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
01/2015 present
Chicago, IL
Audit Manager
Chicago, IL
Audit Manager
01/2015 present
Chicago, IL
Audit Manager
01/2015 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
12/2009 10/2014
Detroit, MI
Audit Manager
Detroit, MI
Audit Manager
12/2009 10/2014
Detroit, MI
Audit Manager
12/2009 10/2014
  • 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
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
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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
37

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
39

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
40

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
46

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
57

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
59

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
60

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
61

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
62

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
63

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
64

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
65

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
66

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
67

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
68

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
69

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
70

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
71

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
72

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
73

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
74

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
75

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
76

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
77

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
78

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
79

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
80

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
85

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
86

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
88

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
89

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
90

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
91

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
92

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
93

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)
94

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
95

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
96

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
97

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
98

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
99

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
100

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
101

Audit Manager Resume Examples & Samples

  • Be ACA or similarly qualified
  • Have experience of management of the audit from planning to supervision and review of the process
  • Have flexibility in your approach to meeting goals as part of the team
  • Have the ability to communicate clearly with colleagues and clients at all levels
  • Have a proven track record of establishing and maintaining strong relationships
  • Take a proactive approach to problem solving and delivering client solutions
102

Audit Manager Resume Examples & Samples

  • 7+ years of current or recent CPA firm experience
  • Previous Audit (Financial), Financial Statement Preparation, GAAP, GAAS, Internal Controls, and Tax (Partnership) experience
  • Varied commercial client experience
  • Some Business Tax exposure
103

Audit Manager Resume Examples & Samples

  • 4+ years of audit experience preferred
  • Bachelor’s degree in Business preferred
  • Strong PC skills
104

Audit Manager Resume Examples & Samples

  • Oversee the efforts of multiple client audit engagements in a wide variety of industries, with the ability to manage the audit engagement to the budget
  • Maintain active communication with all clients to manage the clients' expectations, ensure satisfaction of audit service, and lead change efforts effectively
  • Consult, work with, and service assigned client base effectively in order to make recommendations on business improvements and process improvements and consistently serve as a trusted business advisor to assigned clients
  • Understand and manage the firm's risk on all audits and proposal opportunities
  • Manage, develop, train and mentor all assigned audit staff on client projects, and assess their performance for both engagement review and year-end performance reviews
  • Play a key role in future business generation by identifying new business opportunities through networking
  • Actively participate in the efforts to recruit audit talent to the firm
  • Attend professional development, networking events and training seminars on a regular and consistent basis
  • Bachelor’s degree in accounting or a business related field is required. Advanced degrees (e.g. MBA, Masters, etc.) is a plus
  • Minimum of 5 years audit experience in public accounting, professional services firms or the equivalent is required. Big 4 audit experience is a plus
  • Excellent analytical, technical and auditing skills, including proficiency in US GAAP, GAAS, and PCAOB rules and standards is expected
  • Demonstrated successful experience in practice development and business development opportunities is expected
  • Ability to work additional hours as needed and travel to various assigned client sites as required is expected
105

Audit Manager Resume Examples & Samples

  • Assist in the preparation of annual EMEA Audit plan and EMEA Audit Universe, in collaboration with key stakeholders across the Group as appropriate
  • Planning and completion of internal audits including issue of final audit reports, in accordance with Institute of Internal Audit (IIA) standards, departmental policies and methodologies
  • Agreeing cost effective and practical action plans on risk mitigation and improvements in internal control with opco management; and collation of responses into final report
  • Collation of management responses and issuance of internal audit follow-ups
  • Management of IA staff, external consultants and guest auditors on assignment
  • Liaising with other assurance and risk management providers internally and externally
  • Assistance with Enterprise Risk Management (ERM) initiatives where required
  • Completion of ad-hoc projects and reviews as required
  • Support the Audit Director EMEA recruit, develop and retain Internal Audit resource/skills
  • Development and motivation of other team members by conducting regular appraisals and providing recognition, feedback, support and guidance
  • Responsible for administrative duties including basic office administration, travel arrangements, manage costs, annual leave submission etc
  • Professional designation completed (CPA, CA, CMIIA, CIA, CIMA, CISA, CMA, CFE, CISSP, CIPP, ACA, ACMA, ACCA)
  • Experience at a large accounting firm and/or large public company internal audit department
  • Good practical judgement and decision-making skills
  • Strong organisational skills, including the ability to handle multiple assignments simultaneously, and deliver to deadlines
  • Strong relationship-building skills with a client service focus
  • Strong communication skills both written and oral
  • Leadership abilities and strong team building skills
  • Adheres to the ‘Code of Ethics’ (Integrity, Objectivity, Confidentiality and Competency) from the Global IIA
  • Good understanding of latest risk management and internal audit techniques
  • Good understanding of accounting policies (including IFRS) and their application
  • European language skills
  • Exposure to the use of data analytics and automated audit techniques
106

Audit Manager Resume Examples & Samples

  • Contribute to a team culture, fostering effective communication, and maintaining positive working relationships with other audit teams/staff
  • Ensure a high level of collaboration and cooperation relative to integrated audits
  • Lead, motivate and direct team by providing the necessary guidance for superior quality audits
  • Continuously seek to improve audit techniques and methodologies promoting and initiating value added change within Internal Audit Services (IAS)
  • Complete assessments on team members providing valuable input into Performance Enablement assessments
  • Detailed knowledge of Computer Assisted Audit Tools and Techniques (CAATTs) such as ACL and IDEA
  • Working knowledge of SQL and databases would be an asset
  • Prior experience in data extraction, manipulation, analysis and reporting
  • Undergraduate degree in Information Technology, Finance, Management or other relevant discipline from a recognized tertiary institution
  • Accounting, Financial or Audit designation (ACCA; CIA, CISA, CISSP) or equivalent professional designation
  • Post graduate degree in business, finance, Information Technology or related discipline would be an asset
  • Minimum 5 years of relevant Internal and/or External audit experience, preferably in the Banking/Financial services industry
  • Sound knowledge of banking policies and procedures
  • Extensive exposure to Operational (including IT) and Credit Risk Management
  • Willing, able and having the flexibility to travel to overseas locations to perform/lead audit engagements
  • Sound analytical, planning and organizational skills
  • Good communication skills (verbal and written)
  • Ability to interact at all levels in the organization
  • Team oriented/player
  • Continuous improvement driven
  • Ability to coach and develop others
  • Strategic business sense
107

Audit Manager Resume Examples & Samples

  • Complete assessments on team members providing valuable input into performance assessments
  • Undergraduate degree in Finance, Management or other relevant discipline from a recognized tertiary institution
  • Accounting, Financial or Audit designation (CA; ACCA; CFA; CIA) or equivalent professional designation
  • Post graduate degree in business, finance or related discipline would be an asset
  • Extensive exposure to Operational and Credit Risk Management
108

Audit Manager Resume Examples & Samples

  • Maintaining a good understanding of subject matter relation to either Investment Banking or Private Banking & Wealth Management, including best practice, regulatory requirement and key control processes
  • Demonstrate an ability to effectively prioritise competing commitments in order to ensure efficient delivery against agreed timeframes
  • Demonstrate the ability to proactively manage relationships with auditees, maintaining lines of communication and fostering on-going interaction with the business
  • Involvement in a program of continuous risk monitoring (e.g. business development, emerging risk and controls issues)
109

Audit Manager Resume Examples & Samples

  • Maintaining a good understanding of subject matter relating to Private Banking & Wealth Management related topics, including: best practices, regulatory requirements and key control processes
  • Participate in the delivery of audit plan relating to Private Banking & Wealth Management to ensure the use of sound risk management controls and regulatory compliance
  • Execution of a program of continuous risk monitoring (e.g. business developments, emerging risks and control issues)
110

Audit Manager Resume Examples & Samples

  • 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
  • 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 during audit planning and execution
  • Develops effective senior line management relationships and a strong understanding of the businesses
  • Serves as lead reviewer for all types of audits, including the most complex ones
111

Audit Manager Resume Examples & Samples

  • Through the development of portfolio management analytics, you will be actively involved in the development and implementation of audit programs to access the effectiveness of controls within the Wholesale / Commercial Credit portfolio
  • As a strategic thinker, you will be collaborating with the audit group to develop audit strategies which will result in creating added value for our RBC, for the audit practice and for the audit group
  • Act as a subject matter expert / resource person by staying abreast of changes to Regulatory and Economic Capital and relevant or emerging Government / Supervisory regulations impacting wholesale audits
  • Assist in drafting each audit plan. Through the use of CAATTs, analytic audit techniques and analysis, access the businesses top risks and identify and test the Key Control Processes to support the issuance of the overall opinion on internal controls and risk management practices to senior management
  • Oversee and manage engagement projects, including identifying adequate audit resources / skill sets to manage an audit team while maintaining and adhering to Internal Audit Standards, in the audit planning, execution and audit reporting
  • Participate in complex and confidential / special audit projects enterprise wide as requested by senior management of the Bank
  • Ensure the quality of Commercial Banking Credit Underwriting Standards and Borrower Risk Rating methodologies are being followed
  • Work with the business to develop and implement continuous assurance processes
  • Build and maintain an effective working relationship with key stakeholders ensuring they get maximum value from our engagement work
  • Provide consulting, advisory services or lead audits in an area of specialization that is consistent with our role to evaluate and improve the effectiveness of risk management, controls, and governance processes, providing the services do not represent a conflict of interest or detract from our mandate
  • Lead by example in promoting teamwork across IAS
  • Strong background in Portfolio Risk Analytics, Database Management, Commercial Credit analytical and decision making skills
  • MBA, CA or equivalent degree
  • 5+ years of Commercial / Capital Markets Account Management or portfolio management experience
  • Strong Risk Management experience /exposure
  • Ability to work effectively at all levels in an organization
  • Intermediate SAS, SQL
112

Audit Manager Resume Examples & Samples

  • ACL or other data mining software
  • Knowledge of the Retail Industry
  • Knowledge of Visio
113

Audit Manager Resume Examples & Samples

  • Proven experience in exercising Independent in judgment, strongly self-motivated with the ability to appropriately challenge and be challenged while maintaining the highest levels of professionalism, integrity, and ethics
  • Must be familiar with CCAR, Basel III and EU Directives
  • Must have proven team and people management
  • Must have demonstrated efficient management of resources to support audit plan delivery
114

Audit Manager Resume Examples & Samples

  • Delegate work to assurance team members successfully Conduct timely performance reviews and provide performance feedback/training
  • Use technology to continually learn, share knowledge with assurance team members, and enhance service delivery Maintain an educational program to continually develop skills Maintain cooperative relationships with other assurance teams
  • A bachelor's degree in accounting, business or finance and a minimum of five (5) years of related work experience; must possess experience working as an auditor for a Big 4 public accounting firm
  • Experience serving clients in the asset management industry which may include mutual fund complexes, hedge funds, private equity funds, or other investment vehicles
  • A dedication to teamwork and leadership, and integrity within a professional environment
115

Audit Manager Resume Examples & Samples

  • A bachelor's degree in accounting, business or finance and a minimum of 5 years of related work experience; must possess experience working as an auditor for a public accounting firm
  • Strong experience serving clients in the insurance industry which may include life, health, property and casualty, reinsurance, or similar institutions
  • A dedication to teamwork and leadership
116

Audit Manager Resume Examples & Samples

  • 2+ years of previous experience with US AML Compliance, Auditing as a regulator or internally, and working under tight time frames
  • CAMS or CRCM certification and familiarity with OCC and/or FRB regulatory expectations
  • Microsoft Office/Suite (MS Word and MS Excel)
117

Audit Manager Resume Examples & Samples

  • Responsible for planning and risk assessment processes for audits
  • Manage key client relationships
  • Prepare and present new client proposals
118

Audit Manager Resume Examples & Samples

  • Responsible for choosing and planning audit team and programs for various audits
  • Responsible for participating in staff hiring, training, and development, and evaluations
  • Participates in operational and financial audits of the administrative functions of the company
  • Develops recommendations for bringing programs and operations into compliance with goals and objectives, and writes reports documenting findings
  • Performs special projects at the request of management
119

Audit Manager Resume Examples & Samples

  • Help develop, build and manage client relationships
  • Assist in managing, developing and coaching professional audit associates
  • Recognize problems and propose sensible solutions, with appropriate balance between clients’ needs and the firm’s risk
  • Meet assigned deadlines or budgets and provide advance warning of variances
  • Exhibit effective communication and listening skills
120

Audit Manager Resume Examples & Samples

  • Proven ability in managing, developing and coaching professional tax staff
  • Effectively delegate responsibilities to others, monitoring efforts of engagement teams
  • Proficiently use technology tools in regular assignments and demonstrate commitment to improving work processes through use of technology
  • Excellent supervisory and time management skills
  • Focus and dedication to client service
  • Solid technical audit and accounting knowledge
  • Attention to detail without losing sight of the big picture
  • Anticipated travel up to 25-50%
121

Audit Manager Resume Examples & Samples

  • Leading and managing and audit team
  • Overseeing audit assignments including assessing control
  • Tailor audit programmes to suit client business environments
  • Work closely with the partner in the planning and conduct
  • To monitor the progress of jobs versus budget
122

Audit Manager Resume Examples & Samples

  • Auditing listed mutual fund or leasing company, hire-purchase company, asset management company or else
  • 2 -3 years of experiences in management level in auditing field. Experience in banking/ hire purchase/ leasing industry is preferable
  • Strong analytical skill and presentation skill
123

Audit Manager Resume Examples & Samples

  • 5+ years of Audit experience (Financial and Operational)
  • Expertise regarding technology application control disciplines and a solid business understanding of Global Markets products, especially those associated with the FX and Rates business
  • Experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment
  • Related certifications (CPA, ACA, CFA, CIA, CISA or similar)
124

Audit Manager Resume Examples & Samples

  • Integrity
  • Excellence in client service
  • Innovation that achieves tangible results for our clients
  • Performance that means we deliver on time to the standard expected by our clients
  • Close collaboration and teamwork
125

Audit Manager Resume Examples & Samples

  • Lead the risk assessment process and 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
  • Contribute to the strategic direction of the Global Finance and Corporate Functions 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
  • Support Global Finance and Corporate Functions Audit Group management and other team members in the achievement of individual, divisional and team goals
  • Minimum 5 years of relevant experience in internal or external auditing (financial services industry preferred)
  • Professional designation/certification in internal audit or financial services would be an asset
  • Strong interpersonal and relationship management skills to facilitate working with auditors and senior management at all levels
  • Effective time management and organizational skills to meet tight timeframes as well as flexibility to adapt to changing priorities
  • Multi-tasking skills as the job requires managing of several tasks concurrently; and
  • Ability to take initiative and work independently with limited direction from Senior Management
126

Audit Manager Resume Examples & Samples

  • Managing and overseeing the completion of audit projects (e.g., core assurance audits, Sarbanes Oxley 302 & 404 compliance activities, special investigations, ad-hoc projects, etc.) included in the rolling annual audit plan within budgeted timeframes and in line with professional and department standards
  • Assisting the Internal Audit Directors in assessing key business risks and controls and in developing risk based audit plans, which are responsive to audit priorities and emerging risk activities
  • Evaluating the adequacy of the internal control environment within select company business operations. Communicating audit findings and recommendations to improve the overall effectiveness of the company’s internal controls to business unit management. The Audit Manager is also primarily responsible for preparing rated audit reports on the condition/adequacy of the company’s control environment
  • Providing a first or second level review and approval of workpaper documentation to ensure the retained documentation supports the audit work performed and satisfies audit objectives
  • For assigned areas of audit responsibility, monitoring the status of management corrective action plans to ensure that significant process and control issues have been remediated. The Audit Manager is also primarily responsible for updating the various management reports sent to executive management and the Audit Committee regarding the status of open control matters
  • As assigned, assisting the Internal Audit leadership team on department/corporate-wide initiatives and ad-hoc special projects, as well as supporting other audit offices
  • For assigned audit staff, providing the necessary supervision, coaching and training as well as providing regular performance feedback
  • Developing a strong knowledge base and level of expertise in the operations of assigned lines of business or functional areas
  • Substantial knowledge of and experience in Aon operations (e.g., insurance brokerage, reinsurance, consulting, etc.) or comparable industry experience
  • Possesses the required work experience and professional certifications in the audit field. (See Minimum Work Experience and Professional Education below.)
  • Strong interpersonal skills and the ability to interface with all levels of management within the company
  • Strong organizational and multi-tasking skills
  • Ability to develop and maintain effective business relationships with internal and external constituencies and customers
  • Proven supervisory and leadership skills in being flexible, creative, team-oriented and results-driven
  • Strong knowledge and understanding of internal auditing standards and techniques
  • Knowledge of generally accepted accounting principles and financial reporting requirements
  • Knowledge of industry regulatory requirements
127

Audit Manager Resume Examples & Samples

  • Correctly perform audit engagement procedures in a timely and professional manner
  • 4+ years of public auditing experience, preferably with experience in Not-for-Profit and Governmental
  • Excellent organizational and interpersonal skills
  • Ability to prioritize and work independently in a fast-paced environment
128

Audit Manager Resume Examples & Samples

  • Managing and overseeing the completion of audit projects (core assurance audits, Sarbanes Oxley 302 & 404 compliance activities, special investigations, ad-hoc projects, etc.)
  • Assisting the Internal Audit Directors in assessing key business risks and controls and in developing risk based audit plans
  • The Audit Manager is also primarily responsible for preparing rated audit reports on the condition/adequacy of the company’s control environment
  • Providing a first or second level review and approval of documentation to ensure the retained documentation supports the audit work performed and satisfies audit objectives
  • The Audit Manager is also primarily responsible for updating the various management reports
  • As assigned, assisting the Internal Audit leadership team on department/corporate-wide initiatives and ad-hoc special projects
  • Providing the necessary supervision, coaching and training as well as providing regular performance feedback
129

Audit Manager Resume Examples & Samples

  • Contribute to the overall audit process by execution of the audit plan, development / completion of audit programs, on-going client communications, reporting, and post-audit procedures
  • Plan, manage, oversee and conduct audit work 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 and evaluation of design & operational effectiveness of practices
  • 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
130

Audit Manager Resume Examples & Samples

  • Leadership/Teamwork
  • On certain engagements, lead a team of professional auditors and be
  • Responsible for all aspects of an audit
  • Ldentify competent and sufficient resources, with relevant skill sets to
  • Meet each audit
  • Manage staff assigned to the engagement and review audit work for
  • Sufficient scope and for accuracy
  • Co-operate with other audit groups to effectively plan and execute
131

Audit Manager Resume Examples & Samples

  • 7+ years of audit experience or 7+ years of work experience which included audit skill sets of control testing or control and risk identification or analysis
  • 2+ years of leadership experience
  • Professional audit related certifications such as CIA, CISA, CPA, CAMS, or CRCM
  • Recent and progressive audit, regulatory compliance, or risk management experience in the financial services industry
  • Excellent written and oral communication skills; Must be able to communicate effectively, exhibiting organizational astuteness, sound judgment and diplomacy, while quickly and decisively reacting to changes, to influence change for the Bank’s benefit
  • Strong organizational, project and time management skills to manage multiple and sometimes competing priorities
  • Excellent reputation for partnering with stakeholders and achieving results across multi-functional teams
  • Skilled working in dynamic and demanding environments while responding appropriately to rapid change and imperfect information
132

Audit Manager Resume Examples & Samples

  • Managing and continually improving the Learning & Development ("L&D") Strategy
  • Refreshing division learning map, and coordinate tailoring learning maps for each audit group
  • Managing the L&D liaison program and coordinating related meetings
  • Supporting Audit Executive Leadership team with ad-hoc training requests
  • Executing a skills assessment for the Global Audit Division, analyzing results, and assisting with incorporating new training opportunities identified into the L&D program
  • Identifying opportunities to create more efficiency and effectiveness with existing L&D processes/activities
  • Liaising with Human Resources to maximize use of bank-wide training resources
  • Developing and continually refreshing a valuable onboarding program for new hires of all levels
  • Developing and continually refreshing the Skills/Knowledge/Competency Model for the Global Audit Division with the assistance of HR partners
  • Assisting with coordinating division-wide training days
  • Assisting with facilitating training sessions on targeted and recurring topics, as needed
  • Provide backup support for training database maintenance and administrative requirements as needed by ADLD team members
  • Developing relationships within the Internal Audit practice to better understand the work performed and potential training gaps
  • Support Senior Manager in other ADLD initiatives and broader Audit Strategy initiatives, as needed
133

Audit Manager Resume Examples & Samples

  • Previous experience with US AML compliance
  • Previous audit experience
  • CAMs or CRCM certification
134

Audit Manager Resume Examples & Samples

  • A recognized professional designation (e.g. CISA, CISSP) specifically related to technology auditing
  • Successfully completed the necessary work period and examination
  • Excellent knowledge of Outsourcing and Sourcing for technology and review of service auditor reports
  • Excellent knowledge Cryptographic techniques and PCI-DSS experience
  • Excellent knowledge of RDBMS database design or DBA experience (including Oracle SQL Server and Sybase)
  • Exposure to data extraction and analytical tools (CAATS), including Audit Command Language (ACL)
135

Audit Manager Resume Examples & Samples

  • Internal Audit is a global organization of over 1000 professionals covering Citi's global businesses and service to clients and customers in over 180 countries
  • Citi's Internal Audit division provides independent assessments of the company's governance, risk management and internal control environment for key stakeholders including the Board of Directors, senior management and Citi’s numerous regulators globally
  • Internal Audit is a change agent within Citi aimed to enhance the control culture of Citigroup worldwide and thereby support senior management decision making around the globe
  • 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
  • Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation (where appropriate) branch examinations as well as business monitoring and governance committee reporting
  • Manages 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
  • Recruits staff, develops talent, builds effective teams and manages a budget
  • Applies a broad and comprehensive knowledge of high risk areas including investment banking, technology management project/program management regulatory compliance or supplier management
  • 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 higher levels on matters which will have a major impact on the area managed
  • Consulted often by others for advice and opinions and recognized as a leadership role model
  • Audit or related experience required
  • 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 markets, investor services and custody technology and applications especially those associated with the ASPAC region
  • This individual must be an articulate and effective communicator, both orally and in writing
  • With an energetic, charismatic and approachable style
136

Audit Manager Resume Examples & Samples

  • 6+ years of Audit experience in Public Accounting or related field; 3+ years of Supervisory experience
  • Solid analytical, research and audit project management skills
  • Master’s Degree in Accounting, Taxation or related field
  • Middle market experience
  • Knowledge of Caseware
137

Audit Manager Resume Examples & Samples

  • Transfer pricing
  • Valuations
  • Accounting policy
  • Financial Operations
  • 8–10+ years of related experience, including experience with large, complex financial institutions
  • Ability to interact and communicate effectively with senior leadership, regulators, and staff at all levels
138

Audit Manager Resume Examples & Samples

  • Manage a team of junior members' of staff or coordinating a number of audit teams i.e. multi-project management and delivering direct to the client through junior staff
  • Job holders will be manage their own portfolio and using wider knowledge and skills to do more than statutory audit i.e. 'special work' e.g. due diligence assignments
  • Responsibility for audits up to sign off stage
  • Bring solutions to table and resolving issues with clients
  • Time management, delegation, use of initiative, and assertiveness are skills required for this level of management
  • Involvement in delivery of technical training
  • Work towards departments strategic goals and objectives
  • Technically and professionally qualified and expected to have competent management skills and behaviours
  • A strong awareness of the new accounting framework (FRS 102) and legislative updates (Companies Act 2014) is essential together with a comprehensive knowledge of International Standards on Audit (ISA)
  • Assist Director/Partner in specialist work
  • Have an understanding of the market/commercial awareness
  • Be aware of time constraints and working within hours budgeted
  • Communicate budget requirements to junior members of staff
  • Continuously develop overall business awareness and basic commercial awareness
139

Audit Manager Resume Examples & Samples

  • Develops and executes a robust Audit Universe, and Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, government statutes and regulations, and Bank Handlowy policies
  • Leads the business monitoring and governance committee reporting related to the Risk Management areas in Bank Handlowy
  • Directs complex audit activities of the audit annual plan
  • Senior level experience in a related role with experience in risk, 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
140

Audit Manager Resume Examples & Samples

  • The Internal Audit Department plays a pivotal role in safeguarding the Banks control framework, seeking at all times to deliver insightful and value-adding audits that help improve the way the Bank runs its business. We are currently seeking an exceptional candidate to take on a newly created role for an Internal Audit Manager - Credit Risk and Counterparty Credit Risk (CCR) Subject Matter Expert. This role is based in New York, although the individual will participate in audits on a global basis
  • Assist the Head of Audit, IB Wholesale Credit Risk in the execution of the global credit risk program including: strategic planning, risk assessment, audit delivery, continuous risk and performance monitoring (e.g. business developments, emerging risks and control issues
  • Maintaining subject matter expertise in credit risk management or counterparty credit risk management, including: best practices, regulatory requirements and key control processes
  • Assessment of the bank's compliance with banking rules and regulations including; FINMA (Basel) , PRA (CRD - Capital Requirements Directive IV), and Fed (IHC and CCAR) across Credit Risk Management or CCR to ensure all relevant regulatory requirements are met in jurisdictions where the bank operates
141

Audit Manager Resume Examples & Samples

  • 5+ years of Financial Services experience
  • Expertise in technology application control disciplines
  • Solid business understanding of Lending, Underwriting and Financing products
  • Senior level Market Originations experience
142

Audit Manager Resume Examples & Samples

  • Direct and review the activities of the audit project team and work collaboratively on audit reports
  • Provide overall leadership to the team in connection with performance of the work and personal development and growth
  • Plan and conduct effective meetings with staff and internal clients
  • Participate in more complex audits and/or subject matter and deliver industry expertise and perspective to the team and management
  • Evaluate risks, controls, policies, and procedures and how management monitors, communicates, and mitigates risk
  • Follow-up on identified issues and recommend corrective actions to ensure problem resolution
  • Maintain effective working relationships at all levels of management in client organizations
  • Develop and maintain peer relationships with auditors to share best practices
  • Perform other tasks as necessary
  • 7-10 years of audit, audit-related or relevant business line experience
  • Advanced knowledge in local regulatory requirements
  • Demonstrated technical abilities for: Access control software, Business process mapping, Security architecture and administration, Security policies and standards, Operating systems (Windows NT, UNIX/Linux, MVS), Database platforms (SQL, Oracle, DB2), System Development Life Cycle
  • Professional audit certifications
  • Knowledge of PeopleSoft, Fidessa Trading System, Fircosoft, and Actimize
143

Audit Manager Resume Examples & Samples

  • Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses
  • Delivers on-time, high quality audit reports, Internal Audit and Regulatory issue validation and branch examinations
  • Manages audit activities for a component of a product line, function, or legal entity at the regional or country level
  • Applies in-depth level of expertise in one or more of the corporation's businesses
  • Manages a complex and critical unit within Internal Audit
  • Applies an in-depth understanding of the inter-relationships of business
  • Participates in other assignments
  • 5+ years of public accounting experience
  • Anti-Money Laundering experience
144

Audit Manager Resume Examples & Samples

  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Retail products, especially those associated with the Personal Wealth Management business
  • Previous experience in Broker Dealer, Private Banking and Personal Wealth Management is expected
  • Certifications in the investments industry, such as SIFMA auditor or even FINRA licenses are a plus
145

Audit Manager Resume Examples & Samples

  • Perform/Lead execution of all phases of the audit in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions
  • Develop strong understanding of the businesses audited and the role of technology to support the business processes, as well as the third party supplier relationships and change projects impacting the location
  • Consistently produce quality workpapers evidenced by minimal review notes, no quality assurance concerns and no post review notes
  • Responsible for the relationship with the technology audit clients in Korea, as well as maintain the risk assessment profiles of the audit entities in Korea
  • Working knowledge of banking services and supporting systems
  • Excellent written and verbal skills with demonstrated ability to clearly articulate issues and facilitate the definition and implementation of solutions
  • At least 8-10 years of experience of technology audit and/or core IT management processes (application development, change management, information security, computer operations, business continuity and related risks and controls
146

Audit Manager Resume Examples & Samples

  • Ensures monthly, quarterly and special reports are completed in an accurate and timely manner as requested by Director of Internal Audit, COO and Board Audit Committee
  • Performs other responsibilities and special projects as assigned
  • Bachelor’s degree required,
  • Major in Finance, Accounting, Business preferred,
  • Five years (5) years of related bank auditing experience,
  • Minimum of two (2) years audit supervisory experience required
  • Audit related Certifications beneficial
  • Effective/strong written and verbal communication skills
  • Ability to establish and maintain interpersonal relationships
  • Ability to read and interpret general business periodicals, professional journals, and governmental regulations
  • Strong analytical skills and knowledge of accounting processes and FASB standards
  • Ability to analyze information and produce cost/benefit analysis
  • Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fraction, and decimals
  • Ability to compute rate, ratio, and percent and to create and interpret graphs
  • Strong skill set in the use of the following software applications: Microsoft Excel, Word, PowerPoint, Access, and Outlook
  • Experience with Fiserv/ITI systems desired
147

Audit Manager Resume Examples & Samples

  • Developed working knowledge of the regulatory environment that governs the Bank, specifically the Bank Act, OSFI guidelines, IIROC regulations, and have in-depth knowledge of Canadian Anti-Money Laundering regulations. Certified Anti-Money Laundering Specialist (CAMS) designation would be an asset
  • Well-developed influential skills sufficient to resolve situations when there can be distinct differences of opinion between the client and auditor concerning policy interpretation and course of action. In addition there is the need to negotiate mutually satisfactory compromises regarding audit findings with clients when there can be multiple interests and underlying concerns to be interpreted and dealt with. Obtaining the client's acceptance of the audit recommendations is essential to conclude an audit
  • Well-developed verbal and writing skills sufficient to prepare and communicate audit reports dealing with facts and concepts for presentations to client management and external auditors. Skill in clearly and concisely documenting and process mapping systems, processes and procedures is required
  • Well-developed self-planning skills sufficient to develop detailed audit plans according to general work plans
  • Creative skills sufficient to adapt to the requirements of an audit situation and select the most suitable approach while satisfying audit operating guidelines
  • Presentation skills sufficient to provide detailed explanation and interpretation of factual and conceptual information and ideas related to complex technical and conceptual issues
  • Working knowledge of word processing and spreadsheet software
148

Audit Manager Resume Examples & Samples

  • Developed working knowledge of a whole business processes, risks and controls. This knowledge includes operating policies, standards, practices, processes, and regulations pertaining to the audited operations. Comprehensive knowledge of the Bank’s operating policies, standards, practices, processes and regulations. Knowledge of CIBC'’ strategic business objectives and performance drivers
  • Well-developed influential skills sufficient to resolve situations when there can be distinct differences of opinion between the client and auditor concerning policy interpretation and course of action. There is a need to negotiate mutually satisfactory compromises regarding audit findings with each client, as client acceptance of audit recommendations is essential to the successful conclusion an audit
  • Well-developed verbal and writing skills sufficient to prepare and communicate audit reports dealing with facts and concepts for presentations to client management and external auditors. Skill in clearly and concisely documenting processes and procedures is required
  • Creative skills sufficient to adapt to the requirements of an audit situation, and select the most suitable approach while satisfying audit operating guidelines
  • Well-developed knowledge of changes in industry practice, regulations and information technology which may affect the control practices which are appropriate for CIBC; current developments in accounting and auditing standards and guidelines
149

Audit Manager Resume Examples & Samples

  • Apply a continuous risk monitoring approach to remain up to date with key developments and focus areas related to Operational and Reputational Risk framework implementation, embedding and operation within the Americas region (including US Legal Entity Program (LEP), Intermediate Holding Company (IHC) and Comprehensive Capital Analysis & Review (CCAR) specific deliverables). Provide an opinion, highlight concerns and factor local conclusions into Head of Audit, Operational Risk's risk assessment, Quarterly Business Review and audit planning
  • Act as the subject matter expert on Operational Risk & Reputational Risk framework matters within the Americas Internal Audit department, support local Head of Audit's assessment of the Operational Risk and Reputational Risk frameworks against their Risk Assessment Units and the subsequent planning and execution of their business / functional audits focused on Operational and Reputational Risk management
  • Establish and maintain effective working relationships with key stakeholders within the 2nd line (Operational & Reputational Risk functions) and 1st line (all other business divisions and ShS functions) in the Americas region. Represent the Americas Internal Audit department in various management forums as appropriate
  • Establish and maintain effective working relationships with internal stakeholders within Americas and globally (Chief Auditors, Heads of Audit, Audit Managers). Represent the Americas Internal Audit department in various internal management forums and communities of interest
  • Continually update awareness and understanding of the Operational Risk & Reputational Risk subject matter to maintain expertise. Participate in relevant local peer Bank and industry forums / discussions to enable benchmarking to best practices. Co-ordinate / facilitate ongoing Operational Risk / Reputational Risk awareness, education and training of Americas IAD team primarily through annual training sessions and a regional Community of Interest
  • Manage the local element of Operational / Reputational Risk audits, directing audit team members to ensure coverage of high risk areas in an efficient manner. Ensure effective planning, execution and clearance of audits and audit reports with senior management. Deliver high quality audit reports with value-added agreed actions
150

Audit Manager Resume Examples & Samples

  • Education - Undergraduate degree; MBA or CFA desirable or Financial designation (CA, CGA, CIA or equivalent)
  • Audit related designation such as CIA, CRMA or CFSA to be obtained within 24 months of joining IAS
  • Recommends the contents of audit reports (in particular ratings & issues)
  • Makes recommendations to the audit customer re control deficiencies
  • Follows up with Management for corrective action on significant deficiencies
  • Recommends the content of audit issues
  • Develops/ recommends policy/procedures
  • Supports other Internal Audit groups in execution of their audit plans
151

Audit Manager Resume Examples & Samples

  • Review and assess Basel regulatory compliance across Credit Risk Management to ensure all relevant Basel requirements are met
  • Maintaining a good understanding of subject matter relating to credit risk measurement and management, including review and assessment of credit risk regulatory compliance across the various jurisdictions and associated regulatory regimes in which the Bank operates
  • Participate in QA of self assessments covering policies and procedures framework for credit risk against regulatory provisions for: Capital Requirements Directive (CRD) IV , Basel III, CCAR and Alternative Net Capital (ANC) relating to counterparty credit risk
  • Manage the delivery of audit plan relating to credit risk management processes and credit risk measurement approaches to ensure the use of sound risk management controls and regulatory compliance
152

Audit Manager Resume Examples & Samples

  • Apply a continuous risk monitoring approach to remain up to date with key developments and focus areas related to Operational and Reputational Risk framework implementation, embedding and operation within the APAC region (including multiple regulator's current opinion / thinking). Provide an opinion, highlight concerns and factor local conclusions into Head of Audit, Operational Risk's risk assessment, Quarterly Business Review and audit planning
  • Act as the subject matter expert on Operational Risk & Reputational Risk framework matters within the APAC Internal Audit department, support local Head of Audit's assessment of the Operational Risk and Reputational Risk frameworks against their Risk Assessment Units and the subsequent planning and execution of their business / functional audits focussed on Operational and Reputational Risk management
  • Establish and maintain effective working relationships with key stakeholders within the 2nd line (Operational & Reputational Risk functions) and 1st line (all other business divisions and ShS functions) in the APAC region. Represent the APAC Internal Audit department in various management forums as appropriate
  • Establish and maintain effective working relationships with internal stakeholders within APAC and globally (Chief Auditors, Heads of Audit, Audit Managers). Represent the APAC Internal Audit department in various internal management forums and communities of interest
  • Continually update awareness and understanding of the Operational Risk & Reputational Risk subject matter to maintain expertise. Participate in relevant local peer Bank and industry forums / discussions to enable benchmarking to best practices. Co-ordinate / facilitate ongoing Operational Risk / Reputational Risk awareness, education and training of APAC IAD team primarily through annual training sessions and a regional Community of Interest
153

Audit Manager Resume Examples & Samples

  • 5+ years of experience in Business, Functional and People Management
  • Strong project management, organizational and reporting skills
  • Experience with preparing and monitoring the management information and reporting necessary to coordinate large projects with multiple work streams
154

Audit Manager Resume Examples & Samples

  • Ability to travel to serve clients – Anticipated travel in the 0-10% range (virtually all local)
  • Prior staff supervision and development experience
  • Minimum 5 years of recent audit experience in public accounting required
155

Audit Manager Resume Examples & Samples

  • A Master’s or PH.D degree in Mathematics, Statistics or Quantitative Finance is a prerequisite
  • Advanced understanding of quantitative techniques used in developing and validating Credit Risk models: PD, LGD and EAD
  • Computing development skills, particularly mathematical, statistical and database modeling tools would be a definite asset
  • Comprehensive knowledge of auditing practices, processes and standards would be an asset
  • Understanding of markets risk management modeling would be an asset
  • A strong level of awareness around emerging industry issues (e.g. Basel II and III)
  • Good ability of conflict-solving; and ability to collaboratively work with model owner/sponsor counterparts
156

Audit Manager Resume Examples & Samples

  • Develop and maintain productive relationships with audit clients/ management
  • Establish expectations of value/ services to be delivered for the client
  • Collaborate to plan engagement objectives. Develop and implement an audit strategy that complies with professional standards and appropriately addresses risk
  • Develop people – conducting timely reviews and providing feedback to team members, lead engagement team sessions, and participating in recruiting efforts
  • Participate in client pursuits and develop proposal content
  • A minimum of 5 years of related work experience or a graduate degree and 4 years of related work experience
  • A valid US Certified Public Accountant (CPA) license
  • Experience working with US GAAP
  • Prior experience auditing US public companies is desired
  • Approximately 3 years of recent experience with public accounting firm preferred
  • Prior audit experience with US public companies preferred
157

Audit Manager Resume Examples & Samples

  • Insurance experience, including statutory basis audits
  • 6+ years of audit experience
  • Bachelor's Degree in Accounting or higher
  • Property and casualty experience
158

Audit Manager Resume Examples & Samples

  • 6+ years of progressive audit experience in a public accounting firm and/or internal audit department
  • At least 2 years of experience with the title of manager and with actual employee management and related departmental responsibilities
  • Media, Entertainment or Technology industry experience
  • Experience with audit administration and GRC software including TeamMate, Archer GRC, etc
159

Audit Manager Resume Examples & Samples

  • Maintain and enhance professional relationships with clients, stakeholders
  • Either act as an individual contributor on audits or as the Auditor in Charge (AIC), managing the planning, execution and reporting of Technology Infrastructure Audit engagements. This includes client relationship responsibilities
  • CISSP or CISA certifications would be an asset
  • In-depth knowledge of PKI and Cryptography
  • In-depth knowledge of Windows, UNIX and Networking would be an asset
  • Participate or manage the audit execution of technology related audits within the portfolio and NIAP’s. Ensure the audit engagements maintain thorough and high quality results within defined audit plans and budgets. Provide leading edge audit services, and ensure identification of emerging risks
  • Where acting as an AIC, manage audit teams to deliver quality audit reports to IA Executives within the defined time period. Review and finalize audit reports prior to signoff by IACS Executives such that management fully understands the nature and extent of the risks and control gaps and is supportive of the need for action plans. Raise or escalate difficult issues appropriately that need to be addressed by higher-level management
  • Maintain professional and effective client relationships by promoting mutual understandings of expectations, audit process, risks, controls, issues and trust. Communicate effectively to people at all levels of the organization
  • Assist audit teams to meet the requirements from external auditors and regulators in Canada and other countries
  • Maintain awareness of IT infrastructure trends, technology, and regulations that could impact operations
  • Ability to anticipate technology and security requirements and identify sound controls for systems, processes and organizations. In-depth knowledge technical and security controls on projects and experience in the following areas: compliance, infrastructure security skills including SIEM, Log Management, Data Loss Prevention, Endpoint Security, Network and Security Monitoring
160

Audit Manager Resume Examples & Samples

  • A minimum of 5 years of related work experience
  • IFRS and Romanian GAAP knowledge
  • Advanced English written and verbal communications skills
161

Audit Manager Resume Examples & Samples

  • Perform internal audit procedures and ensure compliance with policies and controls
  • Identify both operational and financial risk areas
  • Occasional travelling to PRC is required
162

Audit Manager Resume Examples & Samples

  • Participate in audit execution of standalone or integrated audits as a core team member or project manager
  • Bachelor's degree with 8+ years industry experience (with at least 5 years in audit, internal control/risk management or regulatory compliance environment)
  • Working knowledge of audit principles, practices and methodologies
  • Specifically seeking experience in operational and/or compliance related functions within Mortgage and Consumer Banking
  • Ability to travel 10%
163

Audit Manager Resume Examples & Samples

  • 7+ years of previous Audit experience (Financial and Operational)
  • Experience with Employee Benefits plans and Commercial Clients
  • Previous experience with Budgeting / Forecasting / Planning, GAAP, and General Ledger
164

Audit Manager Resume Examples & Samples

  • A challenging position for an experienced audit manager with a responsibility to conduct audits
  • Monitor the progress and resolution of outstanding audit observations and agreed mitigating actions
  • Demonstrate the ability to proactively manage the department's relationship with key business stakeholders through maintaining lines of communication, delivering on communicated timeframes and fostering on-going interaction with the business
  • Coordinate coverage with the external auditors, ensuring that each party is not only aware of the other's work but also well briefed on areas of concern
  • Together with the relevant Head of Audit develop and execute a program of continuous risk and performance monitoring
  • Participation in the Bank’s related working groups of key initiatives
165

Audit Manager Resume Examples & Samples

  • Responsibility for a varied and diverse portfolio of clients
  • Manage client relationships and provide general business advice to clients
  • Responsible for audit scheduling, planning, staffing and structure
  • Reviewing audit work papers and finalising financial statements
  • Responsible for ensuring timely completion of projects and high level of client service
  • Liaising with directors and partners
  • Assisting in managing a group of seniors and trainees
  • Monitoring the development of seniors and trainees and participation in the delivery of training courses to staff
  • General administration, including working capital management
166

Audit Manager Resume Examples & Samples

  • Oversee the execution of tests for data validation and control framework for the FED Stress test report submissions
  • Prior CCAR/DFAST or regulatory reporting experience preferred
  • Strong team work and communication skills, commitment to meeting deadlines
  • Excellent workpaper and report writing skills
  • Strong analytical skills and practical application in complex scenarios
167

Audit Manager Resume Examples & Samples

  • Prior Audit or SOX experience
  • Knowledge of SAP, Microsoft Visio, and Internal Controls
  • Cross-functional communication and negotiation
168

Audit Manager Resume Examples & Samples

  • 5-14 years of consumer credit experience
  • Solid business understanding of credit products, mortgage and municipal security products
  • Exceptional auditing skills
169

Audit Manager Resume Examples & Samples

  • 5+ years industry experience (specifically audit, internal control/risk management)
  • Positive attitude and strong work ethic
  • CIA, CRCM or other relevant certifications preferred
170

Audit Manager Resume Examples & Samples

  • Set clear quality expectations based on SAS standards and deliver and explain reasons for review notes
  • Support and actively participate as needed in internal audit change initiatives
  • Apply relationship management skills to build business relationships with audit clients
  • Bachelor's degree with 8+ years industry experience (with at least 5 years in audit, internal control, risk management or similar)
  • CPA, CIA, or other relevant certifications
  • Ability to travel 20-25%
171

Audit Manager Resume Examples & Samples

  • Serve as auditor-in-charge for high-risk, complex audit assignments by
  • Develop and maintain communications with management in areas of specialization to ensure effective working relationships. Assist management in establishing internal controls by consulting in the implementation of new systems, processes and changes to existing systems, standards and procedures. Assist other departments in their periodic compliance reviews
  • Six years of banking, auditing or other relevant experience, preferably in a role similar to Senior Internal Auditor
  • Demonstrated leadership ability and decision making skills
  • Strong understanding of risk management and process concepts
  • Strong analytical, facilitation, interpersonal and decision-making skills
172

Audit Manager Resume Examples & Samples

  • Industry Specific experience with local and state governments is required. Experience with non-profits is desired
  • Proven ability to lead and develop Audit Staff and Seniors
  • Integrity, dependability, and trustworthiness
  • Track record of ability to multi-task and complete assignments within required time constraints and deadlines
  • Minimum of 5 years experience in public accounting
  • Proficiency with personal computers including spreadsheet software programs, general ledger packages, computerized audit applications, and web search capabilities. Experience Engagement is a plus
173

Audit Manager Resume Examples & Samples

  • 8+ years of experience in a related role with experience in business, functional and people management,
  • Specific subject matter expertise regarding consumer regulatory compliance control disciplines
  • Solid business understanding of Mortgage, Credit Cards, Retail and Unsecured Lending products and services businesses
  • CPA, ACA, CFA, CIA, CISA, CRCM or similar
174

Audit Manager Resume Examples & Samples

  • Produce high quality complete client files in accordance with the firm's compliance requirements
  • Manage tax compliance issues related to client assignments
  • Assist in the mentoring of staff and staff development appraisal meetings
  • Manage the portfolio WIP, billing procedures and debtor control
  • Be aware of current legislation and changes, proactively relating them, where necessary, to client assignments
175

Audit Manager Resume Examples & Samples

  • Managing a varied portfolio of audit clients
  • Report directly into Senior Managers, Directors and Partners whilst also have team members report directly to you
  • Providing training to aid in the development of the junior team in your team
176

Audit Manager Resume Examples & Samples

  • Minimum 10 years (AVP level at a minimum 6 yrs) experience in audit - at least 3-4 yrs experience working in a bank or worked as an external auditor and has banks as clients
  • CISA, CISSP, CISM certification
  • (IT Infrastructure Audit) - Experience is any infrastructure domain - servers, network, data centre, OS, middleware, messaging, security
  • (Data Analytics Audit) - Some experience in data analysis within audit. Must have strong experience in banking domain/process
  • (Data Analytics Audit) - Experience in using any analytics tools such as SAS, Qlikview, Tableau, SQL, Excel. Must have hands-on experience in using ACL
177

Audit Manager Resume Examples & Samples

  • 5+years of audit experience
  • Bachelor’s Degree in Finance, Accounting or equivalent
  • CIA, CISA, CPA certifications
178

Audit Manager Resume Examples & Samples

  • