Audit Head Resume Samples

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K Bayer
Kavon
Bayer
3489 Ledner Creek
Boston
MA
+1 (555) 759 4775
3489 Ledner Creek
Boston
MA
Phone
p +1 (555) 759 4775
Experience Experience
11/2016 present
Phoenix, AZ
MYS Citibank Berhad Kl-head of Audit Malaysia
Phoenix, AZ
MYS Citibank Berhad Kl-head of Audit Malaysia
11/2016 present
Phoenix, AZ
MYS Citibank Berhad Kl-head of Audit Malaysia
11/2016 present
  • Citibank Berhad (main LV)
  • Citigroup Global Markets Malaysia
  • Citibank N.A. Malaysia (Labuan branch)
  • Citigroup Transaction Services (M) Sdn Bhd (CTSM)
  • Proactively advances integrated auditing concepts. Leverages Internal Audit's Centres of Excellence to improve audit processes and coverage
  • Fully supports and endorses the Quality Assurance function of Internal Audit and promptly accepts and remediates deficiencies found by QA
  • Responsible to oversee the delivery of high quality, value-added multiple concurrent audits on time and to specification
05/2014 09/2016
Chicago, IL
Head of Internal Audit Innovation
Chicago, IL
Head of Internal Audit Innovation
05/2014 09/2016
Chicago, IL
Head of Internal Audit Innovation
05/2014 09/2016
  • Establish an industry – leading Innovation Strategy for Internal Audit
  • Develop IA Application to support stakeholder engagement and sharing of information
  • Proactive identification of potential global and regional issues using internal and external issues
  • Develop and introduce usage of machine learning to support the progression towards continuous auditing
  • Define and execute areas of opportunity for robotics implementation in partnership with Audit teams
  • Manage centralized analytics team to provide data mining and analytics services towards complex analytic problems/big data analysis in support of product/function audit teams
  • Introduce business intelligence tool to support IA management to “run like a business”
04/2011 04/2014
New York, NY
Head of Audit, Vietnam
New York, NY
Head of Audit, Vietnam
04/2011 04/2014
New York, NY
Head of Audit, Vietnam
04/2011 04/2014
  • Fluent in Vietnamese language for use in a business context – spoken and written
  • Ensures the delivery of audit reports and branch examinations that are complete, insightful, timely, error free and concise
  • Delivers high impact reports of IA's contributions to executive management, regulators, and Citigroup and Citibank boards' sub-committees, developing trend analyses and thematic reporting
  • Develops significant senior line management relationships, including legal entity management and the Citi Chief Country Officer (CCO) as well as product and business line management. Reports to senior management on issues, trends, root causes and impacts to the respective business activities and the group
  • Ensures the CCO, in-country Management and local governance committees receive prompt, timely and complete information relating to the activities of Internal Audit. This includes the standard quarterly reporting, in the prescribed format
  • 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
  • Delivers cost effective and efficient management of audit teams and audit engagements
Education Education
Bachelor’s Degree in Banking
Bachelor’s Degree in Banking
Indiana University
Bachelor’s Degree in Banking
Skills Skills
  • Establish an industry – leading Innovation Strategy for Internal Audit
  • Develop IA Application to support stakeholder engagement and sharing of information
  • Proactive identification of potential global and regional issues using internal and external issues
  • Develop and introduce usage of machine learning to support the progression towards continuous auditing
  • Define and execute areas of opportunity for robotics implementation in partnership with Audit teams
  • Drive the adoption of automated tools (including ECAAP) across the IA function and with business stakeholders; Focus development on global, automated, repeatable automated solutions to test the control environment
  • Manage centralized analytics team to provide data mining and analytics services towards complex analytic problems/big data analysis in support of product/function audit teams
  • Introduce business intelligence tool to support IA management to “run like a business”
  • Uses excellent communication, leadership and strong management skills to influence a wide range of internal audiences including respective product, function, or regional audit management. 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
  • Drive the innovative use of audit analytics and automation through all phases of audits (i.e., business monitoring, planning, fieldwork, reporting)
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15 Audit Head resume templates

1

Head of Audit Business Management Resume Examples & Samples

  • In recent years awareness of the importance of internal audit has increased in view of its role as an influential value added service available to senior management. There has been a deliberate transition from an inspection orientated approach to a more pro active risk management function which approaches audits based on current and future risks and combines the elements of control, efficiency, opportunity, development, value and growth
  • Must possess strong management skills and diplomacy to be effective in sensitive situations. Must have proven ability to balance firmness and tact to manage and influence potentially difficult situations
  • Must keep up-to-date with changes in the financial services industry, and in the HSBC Group
  • Must act in a highly professional manner at all times given the context and profile if this role
  • Must have a very strong command of the English language both verbally and in business writing
  • Ability to negotiate with external and internal clients, taking into account business interests and technical aspects of the solution/recommendation to be implemented
  • Good leadership skills seeking the engagement of the team to achieve common goals
  • Ability to influence people outside of your management structure
  • Train, develop, and motivate staff through on-the-job development
  • Co-ordinate departmental MI and reports
  • Strong Organizational and time management skills are needed
  • Minimum of five years proven and progressive audit, business, and/or accounting experience or equivalent
  • Qualifications in business, accounting, finance, related field or equivalent experience, professional certification (CPA, CA, or CIA)
  • Written and verbal communication skills, analytical, problem-solving, organizational, lateral thinking and interpersonal skills
  • Foundation knowledge of the Company, Group and financial services industry, business supported and the regulatory framework they operate in
  • Good understanding of the business, risks and related controls within areas of responsibility
  • Prior professional practices experience is preferred
2

Head of Taiwan Statutory Internal Audit Resume Examples & Samples

  • Maintain and update the internal audit procedures according to the regulatory requirements
  • Plan for and compile internal audit reports and ensure the effectiveness of overall audit framework
  • Prepare and carry out regulatory filing of internal audit items
  • Identify discrepancy of operational procedures and make recommendations to ensure the operating effectiveness of internal control systems
  • Coordinate internal control procedures and the departmental self-assessment
  • Keep the Supervisor informed on the results of audit reports and any other noteworthy audit issues
  • Report to the Board of Directors, including but not limited to attending the Board Meetings to report noteworthy findings
  • Any other tasks assigned by the Board of Director(s) for enhancing the internal control and audit framework*LI-LT2
  • At least five years of work experience in audit covering equity sales and trading, fixed income, or futures in financial services industry, preferably in a securities or banking environment
  • Demonstrated leadership capability in overseeing internal audit team and work
  • Senior Broker Business Person license and Futures Business Person license holder necessary
  • Passed the TWSE exam of capital adequacy ratio
  • Strong communication skills in both English and Mandarin
  • Proactive and able to work independently
  • Bachelor degree or above
3

Head of Audit, Algeria Resume Examples & Samples

  • Development, planning and execution of Internal Audit Plan for the Algeria branch of Citibank N.A. in accordance with Internal Audit Standards and in compliance with local regulations and Citigroup policies
  • Ensure appropriate delivery against the agreed audit plan for the Algeria branch of Citibank N.A.. The audit plan will ensure a complete description of the planned coverage, both of in-country audit work and, and also the coverage of activities outside the country on which the country relies
  • Meet all the regulatory requirements for Internal Audit in respect of providing Internal Audit services to the Algeria branch of Citibank N.A
  • Ensure the governance, risk management and control concerns of regional management are considered in the the planning, and plan updates, and that Internal Audit provides suitable, prompt assurance in respect of the areas of concern identified
  • Maintain an appropriate, pro-active, constructive, solutions-driven relationship as the independent auditor for that country with the Chief Country Officer (CCO) for Algeria; and support the CCO in the fulfillment of their responsibilities in respect of governance, risk management and internal control
  • Ensure the CCO and in-country Management receives prompt, timely and complete information relating to the activities of Internal Audit
  • Presents the audit results to BRCC, External Auditors and Regulators, focusing on key issues and trends and timely resolution of issues
  • Ensure adoption of the appropriate portions of the Citigroup Audit Committee Charter and the Internal Audit Charter
  • Promptly identifies and escalates control issues raised by regulators in respect of the Citigroup activities in Algeria .Additionally, works constructively with management and Compliance to identify corrective action plans to remediate the governance, risk management or internal control issue, and that Internal Audit validates the issue promptly
  • Relevant experience auditing banks with comprehensive knowledge of banking products offered in Algeria or relevant operational experience in products offered
  • Strong team player, able to build and leverage relationships across the organization
  • Fluent in English, Arabic and French
4

Country Audit Head Resume Examples & Samples

  • This role will ensure IA's audit coverage meets local regulatory requirements and to provide support to the Audit Committee
  • Furthermore, you will provide the local Audit Committee and other local governance with insights and control themes to influence the control environment
  • You will oversee a portfolio of engagements as these apply to all local businesses operating in country to provide independent assurance
  • Finally, you will supervise the country IA department and discharge managerial obligations in compliance with local regulation
5

