Audit Manager Resume Samples
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Audit Manager Resume Samples
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KH
K Howe
Kaitlin
Howe
2240 Denesik Extensions
Los Angeles
CA
+1 (555) 424 6365
2240 Denesik Extensions
Los Angeles
CA
Phone
p
+1 (555) 424 6365
Experience
Experience
Detroit, MI
Audit Manager
Detroit, MI
Metz LLC
Detroit, MI
Audit Manager
- Establish and develop effective working relationships with Management of business units for which incumbent has been assigned risk assessment responsibility
- Working capital management - manage work in progress and billings
- Perform or assist in the performance of special reviews at the request of management, including fraud investigation
- Manage performance of on-site audit work and review working papers when audit lead
- Delegate work to assurance team members successfully Conduct timely performance reviews and provide performance feedback/training
- Performs complex execution of the area of audit work performed
- Collaborate with colleagues and internal stakeholders/management to perform risk assessments and develop audit programs for validating internal controls
present
Chicago, IL
Audit Manager
Chicago, IL
Marvin, Hegmann and Stiedemann
present
Chicago, IL
Audit Manager
present
- Manage performance of on-site audit work and review working papers with audit management
- Indirectly manage a team of professional resources, actively develop, train, coach and provide feedback for performance assessments for team members
- Consult, work with, and service client base to make recommendations on business improvement and process improvement and serve as a business advisor to client
- Work with other managers to help ensure the proper deployment of the audit staff and assist with the career development of team members
- Effectively lead and manage resources to ensure performance measures and metrics are established and met throughout the execution of the planned audit work
- Identifies internal opportunities and recommends methods to improve service, work processes and financial performance, e.g. expense management
- Manage, develop, train and mentor audit staff on assigned projects, and assess their performance for audit engagement review and year-end performance reviews
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
The University of Texas at Austin
Bachelor’s Degree in Accounting
Skills
Skills
- Strong customer service attitude; team player; strong desire for knowledge; adaptability
- Solid interpersonal skills, including the ability to develop good working relationships and present findings / recommendations to management; and
- Professionalism, dependability, integrity and trustworthiness combined with a cooperative attitude. Able to thrive in a dynamic team environment
- Excellent project management, interpersonal, oral and written communication skills; strong attention to detail and accuracy
- Hold entire team accountable for meeting deliverables, adhering to Quality Assurance criteria and utilizing consistent methodology
- Oversee or lead audit engagements from planning through reporting and produce quality deliverables to both department and professional standards
- Able to be responsible for engagement profitability including billings and collections
- Highly motivated, results driven and proactive professional with solid organisational and time management skills
- Knowledge of statistics, risk management, and Six Sigma (or other Quality programs) desirable
- Good ability of conflict-solving; and ability to collaboratively work with model owner/sponsor counterparts
15 Audit Manager resume templates
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1
Audit Manager Resume Examples & Samples
- Represents functional area to identify synergies with similar functional areas, shape future processes and tools, participate in testing of engineered solutions, provided feedback, and champion implementation
- Solicit feedback from associates and provide, when appropriate, to formed working groups
- Review of functional area budget reports
- Responsible for adherance of functional area expenses with established budgetary norms
- Performs supervisory activities, including identifying performance problems and seeking guidance for remedial action; reviewing performance; and participating in interviewing and selecting staff
- Plans, assigns, monitors, reviews, evaluates and leads the work of others, including other supervisors
- Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs
- Ensures completion of internal assessments of policies and procedures are completed on an annual schedule
- Responsible for creation and maintenance of branch audit schedule and the conducting of audits within firm and/or regulatory requirements
- Assigns, prioritizes and reviews the work of other supervisors and/or associates
- Provides technical training and professional development to supervisors and/or associates
- Assists with the prioritization of technology needs for branch audit functions
- May assist in preparing and presenting operational budgets for assigned functional area
- Interprets and applies organizational policies and procedures
- Participates in establishing objectives and developing processes and procedures to ensure adherence to all regulatory requirements
- Performs periodic reporting on compliance and operational issues as required
- Ensures effective coordination occurs within assigned work group and with other work groups
- Identifies, recommends and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems
- Concepts, practices and procedures of securities industry and/or banking compliance
- Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies
- Principles of banking and finance and securities industry operations
- Planning and scheduling work to meet regulatory organizational and regulatory requirements
- Identifying and applying appropriate compliance monitoring procedures and tests
- Preparing oral and/or written reports
- Investigating compliances issues and irregularities
- Making rule-based and analytical decisions
- Supervise, coach and mentor others
- Partner with other functional areas to accomplish objectives
- Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
- Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels
- Work independently as well as collaboratively within a team environment
- Establish and maintain effective working relationships at all levels of the organization
- Maintain confidentiality
- Maintain currency in laws, rules and regulations related to compliance in assigned functional area
2
Audit Manager Resume Examples & Samples
- Understand the audit client's industry and recognize key performance drivers, business trends, and emerging technical and industry developments
- Develop people by encouraging individuals to think for themselves and take responsibility for their contributions to the assurance team
- Delegate work to assurance team members successfully
- Maintain an educational program to continually develop skills
- Monitor the assurance team's progress against the plan and alter it when needed
- Generate new audit business opportunities
- A bachelor's degree an approximately 5 years of related work experience; or a graduate degree and approximately 4 years of related work experience
- A degree in Accounting, Finance, or related field
- Integrity within a processional environment
3
Audit Manager Resume Examples & Samples
- Contribute to planning and development of the annual CIB, Corporate Treasury and Market Risk audit plan
- Utilize relationship management skills to build business relationships with audit clients
- Develop project plans that effectively incorporate appropriate risks, scope, staffing requirements, deliverables, timelines, budgets and client availability
- Provide audit process and business knowledge leadership to entry and intermediate level auditors and interns
4
Audit Manager Resume Examples & Samples
- Develop and present processes, risks, controls and audit approaches to teams
- Setting clear quality expectations based on SAS standards and delivers and explains reasons for review notes
- Oversee activities, providing guidance and building staff and senior audit competencies
- Prepare meaningful, relevant, and well-supported audit reports
- Demonstrate strong listening skills and debating issues in an open, honest and forthright manner
- Create an open, flexible atmosphere among multiple project teams managed to allow for rigorous interaction and confirmation of audit issues with clients
- Support internal audit change initiatives and contributes by participating in a lead role
- Ability to work independently in areas of difficult or complex nature
- Contribute to planning, development, and execution of the audit plan
- Bachelor's degree with 9 years industry experience (with at least 7 years in audit, internal control/risk management or regulatory compliance environment)
- Solid knowledge of audit principles, practices and methodologies
- Strong knowledge of banking regulations
- Exemplify a positive attitude, strong work ethic, team work and professionalism
- Specifically seeking experience in operational and/orcompliance related functions within Consumer Banking, Wealth & Investment Management, Capital Markets, Market Risk, Commercial or Commercial Real Estate,
- CIA, CRCM, or other relevant certifications
- Knowledge of Securities regulations is a plus
- Ability to travel 20%
5
Audit Manager Resume Examples & Samples
- Participate in audit projects from planning to reporting with limited supervision and deliver a quality product in line with department standards and expectations
- Evaluate, test and report on the adequacy and effectiveness of management controls
- Finalize audit findings and employing excellent judgment to provide an overall opinion on the control environment
- Effectively coach and mentor audit team mates, providing honest and constructive feedback
- Effectively supervise, coach and mentor audit team mates, providing honest and constructive feedback
- 6 years of business experience
- Three years of experience in “Big 4” public accounting
- Three years of relevant financial services industry experience, preferably within Audit or risk and control
- Experience in Operational and Financial Statement auditing
- Ability to manage multiple tasks concurrently in an efficient and effective manner and with limited supervision
- Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present sensitive issues to management and influence change
- Advanced degree, CPA or similar certification preferred
- Experience in “Big 4” public accounting in the financial services practice
- Previous experience in one or more of the following areas preferred: Investment Banking, trading, market risk, credit risk, regulatory compliance, finance and accounting
- Versed in US GAAP and Financial Control risks
- Six years of business experience
- Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present complex and sensitive issues to management and influence change
6
Audit Manager Resume Examples & Samples
- Facilitate team and client satisfaction surveys; analyze and report results
- Facilitate maintenance of department policies and procedures
- Facilitate team workshops and roundtable sessions
- Assist with other Professional Practices activities as needed, including workpaper reviews
7
Audit Manager Resume Examples & Samples
- Coordinate the planning, execution and delivery of audits
- At least seven years of experience in a financial services firm or in public accounting, with an appropriate level of exposure to and involvement with the products related to these businesses. Internal audit experience preferred
- Experience and an expert proficiency in risk analysis and audit report preparation required
- Strong communication and interpersonal skills, enthusiastic, self-motivated, effective under pressure and willing to take personal risk
8
Audit Manager Resume Examples & Samples
- Bachelor’s degree required; professional certification (CRCM) preferred
- Minimum 10 years of audit, and/or compliance experience
- Comprehensive understanding of key fair lending regulations and key compliance priorities relevant to consumer finance businesses
- Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically
- Enthusiastic, effective under pressure and willing to take personal risk and accountability
- Proven ability to interact with senior executives of the firm and represent the Audit Department on Committee’s and Governance forums
9
Audit Manager Resume Examples & Samples
- At least7 -10 years of Asset Management/Investment Managementaudit or businessexperience
- Knowledge of applicable investment companies and investment advisors rules and regulations
- Bachelors degree in Accounting, Finance, Economics or related discipline
10
Audit Manager Resume Examples & Samples
- Establish strong relationships with management in Card & Commerce Solutions and related control groups such as Risk Management, Compliance, and Audit colleagues
- Manage and/or leadaudit engagements covering Card &Commerce Solutionsincluding risk assessments, audit planning, audit testing, directing audit staff, control evaluation, audit report drafting, and follow-up and verification of issue closure
- Stay up-to-date with evolving industry changes and market events impacting the Card &Commerce Solutionschannels and products
- Must have 7 years of relevant experience in internal/external auditing, or consulting
- Experienceproviding feedback and coaching team members
- JPMorgan Chase is an equal opportunity and affirmative action employer M/F/Disability/Veteran
11
Audit Manager Resume Examples & Samples
- Lead a team of professional auditors responsible for performing full scope audits that encompass strategic, operational, regulatory compliance and financial process environments, with efficiency and effectiveness, in accordance with professional audit standards
- Through in-depth understanding of the business, including changes to the regulatory and business environments, develops audit programs to ensure effective control solutions are implemented
- Direct, counsel, and instruct staff assigned to the engagement and review audit plan, findings, and reports for sufficient scope, accuracy, appropriateness of conclusions and compliance with requirements
- Provide support, as needed, to audits led by other audit managers and/or functional audit teams
- Assist with the development and ongoing execution of the Continuous Audit program
- Provide input and support for the strategic planning process and scheduling of audit resources
- Certified Internal Auditor (CIA) designation (or ability to obtain within 24 months of start date)
- 5 years of Internal and/or External Audit experience, preferably in the Banking/Financial Services industry
- Extensive regulatory compliance knowledge and experience within the Banking/Financial Services industry
- Ability to interact with all levels of an organization
12
Audit Manager Resume Examples & Samples
- Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer or Commercial Banking; technology management; project/program management; regulatory compliance or supplier management
- Maintains an updated understanding of the impact of local and global regulations related to Consumer and Commercial Banking Technology and its risks
- Interacts with local and global regulators to understand specific requirements related to Consumer and Commercial Banking Technology; reviewing, improving and approving the reports or sections related to technology risk that will be included in formal communications between Citi and the different regulatory instances
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Retail, Credit Cards, Loans, Mortgage products, especially those associated with the Consumer business
- Working proficiency in Spanish language, in order to review documents and communications issued by local regulators, as well as to interact with local Citi IA, O&T, CCC and Business teams and regulators in the different LATAM countries where IT Audit work will be performed; working proficiency in Portuguese is a plus
13
Audit Manager Resume Examples & Samples
- Responsibility for executing Finance audits across the EMEA region, validating the resolution of outstanding Issues, and monitoring Financial Control activities in the company,
- Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate) branch examinations, as well as business monitoring and governance committee reporting,
- Applies recognized expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams,
- Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking,
- Willingness to business trips (50%),
- Senior level experience in a related role with experience in business, functional with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables,
- BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus,
- Demonstrates experience managing integrated internal audit and assurance delivery within a matrix reporting environment,
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of financial services products, especially those associated with the Capital Markets and Banking business,
- Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views,
14
Audit Manager Resume Examples & Samples
- PHD, MBA, or equivalent. Related certifications (CQF, CFA, CRM) are a plus
- Experience in developing and maintaining technical documentation for methodologies and applications; including project plans, model descriptions, mathematical derivations, data analysis, process and quality controls
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Model Risk Management concepts, such as model governance, inventory, documentation, validation and use, especially those associated with the use of models for valuation, risk management, decision support and other purposes across all businesses. [
- Experience in the preparation and delivering of training materials, presentations and reports on credit risk analytics for technical and non-technical audiences
15
Audit Manager Resume Examples & Samples
- Develops and executes a robust Audit Plan, by reviewable entity, for assigned Mortgage Servicing businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
- Manages audit activities for a component of the Mortgage Servicing product lines, functions, or legal entity at the regional or country level including a portion of the audit annual plan
- Completes assigned audits within budgeted timeframes and budgeted costs. Manages small to medium sized audit teams of Internal Audit professionals. Leads the professional development of Internal Audit staff
- 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, technology management; project/program management; regulatory compliance or supplier management
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Consumer Banking Global Mortgage products, especially those associated with the Mortgage Servicing business
16
Audit Manager Resume Examples & Samples
- Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations, and Citigroup and Citibank policies
- Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally often at a higher levels on matters which will have a major impact on the area managed
- Business travels will be required
17
Audit Manager Resume Examples & Samples
- Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: KAMLS for Consumer or Investment Banking businesses, technology management; project/program management; regulatory compliance or supplier management
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Financial Services Industry, especially those associated with the KYC, AML , Transaction Monitoring and Sanctions
- Minimum 8 years of experience in areas related to banking regulations, AML programs, local standards, and internal policies
18
Audit Manager Resume Examples & Samples
- Analyzing and assessing technology risks assumed by the Wealth Management, IB and Global Asset Management business
- University degree (Bachelor or Master Level), preferably with a technical background
- Strong experience (4-7 years) in audit, compliance or internal control areas within the financial industry
- Good understanding of technology, the financial market, operational aspects, as well as process flows within and between banks / counterparts, and a thorough knowledge of local regulatory requirements
- Flexible and committed team player willing to travel to other UBS locations in APAC for audit assignments
- Good communication skills and are able to interact with all levels of management
- Fluent in both verbal and written English
- Ability to speak Mandarin is highly preferred
- Ideally CISA qualified
19
Audit Manager Resume Examples & Samples
- Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer Banking Businesses, technology management; project/program management; regulatory compliance or supplier management
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Financial Service Industry, especially those associated with regulatory compliance
- Minimum 8 years of experience in areas related to banking regulations, local standards, and internal policies
20
Audit Manager Resume Examples & Samples
- Develop a work plan or approach for assigned components of audit
- Adherance to/ implementation of Corporate Audit methodology throughout the execution of an audit engagement
- Maintain effective relationships with clients during audit engagements
- Provide feedback and advice to clients on risks and controls, as appropriate, recommending process improvements that reflect best practices
- Keep current with applicable laws and regulations, corporate policies, industry best practices and developments (e.g. new financial products or technology)
- CSC, CFA and/or FRM enrollment or completion an asset
- Able to tolerate an accelerated rate of change in business and regulatory environment
- Ability to identify and examine emerging risks, in addition to the capability of assessing compliance
21
Audit Manager Resume Examples & Samples
- A minimum of 6-7+ years direct work experience in Audit within financial services
- Corporate Finance experience in/auditing a large financial services/banking institution
- Knowledge of technical accounting, accounting operations, SEC/regulatory reporting, Sarbanes-Oxley, corporate finance, risk management techniques and compliance requirements specific to financial services industry
- Ability to lead a team and to converse with senior audit and finance management on regarding accounting, internal control, infrastructure, risk management and process issues
- Posting Date: 09/23/2014
22
Audit Manager Resume Examples & Samples
