based methodology, standardizing better practices, and general training in areas of arising technical issues
  • Proactively develop an effective relationship with all stakeholders in the Business Units (commercial and finance), Corporate Controller, Corporate Functional Leaders, and External Auditors. Understand, anticipate and balance the competing objectives of your stakeholders. Deliver pragmatic solutions
  • Progressively manage, recruit and develop a professional audit staff with sufficient knowledge, skills and experience to achieve effective auditing, consistent with the Global Team’s strategic direction, and with emphasis on leadership development
  • Support various compliance initiatives including U.S. Sarbanes-Oxley legislation, and other areas of risk management
  • Coordinate with the External Auditors to ensure proper audit coverage, elimination of duplication of effort, and improvement in the efficiency and effectiveness of audit activities
  • Assist in benchmarking the department on a regular basis in pursuit of better practices. Develop a balanced and progressive approach to training our staff with a skill set to ensure more effective coverage and succession planning
75

Audit Director Resume Examples & Samples

  • Supervisory responsibility for a portfolio of audit clients
  • Liaising closely with clients
  • Reviewing audit work papers
  • Advising and resolving technical queries from clients
  • Liaising with partners, as well as other professionals including Tax, etc
  • Monitoring the development of managers, and juniors, playing a key role in their development
  • Participating in the delivery of training courses to staff
  • Participating in cross-firm ad hoc committees as and when the need arise
  • Qualified accountant (ACA/ACCA or Chartered Accountant or equivalent)
  • Excellent knowledge of accounting and auditing, preferably obtained in Big 4 or Top 10 environment
  • At least seven years in a professional audit environment, including at least five years at management level
  • Proven team management ability in leading teams
76

Audit Director Resume Examples & Samples

  • Demonstrated ability to develop and lead high performing teams
  • Strategic thinker with strong problem solving and analytical skills
  • A change agent who has the ability to see the big picture and plan ahead
  • Team player who takes initiative and works constructively with other senior leaders to achieve goals
  • Hands-on work style and “can do” attitude with a strong desire to make things happen
  • Strong presentation, interpersonal, and business writing and communication skills
  • Excellent facilitation, coaching and mentoring skills
  • Knows how to leverage technology and operations and has a strong process orientation
  • Strong executive presence
77

Audit Director Resume Examples & Samples

  • Provide effective leadership, development, coaching, and guidance to a team of internal auditors and delegate where appropriate
  • Work closely with C-Level executives and the Board of Directors to advise the Company on identifying and managing risk, develop an entity-level risk assessment, design and execute the Company’s multi-year internal audit plan, facilitate the Company’s enterprise risk management process, and document and assess the current state of the Company’s internal controls, including the design and operating effectiveness of internal controls and recommending new controls where appropriate
  • Oversee the design, development, and execution of the internal audit activity and its role in evaluating and reporting on the effectiveness of internal controls that address strategic, financial, operational, information technology, and compliance risks while considering best practices in governance, risk management activities, and internal control frameworks. Direct Company efforts to sustain Sarbanes-Oxley (SOX) Sections 302 / 404 quarterly & annual requirements
  • Accountable for monitoring the design and implementation of identified control improvements and facilitate ongoing process improvement throughout the organization while ensuring applicable internal controls remain intact
  • Establish and direct Accounts Payable (AP) Audit / Profit Recovery Processes for assessing AP procedures for identification of inaccurate vendor invoicing and payment and executing cross-functional error correction
  • Ensure that there are standard reporting processes and systems required for the SOX Board, senior management, Audit Committee, financial statement auditors & control owners relating to identified control deficiencies and remediation efforts
  • Review and evaluate controls associated with the: Design & implementation of new systems / Company initiatives / Change control activities associated with procedural and / or system changes impacting internal control over financial reporting
  • Participate in the monthly business unit reviews and close variance meetings to monitor and remain apprised of financial results and business activities that drive them
  • Participate in the annual process to confirm material financial statement accounts and business units to ensure an appropriate risk assessment, walk throughs/tests of internal control design, and adequate tests of operating effectiveness conducted to support Management’s Report on Internal Controls over Financial Reporting in accordance with Auditing Standard No. 5 (AS 5)
  • Continually reassess processes against industry best practices, perform appropriate benchmarking, conduct continuous process improvements and identify/implement productivity enhancements
  • Partner with human resources (HR) and support its human capital and organizational effectiveness programs and initiatives. Operate in alignment with HR’s strategies
  • Bachelors or Masters in Accounting or MBA with a minimum of 10+ years of experience within public accounting and/or an internal audit
  • Minimum of 7 years’ of team leadership and development experience required, some experience managing global and remote teams preferred
  • Logistics or multi-unit industry experience preferred
  • Ability to analyze complex processes to identify potential financial, operational, systems and compliance risks
  • Establish and maintain effective relationships at all levels of the organization, and with external vendors and regulatory agencies
  • Refined written, verbal, and presentations skills with the ability to swiftly shift approach based on audience
  • Ability to communicate complex issues/solutions in a manner that is easily understood and actionable despite the audience
  • Ability to perform well within a fast-paced, deadline-driven environment that requires the management of multiple projects at once, without compromising quality and service levels
  • Ability to operate and influence at a strategic level, maintain composure and professional, deliver results, despite organizational noise
  • Ability to maintain confidentiality of extremely sensitive data at all times
  • Must have strong analytical skills, ability to work independently, have exceptional interpersonal and organizational skills and pay specific attention to details
78