Internal Audit Head-gabon Resume Examples & Samples

  • Contributes to the development of the Internal Audit plan for the Gabon, in co-ordination with the product and functional specialists of the global internal audit team, and in accordance with internal audit standards and local regulations
  • Delivers against the Internal Audit plan for Gabon
  • Performs moderately complex audits related to Treasury and Trade Solutions, Investment Banking, technology management, project/program management, or supplier management in accordance with Internal Audit methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions
6

Head of FCC Audit Exam & Issues Management Resume Examples & Samples

  • This is a position that will be working across a set of risk “silos” that typically are not coordinated in some areas, so clear communication of the need for coordination and change will be needed, as well an approach to practical and easily implemented solutions
  • The jobholder will need to work closely with the US Head of FCC along with key stakeholders within shared services
  • This role will help ensure that HNAH’s FCC program continually adapts to changing needs and requirements through continuous advancements, effective and coordinated project management, and by pro-actively sharing and leveraging best practices to maintain operational excellence
  • Bachelor’s Degree, J.D. or ACAMS certification preferred
  • 5 or more year’s relevant experience in Project Management, Exam Management or Risk Management, Testing or Audit
  • Exceptional knowledge and understanding of AML, BSA, USA PATRIOT Act, Economic Sanctions and Anti-Bribery & Corruption
  • Proven ability to communicate effectively with all levels of management, auditors, and regulatory examiners
  • Working knowledge of internal banking processes and systems
  • Well-organized, ability to prioritize multiple tasks and to bring open projects to closure. Ability to meet deadlines in a fast-paced environment
  • Strong interpersonal skills and ability to influence others for results
  • Well-developed analytical and problem solving skills. Ability to assess complex issues and structure appropriate solutions and recommendations
  • Proficient in Microsoft Word, Excel, Outlook, SharePoint, and PowerPoint
7

Country Head of Audit Resume Examples & Samples

  • Ensure compliance with all regulations applicable to the local legal vehicles in Dom. Republic and Puerto Rico
  • Perform an assessment of the effectiveness and adequacy of the Internal Control System in Dom. Republic and Puerto Rico
  • Verify compliance with the AML processes and controls
  • Assessment of appropriateness and adequacy of the risk management processes in place and that they are implemented as approved by the corporation
  • Supervise and validate the effectiveness of the corrective action plans developed to address issues raised by Internal Audit and Regulators
  • Deliver the countries Audit Plans (risk based, risk based with requirements) to the time commitments and ensure quality in the work performed and reports produced
  • Ensure the CCOs, and Management supporting the CCOs, all receive prompt, timing and complete information relating to any activities of Internal Audit that impacts the countries. Independently from the IA teams conducting the audit work in the countries, both Local and Regional Management teams should be kept informed, on a timely manner, about audit developments and results
  • Ensure the governance, risk management and control concerns of regional management and jurisdictional management are considered in the planning, and plan updates, and that Internal Audit provides suitable, prompt assurance in respect of the areas of concern identified
  • Maintain an appropriate, pro-active, constructive, solutions-driven relationship, as the independent auditor for Dom. Republic and Puerto Rico, with the CCOs
  • Ensures appropriate communication channels are maintained with regulators and interactions are logged into the Regulatory Interaction Management System (RIMS) or other system as needed
  • Ensure appropriate delivery against the agreed audit plan for the countries, as well as on required TTS assurance audit work within the Region
  • Ensure adoption and implementation of the Internal Audit Transformation program across all teams in the countries
  • Ensure effective cost management and operation within budget for all Internal Audit activities within the countries
  • Ensure adherence to all Citigroup policies and procedures for all Internal Audit activities within the countries
  • Ensure Internal Audit staffing in accordance with commitments for Internal Audit staff in the countries; ensure the suitability of staff, and ensure an appropriate succession plan is in place
  • Ensure Internal Audit promptly identifies and escalates control issues raised by regulators in respect of the Citigroup activities in the countries. Additionally, ensure that Internal Audit works constructively with management and Compliance to identify corrective action plans to remediate the governance, risk management or internal control issue, and that Internal Audit validates the issue promptly
  • Ensure prompt and informative communications for Internal Audit personnel working in or in respect of the countries and also engage on any audit activity impacting the countries with independency from the product teams conducting the work to ensure an adequate assessment / calibration of the issues and audit reporting results
  • Ensure adoption of the appropriate portions of the Citigroup Audit Committee Charter and the Internal Audit Charter for all legal entities for which there is a requirement to have an audit committee in the countries
  • BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus. Masters Degree is preferred
  • Experience in a related audit role for the minimum of five years, with experience in business and functional and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables
  • Strong relationship management and interpersonal skills for interfacing with all levels of internal and external audit and management
  • Good understanding of the regulatory framework and expectations from financial regulators in Dom. Republic and Puerto Rico
  • Fluent in written and spoken Spanish and English, French is a plus
8