- Specialized skills required include capital management experience (e.g. capital governance, market risk capital calculations, Basel capital calculations, economic capital calculations, or capital adequacy)
- A minimum of bachelors degree and more than two years direct work experience in Audit, Finance, Compliance, Bank consulting, Corporate Treasury, Corporate Investments, Credit Risk, Operational Risk, Market Risk, Global Investment Banking, or Global Markets
- Basic understanding of financial modeling from a business process perspective
- An understanding of change management and risk management
23
Audit Manager Resume Examples & Samples
- At least 10-15 years of auditing experience with an internal audit function or public accounting firm, preferably within the Banking or Financial Services industry
- Strong knowledge of Global Markets/Banking lines of business; Operations and Middle Office functions; and operational controls
- In-depth understanding of key Global Markets Operations processes (focusing on back office operatons)
- Strong understanding of the trading function; product control; middle office and operations
- Familiarity with relevant regulatory rules, pending regulatory reforms, and industry initiatives
- Ability to effectively build and manage relationships with stakeholders throughout the organization
- Must have bachelors degree
- Masters degree and CPA/CIA
24
Audit Manager Resume Examples & Samples
- MUST HAVE Ten to Fifteen years of relevant work experience: Preference of Internal Audit Managemernt experiences
- Have priorlarge, financial services experience
- Leadership ability to present and syndicate audit review results and control issues with senior executives and the regulators
- Strong analytical skills. Ability to analyze large amounts of data and turn it into usable information
- Strong risk controls assessment of processes
- Bachelor’s required (Master’s degree a plus)
- Knowledge of Compliance organizations at large, complex financial institutions
- Advanced degree a plus
- Six Sigma Green Belt, Black Belt, Master Black Belt, Lean or DFSS a plus
25
Audit Manager Resume Examples & Samples
- Maintaining subject matter expertise in market risk management, including: best practices, regulatory requirements and key control processes
- Review and assess market risk regulatory compliance across the various jurisdictions and associated regulatory regimes in which the Bank operates, including but not limited to CRD IV requirements in Europe (ensuring all relevant Basel requirements are met) and SEC Alternative Net Capital rules for the US
- Perform periodic audits of specific focus areas relating to market risk, e.g. assessment of scenarios and stress testing practices and procedures and alignment to regulatory requirements in this area (such as CCAR for US entities)
- Participate in the delivery of the audit plan relating to market risk measurement and management processes to ensure the use of sound risk management controls and regulatory compliance
- Execution of a program of continuous risk and performance monitoring (e.g. business developments, emerging risks and control issues)
- A good understanding of market risk measurement requirements under Basel regulatory capital calculation approaches
- A degree-level education (or equivalent) in a numerate discipline – post graduate/ professional qualifications within a relevant field (e.g. ACA, CFA, FRM and/ or PRMIA)
- Good product knowledge (specifically derivatives and other traded products)
- Strong communication skills and experience of liaising across control areas
- Experience of working cross-regionally as part of a global team
26
Audit Manager Resume Examples & Samples
- Leading a workforce that is knowledgeable about our business and AML/ATF and economic and trade-based sanctions regulations and regulatory expectations, understanding the external market, thinking about the efficiency and effectiveness of management and control processes, being seen as highly credible and using their ingenuity to add value
- Develop audit discussion points that are insightful and provide a fair and balanced assessment based upon critical assessment of management and control processes Such points will be clear, concise, objective and timely in their delivery
- Develop and maintain good working relations with key clients and executives at senior management levels
- Maintain regular communication with SAM/Director on Division issues concerning the audit engagement
- Provide proactive leadership and direction to Audit Analysts and Associates as may be required, supporting performance assessments by the Senior Audit Manager or Director. Continue to advance the capabilities of individual teams by participating in internal / external training opportunities
- Be and be seen as a knowledgeable person in business, client and audit technical matters keeping current on new thinking/practices
- Undergraduate degree or equivalent with 5-7 years of direct relevant experience in an audit, consulting or AML/ATF compliance function
- Graduate degree is desirable. Professional or business designation (CIA, CFE, CAMS, CAMS-Audit) is desirable
- Working level planning and organizing skills with the ability to manage multiple priorities
27
Audit Manager Resume Examples & Samples
- Supervise a portfolio of audits, demonstrating an ability to effectively prioritise completing commitments in order to ensure efficient delivery against agreed timeframes
- Demonstrate effective risk awareness in order to ensure an appropriately targeted audit approach and emphasis of work performed
- Identify key issues impacting businesses under review, presenting and agreeing with management practical recommendations and responses for the mitigation of associated risks. Identify potential solutions by exploring and analysing diverse alternatives
- Maintain extensive subject matter expertise in credit risk management (AIRB approach) and measurement (Internal Model Methodology), including: best practices, regulatory requirements and key control processes
- Review and assess Basel regulatory compliance across Credit risk Management to ensure all relevant Basel requirements are met
- Participate in QA of self assessments covering policies and procedures framework for credit risk against regulatory provisions for: CRD IV , Basel III, CCAR and ANC relating to counterparty credit risk
- Maintaining a good understanding of subject matter relating to market risk measurement and management, including review and assessment of market risk regulatory compliance across the various jurisdictions and associated regulatory regimes in which the Bank operates
- Execution of a program of continuous risk and performance monitoring (e.g. business developments, emerging risks and control issues
28
Audit Manager Resume Examples & Samples
- Drive all aspects of audit activities including risk assessments, audit planning, audit testing, control evaluation, audit report drafting, work paper documentation and follow up and verification of issue closure
- Perform monitoring of operational and financial related data to recognize patterns and trends with risk and control implications
- Stay up to date with evolving regulatory and market events impacting the firm's Corporate Treasury unit
- Minimum of a Bachelor's degree in Accounting, Finance, or a related discipline
- Minimum of 5 years audit or relevant business line/risk management experience
- MBA, CPA, CIA, CFA, or CFE designation preferred
29
Audit Manager Resume Examples & Samples
- Master Degree in finance or relevant area,
- Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are an advantage,
- Senior level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables,
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of banking products,
- Demonstrates experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment,
- 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, charismatic and approachable style,
30
Audit Manager Resume Examples & Samples
- Develops and executes a robust Branch Exam Plan, by reviewable entity, for assigned branches in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
- Delivers on time high quality branch exam reports, Internal Audit and Regulatory issue validation
- Directs complex branch exam 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
- Proactively advances integrated auditing concepts and use of technology. Closely follows latest trends in own field and adapts them for application within own job and the business
- Participates in major business initiatives and pro-actively advises the business on change initiatives
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Retail products and services, especially those associated with branches
- English and Spanish skills. Portuguese will be a plus
31
Audit Manager Resume Examples & Samples
- At least 7+ years of audit and/or wealth management experience. Fiduciary and broker-dealer audit experience is a plus
- Excellent verbal and written communication skills to present complex and sensitive issues to senior management in a persuasive manner
- Proven ability to be able to multi task and adapt to changing priorities
32
Audit Manager Resume Examples & Samples
- College degree with a minimum of 4 years of IT audit experience
- Knowledge of US Regulations such as the FFIEC Handbook or NIST
- CIA, CPA, CISA or CISM, designations are desirable
- In-depth interpersonal, relationship management and communication skills
- In-depth planning and organizing skills with the ability to manage multiple priorities
33
Audit Manager Resume Examples & Samples
- Lead audit projects from planning to reporting with limited supervision and deliver a quality product in line with department standards and expectations
- Effectively manage teams audit engagement teams, performing timely review and providing honest and constructive feedback
- CPA certification required
- Minimum 7 years of experience in banking in public accounting or in internal audit
- Relevant financial services industry experience, preferably within Audit or risk and control functions
- Well versed in GAAP including recent accounting pronouncements. Working understanding of SEC and Regulatory Reporting
- Previous experience in one or more of the following areas preferred: Regulatory compliance, finance and accounting, investment banking
34
Audit Manager Resume Examples & Samples
- Provide the Director/SAM with meaningful insights on efficiency opportunities observed within client functions
- Provide timely and insightful support to Director and/or SAM
- Ensure that all audit procedures executed are conducted to the high standards set out by the Division, adherence to which is confirmed through the Division’s Quality Assurance program and/or regulatory examination results
- Effectively execute sections of the audit as assigned by the Director and/or SAM
- Conduct such projects as may be assigned by Director and/or Senior Audit Manager
- Demonstrate high quality work consistent with a “strong” audit function,
- Provide proactive leadership and direction to Audit Analysts and Associates as may be required, supporting performance assessments by the Director or Senior Audit Manager
- Undergraduate degree or equivalent with a minimum of 5 years of direct relevant experience in an audit function or business / corporate function
- Graduate degree would be desirable
- Professional or business designation like CA, CMA, CPA with audit experience is required
- Knowledge of trends and best practices in Internal Control and the assigned LOB
35
Audit Manager Resume Examples & Samples
- Plan, manage, oversee and conduct audit work based on established audit plans in accordance with established standards ensuring completion within prescribed budget, time and scope parameters
- Demonstrate a strong understanding of current business activities and related risks, and contribute to the audit risk assessment & evaluation of design and operational effectiveness of practices
- Protect the interests of TDBG by maintaining awareness of emerging issues, regulatory requirements and assess potential impacts to the enterprise
- Prepare and present audit results and reports to audit management and client management as appropriate
- Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings and knowledge with the team and Audit Division
- Provide coaching and on-going, constructive performance feedback to team members
36
Audit Manager Resume Examples & Samples
- Lead the risk assessment process and provide expertise on regulatory issues to identify key risks, oversee the completion of the overall audit process, including development and application of appropriate audit programs, on-going client communications, reporting and post-audit procedures
- Oversee audit work based on established audit plans and manage the audit in accordance with established standards ensuring completion within prescribed budget, time and scope parameters
- Execute audits of complex projects being undertaken by the business
- Oversee and execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with established standards
- Represent Audit on internal/external committees and provide subject matter expertise to internal clients and Audit Division relating to policies, procedures and processes
- Contribute to the strategic direction of the Corporate Audit group by participating in the development of the annual audit plan and identifying emerging trends, issues and/or developments in the external environment and the departments that we audit
- Demonstrate strong understanding of auditees’ business activities and related risks as well as emerging risks to adequately assess business and audit related impacts and provide recommendations for developing new audit approaches and/or appropriate controls to mitigate these risks
- Indirectly manage a team of professional resources, actively develop, train, coach and provide feedback for performance assessments for team members
- Contribute to, and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings and knowledge with the team, internal and external business partners; and
- Support Corporate Audit Group management and other team members in the achievement of individual, divisional and team goals
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Audit Manager Resume Examples & Samples
- Proactively identify changing strategies, tactics, risks and initiatives continuously following the appropriate audit and investigative services with the appropriate focus. Meet with key client management periodically to ensure an understanding of strategies, tactics, objectives and initiatives
- Providing fair and balanced insights into current, emerging and potential issues, trends and opportunities that will enhance efficiency and effectiveness of management and the enabling control processes. Develop audit discussion points that are insightful and provide a fair and balanced assessment based upon critical assessment of management and control processes such points will be clear, concise, objective and timely in their delivery
- Provide timely and insightful support to Director and SAM
- Demonstrate high quality work consistent with a “strong” audit functionProvide proactive leadership and direction to Audit Analysts and Associates as may be required, supporting performance assessments by the Director/Senior Audit Manager
- Graduate degree desired
- Professional or business designation is required, i.e., CIA, CPA
38
Audit Manager Resume Examples & Samples
- Planning and delegation for Audit team
- Preparation and presentation of new client proposals
- Advising clients on sale of business
- Design and implementation of audit plans
- Audit of companies across a variety of business sectors
- Lead role in advisory and business planning arrangements
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Audit Manager Resume Examples & Samples
- Minimum of 1 years experience at Audit manager level
- Previous experience as an Audit Manager is highly desirable
- Client focused with strong commercial expertise
- Experience of managing client relationships
- Demonstrate excellent interpersonal and communication skills
- Excellent business development and cross-selling skills
- Ability of working to deadlines and within budgets on each assignment
- Self-motivation with the necessary ability to manage, develop and mentor staff
- Involvement in training of Audit trainees
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Audit Manager Resume Examples & Samples
- Management of a number of key client relationships and audit of companies across a variety of business sectors
- Ensuring completion of audit assignments within appropriate budget and time-frame
- Presentation of new client proposals
- Support role in advisory and business planning arrangements
41
Audit Manager Resume Examples & Samples
- Current or recent CPA firm audit experience
- Proficient with Excel and other Microsoft Office tools
- Exposure to royalties and royalty audit
- Business management experience
42
Audit Manager Resume Examples & Samples
- CFA / CPA
- 3+ years of experience with Internal or External Audit or relevant specialty area
- Experience in managing audits of Enterprise Risk Management, Capital Planning or Basel Advanced Systems (i.e. Credit IRB, Market, or Ops Risk - AMA)
43
Audit Manager Resume Examples & Samples
- CPA firm audit experience working with real estate clients
- Knowledgeable in tax
- Strong GAAP
- Commercial, Residential and Retail experience
- Audits and tax basis compilations experience
44
Audit Manager Resume Examples & Samples
- 5+ years of recent or current experience with a CPA firm
- Experience with Audit (Financial) GAAP, and GAAS
- Ability to manage to budget
45
Audit Manager Resume Examples & Samples
- Oversee the efforts of multiple client engagements in the Healthcare industry
- Maintain active communication with clients to manage expectations, ensure satisfaction, and lead change efforts
- Consult, work with, and service client base to make recommendations on business and process improvement
- Understand and manage Firm risk on audits and proposals
- Identify and communicate to management suggestions to improve client internal controls and accounting procedures
- Manage, develop, train and mentor staff on projects and assess performance for engagement and year-end reviews
- Actively participate in recruiting talent for the Firm
- Thorough knowledge of GAAP and GAAS
- 5+ years of CPA firm experience or relevant internal audit or private accounting experience
- Significant experience in the Healthcare industry or technical expertise in financial reporting
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Audit Manager Resume Examples & Samples
- 5+ years of experience providing attest services with a Professional Services firm; 2+ years of Supervisory experience
- Experience with Audit (Financial), Financial Statement Preparation, and Internal Controls
- Demonstrated experience performing GAAP/GAAS audits of not-for profit entities, OMB Circular A133, and/or audits of higher-education institutions
47
Audit Manager Resume Examples & Samples
- 5+ years of recent work experience within a CPA firm or other industries such as middle-market or asset management (including hedge and private equity funds), real state, employee benefits, government or not-for-profit organizations
- B.S. Accounting / CPA
- Solid organizational skills with demonstrated ability to multi-task
- Strong dedication to teamwork
- Proficient with MS Office and Lotus Notes
48
Audit Manager Resume Examples & Samples
- 7+ years of audit experience with a mid-sized CPA firm and has worked on Restaurant clients
- Tax-Compliance
- Supervise Others
- Client Service
- Audit-Operational, Audit-Financial
49
Audit Manager Resume Examples & Samples
- 7+ years of experience with a public firm with diverse industry exposure
- Degree in Accounting
- Experience with Audit - Financial & Operational
50
Audit Manager Resume Examples & Samples
- Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards , relevant government statutes and regulations, and Citigroup and Citibank policies
- Reviews and approves business Monitoring Quarterly Summaries
- Senior level bank or audit experience in Retail business or a related control function 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
- Have excellent knowledge of product management/operations/compliance in corporate and/or retail banking. In-depth understanding of the relationship between branch operation and support units within a financial institution, impact on the overall control environment and audit approach
51
Audit Manager Resume Examples & Samples
- Undergraduate degree required
- 5–7 years of experience in the financial industry
- Prior audit experience desired but not required
52
Audit Manager Resume Examples & Samples
- 4 to 8 years of experience
- Financial services skills
- Strong applications experience
- Background out of a big 4 advisory or competitor firm
53
Audit Manager Resume Examples & Samples
- Education in finance or accounting
- 8+ years of banking or auditing experience
- In-depth knowledge of business and key finance functions of sales and trading and corporate and investment banking businesses, capital markets businesses and functions, auditing principles and techniques, U.S. GAAP and international accounting standards, complex accounting, auditing standards, business processes, and technology
- Credit, market, and model risk management experience a plus
- Understanding of the global regulatory environment and key compliance issues impacting banking institutions a plus
- An understanding of management principles that enable recognition and evaluation of materiality and significant deviations from good management practices
54
Audit Manager Resume Examples & Samples
- To manage a portfolio of clients (worth circa £0.6m to £0.8m fee income) and to carry out work to a high technical standard in a commercially beneficial manner
- To effectively recruit, promote and develop talent within the team
- To be part of the management team and develop the client portfolio
55
Audit Manager Resume Examples & Samples
- 7+ years of experience in internal audit required in Corporate Banking, Capital Markets and the Broker Dealer Industry
- Advanced knowledge of the US banking and broker/dealer regulatory requirements
- Ability to develop risk based audit procedures for BSA/AML and other regulatory requirements
- Microsoft Excel proficient (Pivot Tables, V-Look Ups, Macros)
- Professional certification (CPA, CRP, CIA, CFSA)
- Good understanding of the BSA/AML regulatory framework and AML specific qualifications ACAMS/AMLCA
- AML/Sanctions audit experience
56
Audit Manager Resume Examples & Samples
- Operate independently as a QA Partner across the ICG product lines in LATAM, forming partnerships with Audit Controllers and Audit Leads
- Liaise across the QA team to coordinate on QA global reviews and interactions during QA reviews
- Producing effective communication tools – briefing notes, newsletters, QA and Methodology updates
- Assist the QA Director in the review and improvement of global Internal Audit methodology and practices through
- Must have first-hand experience in one or more of the product areas supported (i.e., TTS/SSS/CBCMO/CPB, Markets etc.) in a top tier bank
- Candidates should have at least 5-7 years of diversified financial management experience, ideally including experience in audit or a related field
- H/She must be proficient in risk and control analysis and audit concepts for a full range of products and specialized areas and will be skilled at analysing root causes of problems and anticipating ‘horizon’ issues
- 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
- A proven track record in delivery is essential
- Spanish language skills required and Portuguese language skills advantageous
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Audit Manager Resume Examples & Samples
- Successfully planning, executing and completing audits according to a risk-based approach, recommending internal control improvements that may include operational enhancements or efficiencies, and preparing audit reports
- Demonstrate knowledge of financial and operational internal control methodologies and terminologies; process and control industry standards; risk management practices and techniques; and internal audit process, technology and tools for planning, design, performance, testing and reporting
- Manage complexity, multi-task and work independently in non-routine situations
58
Audit Manager Resume Examples & Samples
- Ability for travel to serve clients
- Minimum 5+ years of health care audit experience in public accounting
- Currently located or willing to relocate to Jackson, Mississippi
- Bachelor’s or master’s degree in accounting required
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Audit Manager Resume Examples & Samples
- Provide audit and business advice to a variety of clients from small, fast growing clients to large corporate entities
- Provide on site co-ordination role for audit clients including planning, day to day control, liaising with clients and completing audit assignments
- Identify, anticipate and resolve technical issues within the context of the client’s business
- Contribute to engagement/project management to meet engagement project objectives and budget
- Takes day to day responsibility for the outputs and activities of your team
- Explain to staff members how their assignments contribute to meeting the objectives of the engagement/project as well as their career development. Uses delegation and assumes the role of a mentor where appropriate
- Take appropriate responsibility for the quality of your team’s work meeting compliance and risk
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Audit Manager Resume Examples & Samples
- Knowledge of regulations impacting the banking industry related to OCC, FRB, CFPB, etc
- Ability to understand and apply concepts in enterprise and/or operational risk management
- Possess critical thinking and analytical skills
- Ability to conduct and support audits of a complex nature
- Ability to manage multiple assignments to established deadlines
- 5 - 7 years related audit, finance, accounting, compliance or operational risk management experience at a major banking organization or other financial institution
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Audit Manager Resume Examples & Samples
- Oversee and assist with division and Enterprise Risk Management audits
- Review of key business processes and systems
- Assist with timely completion of department initiatives
- Strengthen internal controls
- Enhance cash flows
- Lead the audit planning processes
- Identify key risk areas
- Coach and develop staff for their next career opportunity
- Bachelor’s in accounting/finance required
- Master’s preferred
- CPA/CIA/CFA/FMLI preferred
- Supervisory experience a must
- 5+ years experience in audit required
- Public/Big 4 preferred
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Audit Manager Resume Examples & Samples
- Plans, leads and ensures execution of the audits of various company business functions
- Leads Sarbanes-Oxley compliance reviews
- Perform business monitoring per the audit cycle demands
- Assess the effectiveness of controls, determines the potential impact of any control failure and recommends corrective actions to the business
- Produce Audit reports
- Monitors the status of existing corrective actions and schedules validation of completed corrective actions
- Ensures that all parts of each audit are completed and monitors and reports on time incurred versus time budgeted
- Prepares periodic monitoring reports
- Train and develop staff
- Reviews workpapers to determine completion and adherence to standards
- 5-8 years of work experience in audit and public accounting
- Property casualty business experience required
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Audit Manager Resume Examples & Samples
- Identify risks and manage
- Produce reports highlighting issues and providing potential solutions
- Active engagement with senior staff to gain a good understanding of the business
- Supervise, coach and develop junior members of staff within teams
- Ensure compliance with internal (audit methodology and risk management) and external (regulatory) requirements
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Audit Manager Resume Examples & Samples
- Engagement planning: plan all aspects of assigned audits/areas including the development of a thorough understanding of the business, risks and processes, emerging issues and develop a detailed audit plan as required
- Audit execution: execute assigned audit activities independently and evaluate the adequacy of system design and the internal control framework
- Problem identification: identify and assess the materiality of control weaknesses, including the identification of underlying causes and the provision of practical recommendations for resolution
- Reporting: Clear reporting of audit findings and the summation of findings in a draft audit report
- Proven ability to coach and provide effective feedback to others
- A high degree of flexibility to adapt to a variety of tasks as well as deadline and scheduling changes
- Strong interpersonal, communications (written and oral) and relationship management skills to effectively manage the work of others as well as sensitive and confidential information
- The ability to liaise comfortably with internal contacts, including senior management
- Attention to accuracy and detail is a must
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Audit Manager Resume Examples & Samples
- Ideally 5 years + accounting experience in a large accountancy firm
- Qualified Chartered Accountant (ACA or equivalent)
- Significant experience in, and proven ability to offer our clients your expertise in a range of Audit services
- Business acumen and insight to be an effective business advisor to clients
- Outstanding communication - both spoken, written and people skills
- Be a motivated self-starter, with ambition to continue successfully progressing your career
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Audit Manager Resume Examples & Samples
- Developing and executing a robust Audit Plan for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
- Delivering on time high quality audit reports, Internal Audit and Regulatory issue validation and branch examinations, as well as business monitoring and governance committee reporting
- Managing 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
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Audit Manager Resume Examples & Samples
- Professional Designation - CA, MBA, MMF or similar and/or equivalent undergraduate degree with financial services background
- Risk Management or Financial Analysis designation such as CFA, FRM, or CERA highly recommended
- Audit related designation such as CIA, CRMA or CFSA to be obtained within 24 months of joining IAS. Good understanding of capital markets and risk management is required while understanding of Basel regulations is also desired
- Within approved financial plan and as outlined in Delegation of Authorities
- Document findings and ability to assess general impact on potential consequences of recommendations
- Supports WM, Insurance, PBB, as well as IT Audit and Fin Audit on issues related to Capital Markets
- Execute annual audit plan for Capital Markets
- Supports other Internal Audit groups in execution of their audit plans where required
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Audit Manager Resume Examples & Samples
- Assist in the development and execution of a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
- 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 and Investment Banking, project/program management, regulatory compliance
- Develops effective mid-line management relationships and has a strong understanding of the businesses
- Partners with SVP and Directors to develop approaches for addressing broader corporate emerging issues
- Prepares, validates or re-validates Entity Risk Assessments
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Risk Management concepts, especially those associated with Integrated Risk Management framework
- Strong 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, charismatic and approachable style
- 8+ years of Internal Audit experience, preferably in Financial Services Industry
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Audit Manager Resume Examples & Samples
- Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer Banking, regulatory compliance, technology management, project/program management and supplier management
- Analyzes reporting findings; recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems
- Senior level (8+ 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 compliance control disciplines and a solid business understanding of Mortgage, Credit Cards, Retail and Unsecured Lending products and services businesses
- Demonstrates experience in managing teams and managing integrated Internal Audit and assurance delivery within a matrix reporting environment
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Audit Manager Resume Examples & Samples
- Responsible for managing multiple auditing and accounting projects and client engagements
- Responsible for planning and executing the full scope of audits for a variety of non-profit clients
- Prepare, review and analyze financial statements
- Train & develop staff
- Experience with Non-Profit and Benefit Plan assurance audit for a CPA firm
- Experience with A-133 compliance
- 5-9 years current CPA firm experience
- Audit Manager experience
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Audit Manager Resume Examples & Samples
- Responsible for planning, scoping and delivering medium size complexity audits identified in the audit plan in compliance with the Group Audit standards
- Ability to operate with minimum supervision on certain more complex assignments, subject to guidance as required
- Provision of controls, risk and governance counsel to the business as required within areas of knowledge
- Relevant professional qualification
- Previous experience of an Audit Manager role within financial services business or experience gained in public accounting firm
- Capable of developing and maintaining influential relationships with the business
- Use analytical and logical approach to identify priorities and challenge the business
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Audit Manager Resume Examples & Samples
- Oversees the effective and timely completion of assigned portions of the audit plan. Leads and coordinates the audit with business. Performs complex execution of the area of audit work performed. Supervises and leads assigned audits and presents results of audit to business leaders and reviews audit plan with the business
- Provides highly proficient knowledge and subject matter expertise in the risk rating for the annual audit planning process and definition of audit entities. Conducts an efficient and effective risk assessment with high complexity
- Responsible for formal audit planning. Performs ongoing review and adjustments of audit plan to ensure audit activities are focused on risk areas and provide value to customers. Provides input into the annual audit plan, including risk rating and audit entity definition
- Bachelors degree focused in Finance/Accounting or related field of study
- Exposure to the financial services industry
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Audit Manager Resume Examples & Samples
- Demonstrate an understanding of professional and industry standards and practices; keep abreast of latest developments and ensure professional development through ongoing education
- Serve as the client’s trusted advisor, identify client issues and conflicts and proactively communicate solution options to the client and team
- Exhibit excellent interpersonal, analytical, research and project management skills
- Think independently and problem solve in a results driven team oriented environment
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Audit Manager Resume Examples & Samples
- Serve as client’s trusted advisor and demonstrated knowledge of industry trends, identify client issues and conflicts; proactively communicate solution options to client and team
- Manage staff on engagement deliverables (such as financial statements, tax returns, work papers, etc.); complete technical and strategic reviews as a member of the final engagement review team to ensure quality control standards are met; ensure on time delivery and on budget
- Demonstrate proficient technical skills for handling all client responsibilities, including knowledge of trends, industries, alternatives, etc
- Understand the client’s organization, procedures and internal policies
- Responsible for new client development in partnership with upper management; participate in client meetings, presentations and proposal development and meet individual cross serve goals
- Manage and retain multiple client relationships, engagements and special projects
- Develop overall engagement budget
- Consistently meet charge hour goals
- Responsible for billing and realization on assigned clients; explain variances
- Foster a team environment; demonstrate support of management and decisions to build a positive culture
- Participate in practice development activities that lead to the generation of new business and the opportunities for cross-serves
- Bachelor’s degree in Accounting required; Master’s degree in related field preferred
- 6 years of experience in public accounting or related field
- 3 year supervisory experience
- Must have active CPA certification
- Ability to manage all aspects of client engagements
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Audit Manager Resume Examples & Samples
- Manage all phases of Audit Engagement including planning, staff supervision and ensuring timely delivery of audit services on budget
- Serve as client’s trusted advisor, demonstrate knowledge of industry trends, identify issues and conflicts
- Evaluate internal accounting controls, audit documents prepared by the staff
- Oversee the preparation of management letters and other reports
- Actively maintain regular contact and communication with assigned clients and supervisors
- Participate in the training, development and coaching of staff
- Actively work to retain and attract new clients
- Participate in client meetings, presentations and proposal development and business development activities
- Participate in recruiting activities and initiatives
- BA or BS in Accounting, Finance or Business or relevant field
- MSA or equivalent strongly preferred
- 6+ years in public accounting with a minimum of 5 years in Audit
- Staff supervisory and development experience required
- Demonstrated ability to coordinate efforts, prioritize and effectively manage staff and multiple engagements
- Ability to effectively present information, listen and respond to questions from clients and other staff members
- Ability to travel as required by business
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Audit Manager Resume Examples & Samples
- Manage all phases of audit engagements including planning, staff supervision and ensuring timely delivery and quality outcomes for our clients
- Serve as client’s trusted advisor, demonstrate knowledge of industry trends, accounting and business developments impacting each organization
- Evaluate client systems, practices, and internal controls as well as audit evidence assembled by the staff
- Oversee the preparation, quality and value added focus of management letters and other reports
- Actively maintain regular contact and communication with assigned clients and staff
- Participate in supporting practice infrastructure related to the not-for-profit and education practice including training, development and coaching of staff
- Participate in client meetings, presentations and developing of proposals for prospects
- Previous attainment or expected near term attainment of audit manager status at another accounting firm or 6 years of experience
- Extensive experience with Not-For-Profits and/or education audits or responsible financial leadership within such an organization
- Excellent analytical, research, interpersonal, written and oral communications skills
- Ability to coordinate efforts, prioritize, effectively manage staff and multiple engagements simultaneously
- CBIZ Tofias is a leading provider of tax and consulting services. Mayer Hoffman McCann P.C is an independent CPA firm that provides audit and other attest services. Like other national firms, our tax/consulting and audit practices are organized as separate and independent legal entities that work seamlessly together to serve our clients
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Audit Manager Resume Examples & Samples
- Responsible for leading multiple audit engagement teams and co-ordinating with teams and clients
- Develop and maintain strong working relationships with client personnel, particularly executives, throughout the year and continuously improve 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
- Business development and management of tendering process for new business
- Serves as a trusted business advisor by providing client management value-added advice related to the client's needs
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Audit Manager Resume Examples & Samples
- Responsible for planning and executing basic to complex portions of the Risk & Control Services plan including audit activities and SOX/MAR compliance activities. Completes risk assessments in conformance with department standards, generally in moderately complex areas. Presents work objectives and results focusing on impact of control deficiencies
- Supervises and leads assigned projects. Provides indirect leadership to peers and others as needed in the work assigned. Manages the scope, schedule and deliverables of assigned work
- Experience in financial services industry. Specifically Insurance and Annuities
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Audit Manager Resume Examples & Samples
- Adhere to the highest degree of professional standards and customer confidentiality
- Prepare the annual budget and audit plan
- Review quarterly risk assessment results and develop an audit schedule, ensuring all significant areas of risk are identified and assessed
- Monitor changing circumstances within external, third parties and TAN-Career Agency field operations and producer agents, making appropriate adjustments to the audit plan and departmental resource allocations to meet business needs
- Provide senior and field leadership/management with insightful, accurate information regarding the condition of controls and improvement opportunities; and, provide internal controls consultation by participating on corporate or divisional projects, facilitating training, participating in regional or field office meetings, etc
- Ensure timely planning, including development of risk assessment and audit program
- Ensure all audit program steps are adequately addressed; and audit testing is documented clearly and concisely
- Ensure well-written audit reports are issued timely
- Ensure projects are completed within negotiated budgets and due dates; and provides timely status updates to the Director of Audit and other appropriate personnel
- Assist staff members in defining performance objectives and standards that are acceptable and support the goals and strategies of the department, and the staff member’s long-term growth. Provide continuous coaching and feedback to staff members which include but are not limited to, formal written project evaluations after each project; and, annual performance evaluations that clearly communicate the relationship between performance and compensation
- Bachelors degree in accounting, finance, business administration or related area required
- Graduate degree or Certified Internal Auditor (CIA), Certified Fraud Examiner (CFE), Certified Public Accountant (CPA) or related certification(s) required
- Ten or more years of audit or related business experience required
- Technical auditing and/or accounting skills required with experience auditing external, independent parties (TPAs, MGUs, etc.) preferred
- Effective verbal and written communications, analytical problem solving, organization and planning, assertiveness, team building, tolerance of ambiguity, commitment to task, leadership and presentation skills required
- Ability to handle confidential information and exercise discretion required
- Five or more years of prior management/supervisory/lead experience required
- Ability to travel approximately 25% of the time required
- Ability to work more than 40 hours per week, as needed, due to project deliverables
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Audit Manager Resume Examples & Samples
- Recommends changes to process, methodology and audit approach as appropriate
- Bachelors degree or equivalent
- Degree focus in Accounting, Finance, or related
81
Audit Manager Resume Examples & Samples
- Proficient with reconciliation and journal entry processes,
- Known for the quality of their work,
- Organized,
- Excellent communicators,
- Analytical in their thinking, and
- Proficient with technology
82
Audit Manager Resume Examples & Samples
- Demonstrate deep, up-to-date knowledge of the financial services sector / secured lending market / regulations and communicate related risks effectively with all ranges of Home Lending staff
- Demonstrate controls expertise through delivery of value-added, commercially aware audit actions
- Maintain detailed knowledge of GE Home Lending leadership structure, financial metrics, change programmes and emerging risks
- Deep Home Lending and/or UK Financial Services Industry experience and a good understanding of the regulatory & control expectations (incl. FCA, OFT, ICO)
- Commitment to personal development. Willing to learn new audit skills / potentially study for an Institute of Internal Auditors Qualification
- Demonstrated a sound understanding of the importance of effective risk management to an organisation
- A controls champion, demonstrated through a personal commitment to improving controls effectiveness
- Sound understanding of financial reporting rules impacting Home Lending
- Proven communication & presentation skills – ability to deliver complex information to all levels of audience
- Clear thinker – communication of complex ideas and technical analysis to senior stakeholders
- Integrity in the face of conflicting pressures
- Adaptability – Ability to quickly become knowledgeable in a wide range of topics and deliver meaningful recommendations across all Home Lending functions
- Drive & Focus
- Organisation / Time Management – managing diverse workloads and working to deadlines
- Attention to detail – delivery of high quality products suitable for external readers
- Business partnering experience – building relationships and knowledge
- Qualified auditor / accountant / relevant business degree
- Previous external and/or internal auditing experience (preferably with a Big 4 firm)
- Effective working knowledge of IT tools incl. Computer Assisted Audit techniques (IDEA), Advanced Excel, Powerpoint and Access
- Wide range of risk management experience would be beneficial –compliance (focus on conduct risk), financial, IT, Operational, Regulatory; Change Management, 3rd party suppliers, customer-facing etc
- Flexibility - Ability to work as both individual contributor and as part of a team
83
Audit Manager Resume Examples & Samples
- Examining profit forecast on potential fund
- Auditing listed mutual fund
- Training and implementing of IAS39/IFRS 9: preparing training materials, being speaker, providing accounting advice
- Leading audit teams; monitoring, supervising, and controlling auditing staff
- Other activities as required
- 6 – 8 years of experiences in management level in auditing field
- Certification as a Certified Public Accountant (CPA) is preferable
- Strong interpersonal skills, including developing and maintaining relationships
- Team player. Experience of leading, supervising and coaching members of staff
- Analyzing and presenting recommendations
84
Audit Manager Resume Examples & Samples
- Servicing a portfolio of key indigenous and multinational clients
- Building and leading teams effectively, ensuring service levels and standards are maintained
- Review and approve all financial statements, reports and other deliverables for clients
- Provide high level technical support and business advisory to clients where appropriate
- Manage billing, collections, and profitability per assignment
- Maintaining and developing existing client relationships, and contributing to the development of new business opportunities
- Proactively support and assist the firm's efforts in ensuring on-going development of technical knowledge and expertise across the firm
- Will have at least 5 years accounting experience in a large or mid-tier accountancy firm
- Will be a qualified Chartered Accountant (ACA or equivalent)
- Will possess a proven track record of outstanding client performance and business skills
- Has In-depth knowledge of IFRS and Irish GAAP (Knowledge of US GAAP an advantage)
- Will have business acumen and insight to be an effective business advisor to clients
- Will be experienced in managing and leading teams effectively
- Will have outstanding oral and written communication skills
- Will be a motivated self-starter with ambition to continue progress their career
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Audit Manager Resume Examples & Samples
- Understanding each clients business and operations including identify key performance indicators and highlighting potential risks from analytical review of initial results and market data
- Critically review and appraise financial statements including notes and disclosures to ensure they fully meet company law and financial reporting requirements
- Researching and resolving complex accounting and audit issues
- Audit/Managing audit of financial statements for group and statutory reporting
- Managing, organising and reviewing activities of audit engagement teams
- Development of detailed work programmes and audit instructions
- Application of the relevant accounting and auditing standards
- Supervising and training of junior staff
- Completion of project & banking work will be a key aspect of this role
- Working closely with the Partners at all times
- Qualified accountant with 2-3 years PQE, ideally in a medium or large practice environment
- Committed to a practice career
- Experience of managing relationships with clients particularly in the SME sector
- Excellent organisational and planning capabilities
- Ability to provide guidance to others
- Strong technical background
- Ability to work to deadlines and deliver under pressure
- Excellent computer-literacy skills
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Audit Manager Resume Examples & Samples
- Experience directing several engagements while training staff and maintaining contact with assigned clients Managers must be
- Technically proficient and possess outstanding leadership, mentoring, supervisory and business development skills
- 6+ years' experience
- Prior experience in a CPA Firm
87
Audit Manager Resume Examples & Samples
- 6-12 years of recent CPA experience auditing Financial Services Clients
- Strong Supervisory Skills
- Tax Experience helpful
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Audit Manager Resume Examples & Samples
- Global technology infrastructure
- Information Security & business continuity
- Payment processing & cash management
- Shared service centers & procurement
- Customer contact centers
- Software & application development
- QA partner to Regional Technology, Change & Third Party (TCTP) Audit Lead
- Liaise across the QA team to coordinate inputs from Product and Regional QA Partners, to support pro-active interactions during QA reviews TCTP projects
- Must have first-hand experience managing IT and/or Third Party audits in a top tier Investment Banking / Capital Markets firm
- Candidates should have at least 8 years of diversified financial management experience, ideally including experience in audit or a related field. Experience in working with international operations and teams. 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 full range of products and specialized areas and will be skilled at analyzing root causes of problems and anticipating ‘horizon’ issues. Related certifications (CISA, ACA, CPA, CFA, Sigma 6 or CIA) are a plus
- The Quality Assurance & Methodology Manager must be a strong, energetic individual with a proven track record in managing high-performance teams
- Spanish language skills required
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Audit Manager Resume Examples & Samples
- Managing client portfolios
- Planning audit roles from start to completion
- Managing a team of 5
- Reporting findings to partners
- Presenting at industry events
- ACA or ACCA qualified or equivalent
- Experience of managing staff
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Audit Manager Resume Examples & Samples
- 5+ years of experience in the Banking industry within a Treasury or Credit Risk Management function and/or Internal Audit function
- Bachelor's Degree in Accounting, Business Administration, Economics, Finance, and/or related field
- Knowledge and experience in Control Theory and professional Auditing practices
- Extensive background in Financial Risk Management and Consumer Finance
- Advanced Degree in Risk, Finance, Business, or related field
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Audit Manager Resume Examples & Samples
- 8+ years of public audit experience
- Prior experience within Tax function
- Professional and willing to grow
- Ability to manage staff and engagements
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Audit Manager Resume Examples & Samples
- Bachelor’s degree in Accounting required; CPA designation required
- 5+ years of recent public accounting experience; management experience preferred
- Demonstrated proposal development experience
- Exceptional research, technical, and organizational skills
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Audit Manager Resume Examples & Samples
- 5+ years of experience in a regulatory compliance role or a compliance internal audit role in the Financial Services/Banking Industry
- BA or BS in Accounting, Finance, Business, or equivalent degree
- Knowledge and appreciation of regulatory, accounting, and financial industry guidance and best practices relevant to the business, including technology implications
- Advanced degree in Accounting or related field
- Professional certification (CAMS, CIA, CPA)
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Audit Manager Resume Examples & Samples
- Review of daily, monthly, quarterly and annual financial reports for management and the Board prepared by the financial reporting staff
- Preparation and review of quarterly and annual obligated group financial statements, covenant calculations, and required disclosures
- Preparation and review of annual audited financial statements
- Remain current with GAAP required accounting and financial statement disclosures. Conduct accounting guidance research and prepare accounting memos to document new procedures
- Continually review processes and procedures for improvement for functions both within and outside the financial reporting team that will improve the control environment, increase efficiencies and accuracy in financial reporting to management
- B.S. or B.A. in Accounting
- 3+ years of management
- Will pay more for Big 4 Accounting experience
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Audit Manager Resume Examples & Samples
- Partnering with Audit Directors in assessing business risks and developing risk based audit plans
- Managing and overseeing the completion of audit projects ( assurance audits, SOX 302 & 304 compliance, special investigations, etc
- Evaluating appropriate internal controls within various business operations
- A more detailed list is available for interested candidates
- Bachelor's degree in Accounting with CPA or CIA
- 6+ years of auditing experience with multi-national or Big 4 public
- Strong technical, analytical and problem-solving skills
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Audit Manager Resume Examples & Samples
- Direct and coordinate team audit activities to ensure all assigned responsibilities are performed in a high-quality manner and on a timely basis. Establish an effective dynamic audit plan. Responsible for planning, scoping and organizing audit activities within framework established by the department's policies, process universe and frequency guidelines. Provide input to refine, enhance and/or develop effective and efficient audit processes and procedures focused on management of identified risks. Ensure prescribed schedules, operating policies and procedures are followed; allocate work, set priorities and deadlines. Assist the Market, Liquidity Risk and Financial Services Audit Manager in developing and monitoring risk assessments through interaction with and analysis of responsible lines of business (LOBs)
- Directly manage the risk reviews conducted by the Securities audit team. Provide comprehensive evaluation of the adequacy and effectiveness of risk management strategies, management oversight and monitoring methods and processes. Set clear objectives for Securities audit associates with a focus on high-quality audits. Deliver feedback, coach and advise the Securities audit associates. Ensure adequate staffing with qualified associates
- Serve as subject matter expert for assigned LOBs. Manage auditors-in-charge and assume responsibility for the overall coordination and successful completion of the Securities team’s audit plans
- Lead regular aggregation, correlation, and analysis of a robust program of business monitoring activities designed to identify potential changes impacting the risk profiles of LOBs within the Securities team’s scope of responsibility. Regularly evaluate monitoring activities in relation to assessments of risk and ensure risk assessments as well as audit plans and scopes are adjusted when appropriate
- Supervise and participate with audit teams in planning of audit engagements within Securities areas of responsibility. Co-approve Audit Engagement Planning Memos after ensuring audit plans and scopes are established based on current assessments of risks, incorporate results of business monitoring program, and assess actual or potential risk impacts related to management’s business strategies (e.g. business growth/decline) and actual or potential emerging risk areas
- Co-approve audit reports, including assignment of Audit Ratings, after ensuring reports are well-written and conclusions communicate themes, are balanced, provide context and perspective, and are aligned with ratings while also communicating the basis for conclusions
- Review and evaluate existing systems, processes and controls to determine adequacy of operating procedures, effectiveness of internal controls, and reliability of financial information reported on the Bank's general ledger and compliance with laws and regulations and corporate policies. Identify and evaluate risks present in LOB coverage areas. Recommend appropriate procedural changes to management which will facilitate safeguarding of assets, reduce costs and improve operating efficiency
- Supervise and coordinate special audit assignments, to include merger and acquisition activities, special investigations, support of other audit functions and customer inquiries/complaints. Assist Market, Liquidity Risk and Financial Services Audit Manager in maintenance of current risk profiles for each LOB. Ensure annual Sarbanes-Oxley required control evaluation and testing is performed in a timely, complete and quality manner
- Provide leadership in development of staff and self, taking responsibility for ensuring staff is given the opportunity to develop within area of responsibility. Enhance expert knowledge by continually monitoring trends and developments in the auditing profession, banking industry and securities industry. Serve as coach for areas of securities industry questions. Pursue continuing education and additional professional certifications, as appropriate
- Proactively develop and maintain mutually beneficial relationships with senior leadership members of Capital Partners, BB&T Securities, International, Sterling and BB&T Investment Services. Accomplished by gaining a clear understanding of mission and goals, ensuring Audit participation on critical projects/task forces and that Audit projects deliver added value. Obtain meaningful feedback from Audit clients. Act as client service champion by consistently modeling world standard client service delivery
- Assist Market, Liquidity Risk and Financial Services Audit Manager in developing and maintaining effective, mutually beneficial relationships and communication with LOB management to ensure adequate audit coverage
- Participate in risk management committees, steering committees and strategic project committees related to areas of audit coverage. Obtain meaningful information to improve business monitoring
- Maintain rapport with and assist in coordination of audit efforts with external auditors/bank examiners to ensure prompt and efficient completion of examinations within scope of assigned audits. Maintain effective communications with external auditors and regulatory examiners, and provide assistance/direction in order to complete objectives effectively and efficiently. Perform special audit assignments, due diligence and ongoing mergers and acquisitions consulting
- Assist in development of a current risk profile for each LOB. Work extensively with LOB management to identify emerging risks and prioritize audit efforts based on changing risk environment
- Enhance expert business knowledge by continually monitoring trends and developments affecting each LOB. Consider the impact of these trends and developments upon audit work planned and performed. Communicate relevant information with audit teams
- Bachelor’s degree in Accounting, Business or related field, or equivalent education and related training
- Ten years of experience as a securities and/or treasury auditor at a significant broker/dealer or financial services firm or commensurate experience as an examiner within the financial services industry
- Appropriate professional certification such as Certified Internal Auditor, Series 7
- Superior knowledge of current securities laws and regulations as well as proposed changes to include brokerage, dealing, investment banking and investment advisory services
- Superior knowledge of market and liquidity risk management trends and regulations as well as proposed rules related to market and liquidity risks affecting covered LOBs
- Expert level business competency in related LOBs
- Excellent leadership abilities and decision-making skills
- Excellent knowledge of general banking, risk management, securities industry and audit practices
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Audit Manager Resume Examples & Samples
- Develop and manage a comprehensive audit assurance program of consumer regulations (e.g. Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Office of Foreign Assets Control (OFAC)) for BB&T, subsidiaries and lines of business (LOBs)
- Manage audit staff in execution of audit compliance engagements including detailed tests to evaluate policies, procedures and processes of second line of defense, LOBs and affiliates for compliance with laws and regulations
- Serve as subject matter authority for audit compliance engagements. Enhance knowledge by continually monitoring trends and developments in the auditing profession, banking industry, and area of specialization
- Oversee audit engagements and business monitoring activities ensuring enhancements to products, training and policies and procedures are in compliance with regulations and Bank policies
- Work with LOBs to ensure processes are monitored for effectiveness in adhering to applicable laws, regulations, policies and procedures
- Proactively identify emerging risk issues
- Oversee the completion of compliance-related risk assessments
- Assist in preparation of annual audit plan and manage its execution. Assist in the development of Audit Services’ mission statement, corporate goals, audit committee and regulatory reports
- Manage staff to ensure proper execution of assigned duties and professional development
- Participate in regulatory compliance examinations
- Supervise and oversee appropriate aspects of the Audit Services budget to ensure adherence to the overall department objectives
- Ten years of financial institution experience with significant history involving regulatory compliance/ risk related issues
- Professional certification (CIA, CPA, CISA or CRCM), or other relevant compliance designation
- Expert knowledge of state and federal consumer banking laws and compliance regulations related to areas of responsibility
- Ability to communicate complex issues to a variety of audiences
- Attention to detail, accuracy and the ability to manage multiple tasks and deadlines
- Strong analytical, organizational and time management skills
- Ability to identify issues for escalation to management as necessary
- Strong leadership and decision-making skills
- Master’s degree in Business or Juris Doctor
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Audit Manager Resume Examples & Samples
- Responsible for managing a key client base
- Responsible for ensuring clients receive a top quality level of service
- Develop and maintain strong client relationships and always look to identify any potential opportunities to increase income and client satisfaction
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Audit Manager Resume Examples & Samples
- Uses excellent communication and co-ordination 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
- Assist 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
- Co-ordination of entity structure development, risk assessment and planning across the GLOBAL COMPLIANCE audit team
- Track and co-ordinate the 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
- Track and co-ordinate management of the GLOBAL COMPLIANCE IA budget, working with the Business Manager and Regional Directors to manage cost management and allocation and providing regional and global leads with analysis of expenses
- Assist in delivery learning and development programs of GLOBAL COMPLIANCE team
- Works closely and collegially with the Business Manager and other IA colleagues and with line management and control functions to ensure efficient and effective provision of independent audit assurance
- Collaborates across businesses and functions to improve the identification, quantification, measurement, management, reporting and controls in governance, risk management and internal control environments
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Audit Manager Resume Examples & Samples
- Candidate must have a minimum of 10 years’ experience in the legal/compliance/regulatory fields
- Experience in consulting (if not auditing) in legal/compliance/regulatory matters
- Familiarity with market behavior and client conduct
- Understanding of the current financial services regulatory environment
- Solid communication skills and experience in liaising across departments and teams
- Ability to operate autonomously, to drive a project / task forward and produce an end state product that can be presented to senior management with minimal required revision
- Ability to present compliance and regulatory risk concepts and issues in a simple and concise way to diverse groups
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