Audit Director, Tctp & ICG Technology Latam Resume Examples & Samples

  • Manages, both directly and indirectly, multiple teams of professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Identifies internal talent and fills key positions, attracts talent with required expertise to meet the risk profile of the business, builds deep bench strength and develops appropriate succession plans
  • Actively supports and drives the Internal Audit Transformation Program and IA’s and management’s efforts for Citi to have a strong internal audit function and for Citi to have strong control functions
  • Fully supports and endorses the Quality Assurance function of Internal Audit and promptly accepts and remediates deficiencies found by QA
  • Fluency in English and Spanish (fluency in Portuguese an advantage)
79

Audit Director Enterprise Risk Management Resume Examples & Samples

  • Ensure the development of project and testing plans that effectively incorporate appropriate risks, scope, staffing requirements, deliverables, timelines, budgets and client availability
  • Deliver audit status updates and results to business management, chief audit executive, and regulators through timely and crisp verbal and written communications
  • Contribute to the design and execution of continuous auditing tools that assess changing risk and impact the planning of audit activities
  • Provide audit process and business knowledge leadership, coaching and development to all auditor levels
  • Plan and develop the annual audit plan for Enterprise Risk Management. Coordinate with the other audit team Directors to ensure a holistic annual audit plan of risk management
80

Audit Director Resume Examples & Samples

  • Understand client service relationships and how to utilize firm resources to provide unmatched client service to existing clients
  • Meets assigned deadlines or budgets and provides advance warning of variances
  • Ability and willingness to travel to serve clients
  • Experience performing audits of internal controls over financial reporting preferred
81

IT Audit Director Resume Examples & Samples

  • Takes a lead role in assisting the Global Head of IT Audit and Regional Head of Internal Audit (North America) in developing the annual Internal Audit activity plan. Manages ongoing relationships with the key senior stakeholders, to ensure the plan stays up to date and aligned to strategic priorities and key risks
  • Develops the scope of internal audit reviews and agrees them with senior management
  • Manages and oversees a portfolio of internal audits. Coordinates the audit process with key stakeholders, manages the activities of other internal auditors (local and overseas) assigned to the project, and reviews the quality of work performed. On occasion (on high profile or more complex audits), conducts key elements of the review
  • Reviews draft audit reports, and agrees the findings and proposed actions with the business owners. Present findings to senior managers of the business and the Global Internal Audit Executive management team
  • Manages a number of direct reports and mentors team members through candid, constructive feedback. Recruits and manages team members
  • Acts as the liaison with other regional audits teams, so that we act as a single audit function
  • Identifies and leads other ad hoc, project and investigation work as required, both within the department and across the broader organization
  • Acts as a champion for the concepts of internal control and risk throughout Experian
  • Maintains a professional development plan to improve technical, interpersonal and management skills consistent with Experian’s requirements and talent management philosophy
  • Takes a proactive role in driving the strategic direction of the GIA function
  • Involvement in strategic projects and initiatives through the provision of risk, control and governance consultancy. Provide proactive risk, control and governance counsel to business management as required
  • Champions initiatives that contribute to the continuous improvement of GIA methodology, processes, tools and deliverables
  • 10 or more years audit experience in the financial services, technology, information services, telecoms or related sector
  • Experience of directly managing a team of professionals
82

Americas Audit Director Resume Examples & Samples

  • Facilitate workshops with business to understand process flows for in-scope processes, identifying key financial, IT, operational and compliance risks and assess the adequacy of controls in place to mitigate risk
  • Identify the key controls to test and monitoring activities to assess during the audit. Review the results of testwork, providing timely coaching to audit team members
  • Coordinate recruiting and onboarding of new hires into the audit group, which serves as a talent pipeline for the PepsiCo finance and controls organizations
  • Fluency in Spanish and English. Conversational in Portuguese preferred
  • Previous Big 4 Public Accounting experience and/or CPA strongly preferred
  • Prior experience working in Latin America strongly preferred
  • Prior consumer products goods (CPG) experienced preferred
  • Ability to work in matrix organization; handle competing priorities
  • Must be willing and able to travel up to 80% of the time, including North America and Latin America, with the vast majority of travel within North America
83

Internal Audit Director, Asia Resume Examples & Samples

  • Plan, manage and direct all activities of the assigned Internal Audit team. This includes identifying significant business risks, developing audit plans and determining the optimal allocation of audit resources
  • Manage and execute audit engagements; this may involve developing test plans, completing audit programs, documenting control weaknesses or inefficiencies, and managing audits within given timeframes
  • Finalize audits, which includes executing quality reviews of audit files to ensure conformance with applicable regulations and standards, conducting exit meetings, and issuing audit reports
  • Provide leadership to a team of audit professionals. Assist in training and development of team members by providing on the job coaching, delivering constructive and motivating feedback and participation in the performance management process
  • Create and present to audit and management committees the results of internal audit work
  • Interact with external auditors and/or regulators as needed
  • Actively contribute to developing a culture of risk and control awareness
  • Maintain effective working relationships with business partners
  • Minimum of 10 years business experience, preferably in public accounting, internal audit, regulatory compliance and/or risk management
  • Previous experience in the asset management, securities or banking industries a plus
  • Thorough operational and control understanding of regulatory reporting requirements for publicly held global financial services firm
  • Experience developing and maintaining audit and risk management programs and procedures desirable
  • Ability to lead and motivate a high performance audit team
  • Ability to handle confidential information appropriately
  • Ability to communicate clearly both verbally and in writing with persons at a wide range of levels on sensitive matters
  • Ability to identify and thoroughly investigate reporting discrepancies, and determine the appropriate course of action (either resolution or higher level review)
  • Demonstrates ability to plan reviews in challenging and/or uncharted areas
  • Ability to effectively lead multiple audits/projects simultaneously
  • Proactive problem solver with the ability to thoroughly identify and investigate issues and determine the appropriate course of action. Able to work through contentious issues with auditees in a non-confrontational manner
  • Potential for travel up to 20% of the time
  • Languages: Fluent in English, Cantonese and Mandarin
84

Audit Director, Nyse Resume Examples & Samples

  • Oversee integrated operational, compliance, financial, SOX or IT audits for ICE subsidiaries at one or more locations or at corporate
  • Developing a thorough understanding of the Company’s Exchange, Clearing operations and Data businesses
  • Responsible for all aspects of auditing for one (1) or more subsidiaries and/or corporate functions, including audit planning, execution, and reporting results to management
  • Performing independent appraisal of the designing and operational effectiveness of policies and procedures
  • Performing and maintaining risk assessments for subsidiary audits and communicating the audit requirement to the Chief Audit Executive
  • Identifying resource requirements and maintain oversight of internal and external resources
  • Communicating identified control deficiencies to management effectively, both orally and in writing
  • Maintaining effective relationships with management
  • Drafting or reviewing audit reports and conducting exit conferences with management to discuss findings and management’s response
  • Liaising with various regulators as required and coordinating communications with management
  • Traveling to other locations as required for internal audit and training purposes
85

Audit Director Resume Examples & Samples

  • See the big picture of the organization and be comfortable facing off with senior business leadership across the enterprise; accustomed to involvement at a senior level in key business activities
  • Bring a fresh perspective to the position and the work of the group and quickly assess and identify the talent required to have a significant impact in the work
  • Be active in the communication and interaction with regulatory agencies, external auditors and other internal risk management groups
  • Have a command of the details of the work of the group which will be essential in engagement with the Corporate CFO, and other senior leadership of the company
  • Conveys a strong understanding of the businesses of the company; can manage relationships with business leaders and provide continuous monitoring coverage of specific lines of business that includes reviews of key indicators to identify linkages, trends and patterns and understand impact and materiality
  • Contribute to the development, implementation and communication of Corporate Audit's mission, goals and strategies
  • Maintain an independent view while partnering with and being supportive of clients
  • Significant experience in a large, complex, financial services environment with demonstrated understanding of the company's business, core strategies, risk appetite and risk tolerance
  • Proven track record of advancement, leadership and business success
  • Strong ability to engage and influence senior executives, establish and maintain collaborative partnerships and provide thought leadership to strategic decisions
  • Superb relationship management and communication skills that include excellent listening and presentation skills; know how to raise difficult issues and rigorously and credibly debate with senior leaders taking a balanced fact based approach
  • Strong team leadership skills; an individual who can lead a diverse associate population, inspire a strong sense of camaraderie, accountability and motivate continuous improvements to performance. Able to attract, retain and develop top talent; strong coach
  • Must have CPA; MBA or other relevant Master’s degree a plus
  • 15-20+ years of overall experience. 10+ years of relevant experience with corporate accounting/finance experience within a large global and highly complex financial services company
  • Working knowledge of treasury and liquidity risk, technical / legal entity accounting; financial instruments/structures; accounting operations; SEC/regulatory reporting; Sarbanes-Oxley; risk management techniques and compliance requirements
  • Superior analytical and communication skills; has the gravitas to have the difficult discussion at all levels of the organization
  • Drives strategy for the group while being a hands-on player
  • Able to work in a fast paced and complex global organization
  • Can make decisions quickly; able to get through extensive information and establish what is important
  • Comfortable self-solving problems and issues; is highly self-directed
  • Demonstrates a business perspective to the work of the group; brings a point of view to these discussions; quickly establishes effective partnerships
  • Ability to lead a team and to converse with senior audit and relevant executive management regarding finance, technical accounting, internal control, infrastructure, risk management and accounting process issues
  • Passion for developing talent. Test and learn, review and supervision
86

Audit Director for Credit & Deposit Solutions Resume Examples & Samples

  • Drives preparation of a comprehensive risk-based, multi-year plan of audit coverage for assigned area
  • Develops and maintains partnerships with senior executives and other key stakeholders
  • Manages audit projects to cover key risks and produce meaningful audit reports that clearly communicate risks and core audit issues
  • Contributes to overall strategic audit plan; develops goals and monitors accomplishments
  • Manages a team of Audit professionals, providing ongoing coaching, training, development and motivation
  • Develops a strong rapport with senior management to ensure discussions are trusted, constructive and valued; works diligently to understand the company’s strategies and risks
  • Takes ownership of, and demonstrates leadership around continuous improvement initiatives within the Audit department
  • Ability to quickly navigate through the organization
  • Superior oral and written communication; comfortable making presentations to executives, groups of professionals, external auditors, and regulators
  • A successful track record developing strong relationships across a broad range of leadership functions
  • The ability to influence and effect change
  • Collaborative and takes ownership to ensure the quality of the audit team’s product and success
  • Proactive thought process, with an ability to foresee potential risks ahead of business decisions
  • Strong project management skills, with the capability to prioritize multiple demands
  • Possess business acumen and judgment plus ability to resolve and communicate key issues to all levels
  • Self-motivated and self-directed with a “hands on” style to lead change
  • Ten+ years auditing/examining in the financial services industry
  • Certification such as CIA, CPA, CISA, CFE
  • Strong understanding of the banking industry, credit risk, commercial real estate, commercial lending and business activities, and various deposit and credit solutions
87