Head of Audit Ukib Ibcm Resume Examples & Samples

  • Success in this important and complex role will require the role holder to be highly effective both in interpreting risks across the breadth and variety of businesses within role remit and in co-ordination with other Heads of Audit across the department, both within the GM & IBCM and the broader SME community
  • In co-operation with other relevant Heads of Audit where appropriate, strategic development and maintenance of the audit approach for all relevant business areas within the CSi / CSSEL and CS AG, London Branch legal entities level
  • Providing key input to the internal Quarterly Business Review process at a global and legal entity level through the conduct of formal quarterly assessment of key risks and issues within areas of responsibility (taking into account changes in risk profile and market/operating environment conditions) and maintaining a comprehensive program of relevant assurance activities (e.g. audits, continuous auditing, project reviews)
  • Oversight of the delivery of high quality audits (in a relevant legal entity context) which have strategic control impact and are commercially relevant. Particular focus also on delivery effectiveness in terms of timely delivery relative to targets, quality of communication of key messages and clear distilling of global and legal entity themes within reports where relevant
  • Lead high quality follow up of actions previously raised and/or be a key reference point in the closure process around matters relevant to areas within role responsibility
  • Development and execution of a program of continuous risk and performance monitoring for all relevant business areas in a legal entity context (taking into account business developments, emerging risks and control issues)
  • Ongoing management of all product and legal entity level stakeholders, vital to directly enabling performance of other aspects of the role
  • Close co-operation with other Heads of Audit within the GM and IBCM division and those focused in other product / SME areas for the UKIB legal entities to ensure all thematic risks across these populations are adequately captured and reported at the appropriate level
  • Definition and monitoring of capabilities required to audit all role areas effectively, including use of Subject Matter Experts
  • Management and development of specialist resources within the Team and outsourced, as relevant
  • Maintaining subject matter expertise in all business and product areas covered by the requirements of the role
9

Internal Audit Head Resume Examples & Samples

  • Conducting continuous monitoring and risk assessment to identify key risk for audit scoping and planning, meeting regulatory requirements on internal audit
  • Conducting independent financial and operational audits, covering all audit phases from planning, fieldwork, to reporting
  • Working with regional and global Internal Audit Department to ensure effective and timely coordination of audits
  • Following and understanding the market and regulatory changes and their risk impact on the Bank
10

Head Internal Audit Resume Examples & Samples

  • Accountability: Audit Delivery and Business Facing Time 40% (Planning, Fieldwork and Reporting)
  • Vet the Risk Assessment of the Wealth and Investment Management portfolio of the WIMI business in order to approve a risk-based audit plan on a 12 month (6+6) and 3-year cycle. This will include identifying auditable entities, assessing the audit needs assessment and reviewing all Management Information reports required
  • Perform continuous business monitoring activities to gain insight into the Wealth and Investment Management business/industry
  • Diligently leverage from the 3 Lines of Defence and Combined Assurance model in the WIMI environment
  • Manage the full audit process in accordance with the BIA audit methodology for planning, fieldwork and reporting i.e. review for example the ASM, PCOM, run the planning tollgates, manage resources, mentor/coach the audit team especially the VPs during fieldwork, adequately review workpapers, be responsible for the final audit report, review the FCOM/Synergy File and engage with management to ensure a value-add experience
  • Strong data analytics knowledge and experience a plus
  • Ensure a detailed knowledge of the methodology through training sessions to ensure that approved audits are risk focused
  • Scorecard reviews performed by Quality Assurance (QA) should reflect results of at least 90%
  • Develop and maintain relationships with accountable stakeholders on each audit
  • Engage with Barclays Internal Audit (BIA) colleagues during assignments and request technical assistance where required. Technical assistance may include performing part of the audit, the review of key risks and controls, review of working papers and audit reports
  • Manage the audit process and issues assurance activities within Key Performance timelines and resource budget
  • Proactively provide on-the-job training to the audit team and ensure that the audit team is upskilled on the audit toolkit – Synergy. Confirm through adequate supervision that the results of audit work are completed, updated and approved as required by the Quality Assurance scorecard
  • Engage with Centres of Excellences (CoEs) at each stage in the audit process and give oversight to CoE colleagues working on the audit assignment
  • Manage/oversee the development of testing strategies for key controls within the business to adequately mitigate the risks. An example of this is to ensure that the team has adequately determined the sample size of the item to be tested, the period in which the sample will be selected from and then determine the applicable test to confirm that the control is operating effectively
  • Oversee that the execution of Design Effectiveness Testing (DEA) and Operational Effectiveness Testing (OET) activities of the audit team in line with methodology requirements and as per the requirements of the QA scorecard
  • Sample review the DEA and OET working papers of controls tested
  • Based on the reviews performed, provide effective feedback to audit staff during the audit assignment to confirm that working papers are completed in line with the AIA methodology. This is an important coaching and development opportunity for the audit staff
  • Engage with the management, the Portfolio Head and auditors on progress of audit and to provide regular feedback on issues identified where the control has failed either at a DEA or OET level
  • Proactively take on additional tasks as delegated by the Portfolio Head of Audit
  • Responsible for the value add management information for stakeholders by at the end of each month. This will include obtaining management information from stakeholders and preparing the management information. The main reporting requirements include
  • Intimate knowledge of the Wealth advisory, stockbroking, private clients and investment management industry/client base
  • Real-time industry insight required
  • Improve technical knowledge through self-learning or training including mandatory continuous Professional Education requirements
  • Share knowledge in area of responsibility with the team to ensure that audit activities are planned effectively and completed in line with quality standards and audit methodology
  • Present effectively at stakeholder meetings and forums (i.e.: Risk and Governance Forums etc. ) by sharing knowledge and information, including methodology, standards, changes and new developments, with business stakeholders on an ongoing basis
  • Wealth and investment management knowledge in Africa a plus; and
  • Working with colleagues in Business Units to provide requisite expertise in key areas where specific specialist knowledge is required to deliver appropriate, value-added assurance
11

Head Audit & Compliances Resume Examples & Samples

  • Conduct Audit (Quality & Technical) on PnB factory and switchgears
  • Help integrate SEIL make VCBs in PnB switchgear
  • Assist PnB to prepare switchgear for testing
  • Analyze type test results (circuit-breaker related)
12

Corp-head of Audit Resume Examples & Samples

  • Define, manage and deliver the Mexico audit plan based on the continuous risk assessment of the businesses and support functions in the location, taking into account the regulatory environment and expansion initiatives
  • Lead and coordinate all aspects of audits, including risk assessment, planning, scoping, testing, control evaluation and reporting
  • Proactively monitor changes in the risk profile and control environment, and make appropriate recommendations for improvement
  • Liaise with regulators and external auditors. Prepare quarterly reports of Internal Audit to the Audit Committee
  • Develop and coach the Mexico audit team
  • 10+ years of experience in control functions of the financial services industry
  • Fluent in English (speaking and writing)
  • In-depth understanding of audit practices and methodology, including risk assessment and substantive testing. Solid understanding of internal control concepts and strong analytical skills
  • Strong knowledge of Mexican regulations and key industry issues & themes
  • Comprehensive understanding of the end to end flow, key risks and controls of trading and banking businesses
  • Ability to build strong relationships across businesses, support functions and audit teams through proactive and open communication
13

Head of Audit, Consumer Conduct Resume Examples & Samples

  • Customer Services (Complaints)
  • Customer Resolutions (RCA, rectifications)
  • PPI Operations
  • Credit Operations and Customers in Financial Difficulty
14

Section Head, Audit Resume Examples & Samples

  • Up to 10% domestic/international travel to supervise audits, during the fiscal year
  • This position will require the individual to plan and perform internal audits over all Banking areas within SMBC's Americas Division
  • Group management: Oversight of the internal audit work when a direct report is Auditor-in-Charge, in the area of development of audit programs, performing audit fieldwork, preparing audit documentation, evaluating risks, proposing corrective measures, writing audit reports, etc; Relationship management with assigned areas; Periodic risk assessment; Training team members and performance evaluations
  • Participation in the annual risk assessment and annual audit planning, including proposing annual plan for assigned audit entities and staff allocation. Project monitoring with preparing the related reporting to Internal Audit Management
  • Conduct individual internal audits either as AIC or auditor to examine and evaluate internal controls in key risk areas of banking activities/practices to ensure compliance with internal policies and applicable rules, laws, and regulations
  • Minimum 15 years' internal audit experience with a minimum of 7-10 years' internal audit experience within a large Foreign Banking Organization or US Money Center Bank
  • Minimum 5 years' experience supervising staff, including performance evaluation, reviewing audit workpapers/reports
  • Experience in one or more of the following areas is also a plus
15

Gfg-head of Internal Audit Resume Examples & Samples

  • Assist in defining the assurance strategy as well as drive and own execution of this strategy through the compilation of one-year and three-year audit plans across the Group’s regions with focus on South East Asia and Australia
  • Assist in delivering comprehensive assurance over each individual Market and function
  • Assist in the preparation and reporting on progress of the audit and risk performance to the Audit Committee, detailing key areas of Audit focus, assurance and / or concerns. Disseminate results to Management as appropriate
  • Assist in the implementation of GFG’s Internal Audit Universe and the Group-wide risk assessment plan that will ultimately drive the annual audit plan and ensure Regional business mitigates critical exposures
  • Oversee, lead and participate in the delivery of individual audits by reviewing and reporting within pre-determined time-scales. Develop process engineering solutions that will help drive business process and control value. Review audit work papers and report findings accordingly
  • Deliver the planning (scoping) and execution of key projects, programmes and compliance initiative checks across Region, individual Markets and Cross-Department teams. Assume responsibility over financial, operational and regulatory compliance across all activities and functions
  • Implement and own the delivery of continuous monitoring of Data Analytics tools across high risk business and audit areas to provide analysis of various aspects of business operations and in support of providing control assurance
  • Remediation - assist in monitoring and providing guidance to regional Management that will help resolve internal control issues including reviewing and agreeing with management appropriate timeframes for delivery of specific actions agreed during the Audit process
  • Develop, own and implement standards and trainings to ensure consistent execution of audits across the Group in line with the Chartered Institute of Internal Auditors. Actively participate in Group-wide initiatives as needed
  • Manages internal business and third party (e.g. external audit) relationships to help promote value of audit, facilitate insourcing of services and help with direct external audit assistance. Monitor industry best practices
  • Assist in executing compliance audits across regions in line with the overall Anti-Bribery, Anti-Corruption framework and risk assessment process
  • Ability to conduct fraud review and investigations on an ad-hoc basis and as mandated by Group Management
  • Additional experience taking a company public and performing due diligence is a plus. SOX 404 or similar background highly sought after as well
  • Bachelor from a Top tier university is required in accounting, finance, business, or process engineering. A MBA or Master in related field is preferred
  • Eight (8) to ten (10) years of experience in process engineering and auditing; preferred background in e-commerce, FMGC company/retail and accountancy at an international level
  • Must have attained ACCA / ACA or CPA and demonstrated proficiency in International Financial Reporting Standards (IFRS)
  • Must have knowledge in ERM/COSO framework and practical experience; Operational Risk, SOX, COSO and Six Sigma or equivalent
  • External Public Accounting experience (“Big Four”)
  • Proficiency in IFRS and FCPA / ABAC type legislature
  • Experience running investigations and audits with due diligence, business process and internal compliance focus
  • High proficiency and outstanding analytical skills utilizing financial and data driven techniques. Ability to implement continuous monitoring across the Region
  • Excellent communication, both verbally and in-writing, and presentation skills including articulation of audit issues, report writing, quantification, etc
  • Must be a self- starter, flexible, work independently with limited direction in unstructured environment
16

Head of Internal Audit Operations Resume Examples & Samples

  • Leading the Operations team, managing team and individual performance, and driving their career development
  • Making sure that the technology infrastructure supporting the Internal Audit function is fit for purpose and appropriately maintained and developed
  • Working with HR to deliver the Internal Audit people plan, maximising the function's organisational effectiveness through recruitment, the graduate programme, talent management, and pay and recognition
  • Overseeing Internal Audit’s compliance with both specific and bankwide requirements, including certification regimes, Risk Appetite Statement, Control Environment Certification, Personal Account Dealing and conflicts of interest
  • Tracking any action plans arising from control reviews, and implementing actions where required
  • Ensuring that the strategic and operational risks across your areas of responsibility are sufficiently understood
  • Experience in a leadership role and a clear history of managing multiple priorities and a diverse team
  • The demonstrated ability to manage multiple stakeholders and to develop effective relationships at executive level
  • Effective communication and influencing skills at all levels of an organisation, both verbally and in writing
  • Proficient time management and organisational skills, with an ability to work to tight deadlines and manage competing priorities
  • The ability to challenge the status quo and think strategically
17

Regional Head of Internal Audit, Europe Resume Examples & Samples

  • Work with the Group Head of Internal Audit to define the regional Internal Audit Strategy and Plan
  • Create and manage the regional Internal Audit plan based on a risk based approach to Internal Audit
  • Maximise the impact of audit through focus on the major strategic, regulatory, financial, operational and health & safety risks facing LL
  • Work with the Group Head of Internal Audit to set group-wide framework and standards associated with Internal Audit
  • Assist in the setting of the overall audit approach, methodology and charter for the function
  • Work with other regional teams (EHS, Risk & Insurance, Finance) to develop the appropriate risk based criteria and approach
  • Assist and advise the regions with the implementation of framework, policies and standards across the businesses
  • Drive delivery consistency and operational excellence across the regional Internal Audit team
  • Ensure corporate governance procedures are mitigated for LLC
  • Drive management commitment to generate solutions in response to audit findings
  • Coordinate audit communications and reporting to the RMAC / Sustainability Committee and the board
  • Co-ordinate / conduct audits adhering to Lend Lease’s Global Minimum Audit Standards (as adjusted post Delta) and appropriately manage direct reports involved in the audits
  • Facilitate identification and sharing of best practice across the businesses and across regions within Internal Audit
  • Ensure regional costs are managed within agreed budget
  • Maintain strong relationships with external audit providers and coordinate activity to leverage skills and experience and ensure an effective combined assurance plan is in place for all Lend Lease’s businesses within the region. As necessary, engage and manage outsourced audit providers
  • Act as a ‘sounding board’ and advisor to Executives and peers with regard to audit matters
  • Ensure activities related to the function comply with legal and ethical standards
  • Motivate, coach and develop the Regional Internal Audit team (if applicable) ensuring requisite capability exists to fulfil function requirements and people practices are effectively implemented
  • Strong business relationship, networking, liaison and representation skills
  • Proven ability to interact with key stakeholders at a regional level – including Board and Executive
  • Demonstrated ability to develop, implement and improve risk management systems, policies and procedures
  • Strong leadership abilities, with demonstrated ability to influence at all levels
  • Strong commercial acumen and understanding of effective business risk management essential
18

Head of Audit, RBS International Resume Examples & Samples

  • If you're an experienced internal audit or risk professional with a wealth of financial services industry knowledge, this role offers an opportunity to play a major part in a high profile area of the bank
  • You'll own the audit plan for the RBS International business, and work with the most senior stakeholders across the jurisdictions where the business operates
  • The RBS International business is undergoing a period of wide-ranging and exciting change, making this a rare opportunity to shape its future as we increase the audit presence to support the business's strategy
  • Allocating resources flexibly and effectively within your audit portfolio
  • A relevant professional qualification, with audit, accountancy and banking all welcome
  • An outstanding ability to build robust stakeholder relationships with senior business colleagues
  • The confidence and ability to challenge and influence effectively on assurance matters, up to executive level when required
  • Evidence of managing, guiding and developing a diverse range of team members, ideally across a number of locations
19

Head of Audit, Operations Resume Examples & Samples

  • Becoming a valuable business partner to the management team in your area of your responsibility
  • Retaining oversight while your team carries out the audits which form your plan, ensuring that both the audits' quality and progress meet the standards expected, and that the testing completed fulfils the scope of the audit plan
  • Acting as a leader and role model to your own team, setting standards of excellence in how we engage the business, and providing guidance, coaching and personal development
  • Strong people management skills, with the ability to galvanise, direct and develop those in your sphere of influence
  • A detailed knowledge of the regulatory environment, and experience of working with regulators
  • Integrity, strategic foresight and excellent communication
20

Executive Assistant to the Group Head of Internal Audit Resume Examples & Samples

  • Efficient and Accountable - In recognising the trusted role GIA hold within the Bank's governance structure, GIA acts with absolute integrity at all times though independence, professionalism, accountability and efficiency
  • Customer Relationship Management: Takes personal responsibility for delivering a level of service that often exceeds customer expectations
  • Results Focus : Goes beyond focusing on agreed goals to create new and stretching challenges, and learns from mistakes
  • Teamwork & Collaboration: Shares in successes and disappointments, plays any part in the team, moving from leader to member with no difficulty
  • Communication & Influencing: Communicates with confidence and competence to positively influence the outcome of decisions and gain commitment
  • Planning & Priority Setting: Manages additional/competing priorities
21

MYS Citibank Berhad Kl-head of Audit Malaysia Resume Examples & Samples

  • Citibank Berhad (main LV)
  • Citigroup Global Markets Malaysia
  • Citibank N.A. Malaysia (Labuan branch)
  • Citigroup Transaction Services (M) Sdn Bhd (CTSM)
  • Sets and/or contributes to strategic direction and medium to long term planning of Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, 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
  • Directs comprehensive audit activities supporting a product line, function, or legal entity at the global or regional level including a significant portion of the audit annual plan, in accordance with IA standards, Citi policies, and local regulations. Typically responsible for providing valued and timely independent assurance on the design and operating effectiveness of a product, function, or legal entity at a global or regional level
  • Ensures IA meets/exceeds the requirements and expectations of Citibank and Citigroup's regulators
  • BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus. He/She should have a thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. He/She must be proficient in risk and control analysis and audit concepts for a number of products and specialized areas and will be skilled at analysing root causes of problems and anticipating 'horizon' issues
22

Head of Internal Audit Innovation Resume Examples & Samples

  • Establish an industry – leading Innovation Strategy for Internal Audit
  • Develop IA Application to support stakeholder engagement and sharing of information
  • Proactive identification of potential global and regional issues using internal and external issues
  • Develop and introduce usage of machine learning to support the progression towards continuous auditing
  • Define and execute areas of opportunity for robotics implementation in partnership with Audit teams
  • Drive the adoption of automated tools (including ECAAP) across the IA function and with business stakeholders; Focus development on global, automated, repeatable automated solutions to test the control environment
  • Manage centralized analytics team to provide data mining and analytics services towards complex analytic problems/big data analysis in support of product/function audit teams
  • Introduce business intelligence tool to support IA management to “run like a business”
  • Uses excellent communication, leadership and strong management skills to influence a wide range of internal audiences including respective product, function, or regional audit management. 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
  • Drive the innovative use of audit analytics and automation through all phases of audits (i.e., business monitoring, planning, fieldwork, reporting)
  • Apply a strong understanding of business processes, risks and controls to identify opportunities to enhance audit efficiencies and effectiveness through the development and delivery of automated processes
  • Define data needs, design and execute audit analytics during audits in accordance with the audit methodology and professional standards
  • Strong verbal and written communication skills to clearly articulate automation requirements and results, and make practical recommendations for enhancements
  • Develop strong professional relationships with product and technology audit teams to assist in the definition of audit automation opportunities for assigned audits and business monitoring activities
  • Develop effective working relationships with technology and business management
  • Demonstrate efficiency and effectiveness gains from identification and deployment of audit analytics, quantifying the analytics value derived from each audit (e.g., records analyzed, automated tests performed, increased assurance / findings derived from analytics)
  • Meet analytics quality standards regarding professional standards and to enable reuse in future audits
  • Adventurous spirit to drive change; experience with disruptive business models
  • Ingenuity in enhancing client support through innovative use of analytics and business intelligence
  • Advanced level experience in a related role with experience in driving innovation across businesses, functions and teams
  • Strong technical and programming experience. Knowledge of SAS, SQL, VBA, IDEA, ACL, MS Access, Business Intelligence, and Visualization tools will be beneficial
  • Specific subject matter expertise regarding analytics, business intelligence tools and automation. Functional knowledge of banking processes (e.g., Institutional Clients Group, Consumer, Corporate Functions) and related risks and controls
  • Lean / Six Sigma Master Black Belt Certification would be beneficial
  • Excellent organizational and project management skills, with the capability to support multiple projects
  • At least 20 years of business / audit experience with strong experience in providing automated solutions to business needs
23

Head of Audit, Vietnam Resume Examples & Samples

  • Develops Internal Audit Plan for Vietnam ensuring that the governance, risk management and control concerns of country management are considered in the planning, and plan updates, and that Internal Audit provides a suitable, prompt assurance in respect of the areas of concern identified
  • Ensures Internal Audit promptly identifies and escalates control issues raised by regulators in respect of the Citigroup activities in the country. Additionally, ensure that Internal Audit works constructively with management and Compliance to identify corrective action plans to remediate the governance, risk management or internal control issue, and that Internal Audit validates the issue promptly
  • Ensures the delivery of audit reports and branch examinations that are complete, insightful, timely, error free and concise
  • Develops subsidiary non-executive director relationships. Reports to subsidiary boards and audit committees, as appropriate, on issues, trends, root causes and impacts to the respective business activities and the group
  • Develops significant senior line management relationships, including legal entity management and the Citi Chief Country Officer (CCO) as well as product and business line management. Reports to senior management on issues, trends, root causes and impacts to the respective business activities and the group
  • Bachelor’s degree in banking, finance, accounting, auditing or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus. H/She should have a thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. H/She must be proficient in risk and control analysis and audit concepts for a number of products and specialized areas and will be skilled at analysing root causes of problems and anticipating 'horizon' issues
  • At least 5 years working experience in financial services or banking
  • Fluent in Vietnamese language for use in a business context – spoken and written
  • Demonstrated experience in managing integrated internal audit and assurance delivery within a matrix reporting environment
  • Strong interpersonal skills for interfacing with all levels of internal and external audit and senior management. Should be an articulate and effective communicator, with an energetic and approachable style. Candidates must have effective negotiation skills, a proactive and 'no surprises' approach in communicating audit results, strength in sustaining independent views, and the ability to work effectively at the highest levels of the organization