IT Audit Director Resume Examples & Samples

  • You will join in one of our teams and be responsible for delivering high impact audit reviews addressing Philips risks
  • You will lead and participate in audit reviews addressing strategic or business risks of Philips. The complexity of the reviews and impact on the business will increase during your time with Philips Internal Audit. The reviews will be prepared, executed and reported in line with world-class audit standards
  • When leading a review you are the prime responsible establishing and maintaining a professional relationship with senior management and their teams
  • You will participate in risk workshops establishing risk profiles for sectors or business groups/units
  • You will also join a Knowledge Management Community, engaging in best–practice sharing, knowledge accumulation and actively share your knowledge with other Philips Internal Audit peers
88

IT Audit Director Resume Examples & Samples

  • Oversees and delivers audits of business, Information Technology Risk and Information Security processes/practices, and major business/IT projects to ensure compliance with Bank Policy, use of compliant best practices, procedural efficiency and accuracy in accordance with the audit plan
  • Review or prepares reports of audit findings for business managers and proposes recommendations for changes as needed. Prepares reports for senior management on larger-scale audit assignments
  • Implements a SAS data analytics department to support Audit initiatives across the bank
  • Responsible for leading discussions with Senior Management, regarding Audit planning and reviews
  • Serve as subject matter expert with managerial responsibilities over all aspects of large-scale, most complex, or high profile audits
  • Lead multiple projects and communicate appropriately with identified stakeholders within Internal Audit and business management
  • Tack and follow up on open issues and key business initiatives
  • Consult with clients in developing action plans to resolve control issues or risks and handles the resolution of high risk issues with management
  • Coach and develop audit staff
  • Exercises discretion and good judgement in the performance of essential job functions
  • Regular, good attendance to work
  • Ability to perform audits of the various departments and functions of the bank
  • Proficient in the use of industry and regulatory standards
  • Competent knowledge of IT and Information Security operations, policies, and procedures
  • Networking (TCP/IP)
  • IT Risk Management’s assessments processes (Security, Vendor, and Risk Assessments)
  • IT application control concepts (application processing controls, system reconciliations, matching, workflows, etc.)
  • Information Security frameworks (ISO 27001, Information Security Forum Standard of Good Practice and NIST standards)
  • Ability to multi-task various ongoing activities and engagements with a high level of accuracy
  • Advanced knowledge of banking laws and regulations
  • Ability to work well with peers and department managers
  • Ability to drive an automobile
  • Equipment Used in Job Performance/Working Environment
  • Multifunction device
  • Minimum of 10-12 years’ experience in IT audit; public accounting experience preferred
  • Experience working in technology or security operations preferred
  • Valid driver’s license and good driving record
89

Audit Director Resume Examples & Samples

  • Continuously maintaining the risk assessment process for the Private Wealth Management auditable units. This requires the ability to stay abreast of applicable laws and regulations, understand relevant industry trends and events, understand the strategic vision of the business and how it impacts the risk environment
  • Build relationships with key members of PWM’s management team
  • Build annual audit plan and make resourcing decisions that enables execution of the audit plan
  • Provide audit process and business knowledge leadership to audit managers, auditors and interns to maximize teammate engagement and performance
  • Ensure PWM audits are executed in a manner that are consistent with the prescribed quality standards established by SunTrust Audit Services
90

Risk Audit Director Resume Examples & Samples

  • Responsible for designing and developing the methodology for conducting an enterprise wide risk assessment for the purpose of developing an annual internal audit plan, and developing a risk focused approach for scope and depth of testing for, and delivery of: internal audits, project reviews, and/or continuous monitoring reports of the Bank's risk programs
  • Manages all audit related activities by regularly and consistently providing direct oversight of the work performed by several professionals potentially including outside service providers
  • Evaluates the Risk Management processes to ensure alignment with the regulatory requirements of a financial institution with $10 billion in assets and greater
  • Reviews and assesses existing risk activities across multiple business units to ensure conformity with relevant regulatory requirements
  • Analyzes and assesses the design, implementation, and operating effectiveness of the Bank's risk program elements and processes
  • Evaluates the design and operating effectiveness of compliance risk and control processes including those relating to credit, operational, market, liquidity, financial, reputational, legal and strategic
  • Drives the risk audit program to achieve a 'strong' internal audit function and to meet the regulatory standards of the State, FDIC and Federal Reserve Bank
  • Plans, designs, executes, and supervises the audit coverage strategy of the internal audit risk program
  • Coordinates with the key compliance stakeholders to identify emerging issues, distill thematic or systemic control issues affecting the Bank operations, and update the audit strategy and program appropriately and timely
  • Designs and ensures implementation of continuous monitoring of key risk functions in the bank
  • Ensures the sufficient documentation of analytical procedures is established to support audit standards and bank regulatory expectations
  • Establishes and nurtures relationships with senior internal stakeholders of the risk organization and business leaders impacted by risk management activities
  • Partners with data analysts to design and apply re-usable tools to automate full-population testing, sampling, re-performing processes, and exception testing
  • Serves as the department subject matter expert on risk management activities and audit procedures to test these risks
  • Assists the Chief Audit Executive on regulatory management and external auditor needs
  • Performs due diligence reviews in conjunction with the Bank's risk function to assist business units with the identification and sizing of risks management practices associated with new products & services as well as mergers or acquisitions
  • Performs transaction testing to determine the Bank's adherence with applicable safety and soundness laws, regulations, and supervisory guidance
  • Follows policies and procedures; completes tasks correctly and on time; supports the company's goals and values
  • Perform any other related duties as required or assigned
  • Demonstrates a deep knowledge of, adherence to, monitoring and responsibility for risk management activities within a regulated financial institution
  • Excellent verbal and written communication skills, including presenting complex and sensitive issues to senior management
  • Proficient use of personal computer (including word processing and spreadsheet software)
  • Strong knowledge and deep understanding of regulatory environment and applicable banking regulations impacting the financial services industry
  • Excellent audit program, documentation and report writing skills
  • Excellent analytical, audit and investigative skills
  • Ability to identify and communicate solutions to complex, time sensitive, or recurring business issues
  • Ability to deal with complex difficult problems involving multiple facets and variables in non-standardized solutions
  • Ability to multi-task in a fast-paced environment and adapt quickly to change
  • Bachelor’s degree in accounting, finance, business administration, economics, or related field
  • Ten+ (10+) years’ experience in a control, risk, compliance or audit role at a mid-size to large banking organization, or regulatory experience in a senior role in enterprise risk management
  • Prior management experience directing professionals engaged in related internal audit activities
  • CPA, CIA, CFE, RIMS, CRC, CRP, PRM or FRM certifications preferred
91

Audit Director Resume Examples & Samples

  • Combination of ten to fifteen years progressive experience in internal auditing, public accounting, or other relevant experience
  • Five or more years of managerial experience
  • Ability to manage multiple tasks and deadlines simultaneously
92

Audit, Director Resume Examples & Samples

  • Extensive experience with the financial industry and related markets, related regulatory bodies, and current industry events and trends
  • Extensive knowledge of risk assessment, audit methodology, and execution
  • Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.) Strong analytical and problem solving skills
93

Audit Director Resume Examples & Samples

  • Has recently performed in an account or agency lead role for their respective firm
  • Has had responsibility for all aspects of selling (growth) and the delivery quality within an agency(s) across a portfolio of service offerings of their respective firm
  • Experienced with relationship selling, with both current and new client contacts
  • Ability to structure potential solutions, collaborating with appropriate colleagues, to present to potential clients
  • Experience with developing and maintaining an account plan/strategy, pipeline, call plans, etc. related to an agency
  • Personally experienced with driving capture process for significant opportunities – includes relationship selling, positioning the firm, shaping the opportunity, securing teaming, etc
  • Ability to lead large proposal efforts focused on increasing the win probability
  • Bachelor’s Degree from an accredited college or university in a related field
  • U.S. citizenship may be required
  • Ability to work in the United States indefinitely required
  • Ability to communicate clearly in writing and verbally
94

Audit Director Resume Examples & Samples

  • SOX management experience
  • Strong leadership/management skills
  • Strong strategic thinking skills
  • Ability to deliver on time sensitive and strategic priorities simultaneously
  • Execution/action oriented
  • Excellent team developer
  • Demonstrated ability to develop excellent relationships with key stakeholders
95

IT Audit Director Resume Examples & Samples

  • These individuals shall be Certified Public Accountants, licensed by an appropriate state licensing authority, and in good standing with the AICPA and applicable state boards
  • Minimum experience includes eight years of general financial management and accounting experience including three years of experience auditing financial statements of federal government agencies or preparing agencies for audit
  • The Senior Managers must also have three or more years of experience in a managerial capacity
96

Audit Director Resume Examples & Samples

  • Leads the development of the risk based Project audit strategy, defines the periodic audit plan and related goals for BNY Mellon’s Internal Audit function, including identifying and evaluating projects requiring audits. Develop innovative audit approaches, required staffing and proposed audit schedule for the areas being audited
  • Maintains constructive, consultative executive management and regulatory relationships. Responsible for the quality of the audit group's work and the implementation of divisional initiatives and goals. Responsible to drive continuous improvement initiatives and is a consulting partner providing strategic advice on emerging risks, control themes, and both broad and specific solutions to problems. Attends key governance committees as non-voting member, and provides input from a risk and control perspective
  • Directs reviews of critical project audit practices, provides guidance to the audit team regarding business and control risks, technical concepts, etc., while taking into account the business solutions being proposed. Directs assigned in assessing risk, establishing project scope, audit program design and execution of control design and operating effectiveness tests
  • Directs the performance of world-wide audit assignments, including planning, execution, and completion of audit objectives. Identify significant risks within each project under review and ensure audit procedures developed are appropriate to address the risks. Approve scope, personnel assignments, timing of engagement, review of work papers, staff evaluations, etc
  • Acts as liaison with the Deputy Chief Auditors and different businesses as needed, attend key management meetings to keep current with plans, projects and associated project risks
  • Effectively manages assigned audit staff on projects as well as those administratively assigned to execute the audit
  • Effectively performs all HR related company processes such as Performance Management, team mentoring, development planning, Organizational planning, etc
  • Manages the relationship with senior KPMG partners/managers, as well as with global regulators, meeting with all constituents regularly. The Project Audit Director has the responsibility to oversee the audit work, including following types of audits
  • Project Life Cycle Management
  • System Development Life Cycle
  • Pre and Post Implementation reviews
97

IT Audit Director Resume Examples & Samples

  • Ability to exceed client expectations in a sophisticated large consulting or accounting firm environment
  • Manage the fundamentals (i.e. realization, utilization, leverage, accounts, receivable, and expenses)
  • Be a thought leader
  • Mentor, coach and train staff
  • Successfully integrate strategy of the firm
  • Promote cross selling and integrating of service line of business and more
  • Ensure the continuous professional development of staff is being met
  • Travel as needed in the Central region
98

IT Senior Audit Director Resume Examples & Samples

  • Contribute to the development of a risk-based approach for the annual audit plan
  • Review engagement level risk assessment; adapt the risk profile for changes or new information
  • Ensure the scope of work will meet the audit engagement objectives
  • Review audit work performed to ensure audit objectives are met
  • Identify process improvements for the business based on understanding and analysis of process flows/operations
  • Ensure that proposals for improvements to internal controls are balanced with organizational objectives and capabilities
  • Review and approve auditor assessment that management actions have effectively resolved audit issues
  • Present audit results to stakeholders in a professional and organized manner
  • Serve as a key resource for industry intelligence to the audit team
  • Trusted advisor to senior management to solve issues identified in the internal audit engagement
  • Effectively develop IA staff and ensure recognition and reward for those who exceed expectations
  • Communicate complex ideas clearly and concisely
  • Consistently draft written communications requiring little or no editing
  • Effectively edit written communications of others
  • Proficient at performance and talent management, including development of managers and senior managers
  • Serve as an expert in building consensus
  • Proficient at leveraging relationships/network
99

IT & Operations Audit Director Resume Examples & Samples

  • Produces as a result timely internal audit reports that are clear, concise and provides value to senior management and the audit committee
  • Leads other audit activities to be developed by the Technology and Operational & Processes teams: continuous audit activities, regulatory deficiencies (MRIA/MRA) validation and IA recommendations follow-up
  • Reinforces communication with management in the identification and escalation of the significant business risks and the critical practices necessary to mitigate those risks
  • Works with management to ensure the Company maintains a strong environment of risk management and internal control
  • Coordinates with the Corporate Internal Audit team
  • Establishes strong, consistent relationships with regulators (OCC, FED) creating an environment that reflects trust, transparency and assurance
  • Oversees and develops staff; providing guidance and performing detail reviews over staff work
  • Collaborates with the SHUSA ERM Director in the oversight of the IT Risk Audit activities across all US entities providing the IT and especially IT Security knowledge and expertise
  • Bachelor's Degree in Accounting, Computer Science or Business related field; MBA or Masters degree preferred
  • At least 10 years Internal audit experience preferably in financial institutions or FFIEC member agencies
  • CISA Certification; Additional relevant certification (CEH, CISM, CISSP, CIA)
  • Demonstrated ability to plan and execute IT audits focusing on General Computer Controls, including Information Security, Information System Operations, Vendor Management, Business Continuity, Networks, Database, System Software, Hardware, and Application Development controls
  • Extensive information security and network control audit knowledge would be highly regarded
  • Experience with data analytics and Computer Assisted Audit Tools and Techniques (CAATT)
  • Communicates clearly, concisely, and effectively both verbally and in writing and is able to encourage and coach others to do the same, and conveys difficult subject matter
  • Has the ability to communicate in writing with internal team members, the audit units, senior management, and the Regulators
  • Tailors their communication style and method to their audience and has the ability to use a variety of communication styles across different contexts, including translating complicated and technical information into easily understood language, and begins to coach junior team members to do the same
  • Prepares for and leads meetings with the senior management, tailors the presentation based on the audience, and actively listens and asks questions to confirm understanding or to clarify any points that are unclear. Provides feedback and coaching to prepare team members for meetings with the business units
  • Spanish verbal and written skills is a plus
  • Strong Knowledge in cybersecurity and Information security regulation and best practices (ISO 27001, PCI, NIST 800-53, FFIEC, DFS)
  • Technology risk management framework
  • Business continuity and disaster recovery management
  • Knowledge in system architecture and core banking solution
  • Project management and software development life cycle
  • Knowledge in data management framework
100

IT Audit Director Resume Examples & Samples

  • Big 4 or equivalent consulting or industry experience
  • 10+ years relevant experience in SAP, including actual "hands-on" experience with the technologies; experience should also include areas such as implementation, project, program management, and audit practice experience
  • Progressive management experience with demonstrated leadership of multiple SAP projects/engagements and management of direct reports including coaching, mentoring and developing talent for organizations
  • Functional/audit/consulting expertise with technical areas such as SAP ECC, SAP S4 HANA, SAP SuccessFactors, SAP GRC, SAP HCM; with experience demonstrating increasing responsibility in subject area
  • Experience with tools and technologies including a combination of the following: SAP GRC, Approva, SQL programming, Tableau, cloud computing and mobile technology
  • Combination of professional certifications (CPA, CIA or CISA preferred) and/or graduate degree in Business or Computer Science preferred
101

Senior Audit Director Resume Examples & Samples

  • Cyber Security
  • Data Centers
  • Etc
102

Audit Director Resume Examples & Samples

  • Leads assigned staff on accurate completion of audit plan and other requested assurance, including the ongoing duties of the functional area of Audit
  • Actively participates in determining staffing needs of the team, including hiring, development, affecting assigned staff. Works with managers to coordinates the effective scheduling of Audit resources (internal and external) to ensure work is completed timely and in a cost effective manner
  • Acts as a mentor/teacher to raise the level of expertise within his/her team or other business partners
  • Reviews and updates existing auditing and administrative processes and procedures in an effort to streamline activities to increase productivity
  • Proactively identifies and researches risks to achievement of Enterprise objectives and develops the annual audit plan
  • Demonstrates broad ownership and accountability for the outcomes of the team for work supervised as well as his/her own efforts
  • Overall accountability for ensuring that testing plans effectively analyze and evaluate the most important and relevant risks and controls around Enterprise objectives
  • Review workpapers and provide review comments to audit staff
  • Analyzes workpapers and risk and controls, provides expert consulting support to senior management regarding conformance to corporate policies and procedures, technical inquiries, audit planning and financial, operational and compliance governance and controls. Proven Ability to interpret multi-disciplinary analyses
  • Leads business initiatives and projects
  • Ensures compliance with internal controls policies, Audit procedures and applicable external standards
  • Monitors industry trends, emerging risks and issues in support of both business partner and Audit plans and objectives; identifies and implements appropriate opportunities
  • Develops strong partnerships with senior business management across a broad set of Enterprise business functions by providing strong contributions to risk management, governance and controls that deliver business value; participates in ongoing relationship management
  • Ability to clearly communicate broad business risk management, governance and control issues impacting business partners; proactively recommends the most appropriate/effective recommendations to decision makers including senior management
  • Utilizes more complex or creative ways of displaying supporting data and implements the most appropriate/effective resolution for issues involving the functional Audit area
  • Leads and has overall accountability for maintaining audit and internal control systems and audit programs and procedures that support the specific functional area (IA, IC, IT, ICA)
  • Demonstrates and regularly applies an expert working knowledge of Unum’s products, services, technology and business processes (including customer, market and industry knowledge), his/her specific functional area, its issues and the technical skills required to support it
  • Relevant four year degree and professional certification preferred or relevant graduate degree, and at least seven years relevant work experience
  • Strong supervisory skills demonstrating effective coaching, mentoring, team building and leadership
  • Expert project management skills for audit and consultative engagements as well as business projects and initiatives
  • Manages multiple projects
  • Ability to lead and drive change quickly and positively; viewed as a leader in change management for self and team
  • Provides strong mentoring to team to build broad business acumen
  • Demonstrates sustained strong results and leadership against a broad set of Audit and business objectives
  • Strong communication and negotiation skills (clear, concise oral and written communication), effective with presentations for all levels of Audit and business management. Strong influencing skills within Audit and business management; adept at handling group dynamics
  • Excellent research and analytical skills and expert ability to articulate relationships and impacts between complex processes, internal and external issues and broad risk trends and provide strategic direction to others to provide quality analytics that that result in actionable outcomes
  • Strong understanding of technical environment as it relates to audit metrics
  • Advanced Excel skills and proficient in Word and PowerPoint
  • Represents Unum’s ethical and professional standards at all times
  • Meets the standards for this position as defined in the Talent Management framework
103

Audit Director / Consumer Cards Resume Examples & Samples

  • Ensures the delivery of audit reports that are complete, insightful, timely, error free and concise
  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic and approachable style
  • Strong English speaking and writing skills
104

Audit Director, Data Analytics Resume Examples & Samples

  • Significant professional work experience with solid relevant experience in data analytics ideally across both banking industry and consulting. Risk or internal audit experience, or similar experience, is preferable. Skills should include exploratory data analysis, data wrangling, data modelling and design, hypothesis testing, statistical sampling, data visualisation and reporting concepts. Technically proficient in the use of data analytics tools such as SAS, Qlik Technology, SQL and other advanced data analytics and visualization tools such as R programming
  • Tertiary qualified, ideally with Bachelor of Science in Business, Computer, Mathematics or Statistics, Data Science or other related fields, with preference to have, or working towards completion of Post Graduate qualifications in data science or audit related professional qualifications (CPA/CA/CIA/CISA)
  • Takes a long term view of developing individuals and has demonstrated success in this. Fosters accountability and provides regular clear constructive feedback. Manages own and team’s competing priorities and objectives. Plans activities effectively and gives people autonomy to provide them with opportunities to develop. Facilitates cross team learning
  • Strong relationship management skills – with evidence of working effectively with, and influencing, key stakeholders over a sustained period of time. Has potential to build strong networks, demonstrates emotional intelligence, empathy, influencing, negotiation and conflict management skills
  • Has proven strong capability in engagement delivery and applies sound business decision making focussed on pragmatic and commercial outcomes. Takes a broad ‘organisation wide’ view and gives priority to matters that benefit the organisation as a whole. Builds an independent picture of stakeholder needs and opportunities and uses these to increase level of service provided
  • Strong verbal and written communication skills, as well as excellent listening and interpreting & innovative problem solving skills. Acts as a trusted advisor to both external contacts and within IA
105

Internal Audit Director San Francisco Resume Examples & Samples

  • Providing oversight and direction during planning sessions with clients at all levels
  • Facilitating and directing teams to generate a vision; establishing direction and motivating members; creating an atmosphere of trust; leveraging diverse view; encouraging team dialogue; providing candid, meaningful and timely feedback to encourage improvement
  • Facilitating teams to implement innovation as they design, evaluate and benchmark
  • Defining resource requirements and project economics areas
  • Understand the Firm’s Internal Audit strategy and how we deliver that to clients
106

Audit Director Resume Examples & Samples

  • Manage and provide oversight over all audit functions surrounding the DSRIP program, including conducting risk assessments, performance audits, and financial compliance reviews of Performing Provider Systems (PPS). This work will include validating PPS performance against completed process milestones; conducting site visits to verify performance; and complete monthly/quarterly reports to calculate achievement values in order to determine DSRIP payments earned
  • Develop and standardize program and financial reviews of the DSRIP program, including developing protocols for onsite audits and training staff on policy and procedures
  • Manage and provide oversight over three Audit Leads and their team of staff on the completion of the Mid-point assessment review and ongoing monitoring on a specific number of PPSs
  • Plan, oversee, and manage PPS program and financial reviews under defined timeframes. Ensure consistency in review processes across all the teams and audits of the PPSs
  • Track status of audits across the three audit teams and PPSs
  • Assist in the design and development of the Mid-point assessment review plan and accompanying review tools
  • Draft reports and deliver on all the services the client has purchased or needs
  • Identify at-risk projects and providers in accordance with defined protocols
  • Be able to understand and use data to assess PPS performance
  • Track deliverables owed by PPSs and determine performance, as well as payments earned
  • Complete quarterly report results and tracking statewide performance
  • Assist in the preparation of program review training materials and staff development
  • Serve as lead client contact on all matters surrounding audit and program reviews
  • Strong background and understanding of healthcare delivery systems, strong preference given to those candidates with experience working within the Medicaid program
  • Experience performing program and/or financial audits within the healthcare sector
  • Ability to travel frequently within a defined geographic region within New York State
  • Work with colleagues to continuously improve monitoring processes
  • Excellent communication skills including business writing, and ability to make presentations to various audiences
  • Proactively work with Senior Managers and overall Project Manager to participate in client meetings to provide updates on progress and findings
  • Develop staff through coaching and mentoring; maintain high colleague morale throughout the engagement
  • Well organized with a high degree of accuracy and attention to detail
  • Must be able to learn a significant amount of information in a short time-frame
  • Effectively manage multiple deadlines and prioritize assignments
  • 10 years of relevant work experience required
  • 5+ years of supervisory experience
  • Possesses solid knowledge of audit and accounting in a variety of areas and has specialized industry knowledge (Medicare and Medicaid programs and reimbursement, Medicaid Managed Care, General Healthcare, etc.)
  • Experience conducting on-site visits to provider locations
  • Proficient in use of applicable software programs, including Microsoft Word and Excel
107

Audit Director Resume Examples & Samples

  • Develop and maintain comprehensive internal audit methodology for the delivery of audit assurance activities to provide value-added assurance to the audit committees, senior management and regulators over the effectiveness of culture, ethical conduct, governance, risk management, and controls that mitigate current and evolving risks
  • Develop methodology to provide a valued interactive program of support and assurance to senior management on risks, issues, trends, root causes and impacts to the respective business activities and the group e.g., Principal Risk, Risk Governance Framework and CIXLS (Control Issue of X Level Significance)
  • Develop and maintain the Quality Assurance methodology in collaboration with the Quality Assurance Directors to provide independent assurance that IA has achieved and is maintaining appropriate standards of delivery set against IA’s own internal standards and the Standards and Code of Ethics of the Institute of Internal Auditors
  • Develop the Quality Assurance annual plan in collaboration with the Quality Assurance Directors
  • Prepare reports to the Citigroup and Citibank Audit Committees in relation to the Quality Assurance annual plan, Quality Assurance quarterly results and assessment of the Internal Audit function and updates to Internal Audit methodology
  • Review Quality Assurance reports to ensure results are in line with Internal Audit methodology
  • Design and maintain required methodology guidance (templates, forms, etc.) for the execution of audit assurance activities
  • Manage gap analysis against regulatory requirements for the internal audit function e.g., FRB-13, OCC Heightened Standards as well as industry requirements e.g., IIA
  • Liaise with regulators to communicate IA methodology and QA results
  • Partner with L&D to support training requirements as relates to internal audit methodology and other key initiatives
  • Partner with other control functions in support of common taxonomy and other control initiatives in Citi
  • Partner with IA AIMS team in support of AIMS functionality development
  • Partner with iCAPS and Compliance Regulatory Exam Management team in functionality development impacting IA
  • Manage the IA Methodology team that assist in the development of methodology, supports methodology inquiries, maintain the IA Methodology and Quality Assurance manuals and management of QA results including QA issue management and MI
  • Manage the Regulatory Liaison team in support of regulatory requests, regulatory exam tracking for examination impacting Internal Audit and back-testing of regulatory issues
  • Support the Quality Assurance Chief Auditor in other assignments and projects as required
  • Candidates should have at least 15 years of diversified financial services experience, including experience in internal audit. International experience is required. H/She should have a thorough knowledge of IIA Standards, regulatory requirements against the internal audit function as well as an understanding of best-in-class audit methodologies. H/She must be proficient in risk and control analysis and audit concepts in the financial services area and skilled at analyzing root causes of problems and anticipating ‘horizon’ issues. Related certifications (CIA, CISA, ACA, CPA, CFA, MBA) are a plus
  • The Quality Assurance & Methodology Director will be a strong, energetic individual with a proven track record in managing high-performance teams
108

IT Audit Director Resume Examples & Samples

  • Collaborate with stakeholders and audit teams to provide expert support, analysis, and research for complex problems and processes relating to the subject matter
  • Support AIG’s vision and strategic direction
  • Actively participate in audit activities, and advise on emerging industry or regulatory topics/issues that may impact audit coverage
  • Partner closely with the business, to ensure the unique work of the function is appropriately reviewed and evaluating during the audit process, and subsequent remediations are addressed
  • Educate business representatives on the internal audit process for their function, and work to improve the overall audit experience
  • Enthusiastically facilitates knowledge exchange/transfer in an effort to further the development of the wider IAG team
109

Audit Director Resume Examples & Samples

  • Oversee the efforts of multiple client engagements in a variety of industries with the ability to manage assigned client engagements to budget
  • Actively participate in recruiting audit talent to the firm
  • Exceptional verbal and written communication skills
  • Excellent leadership skills – proven ability to manage and develop staff members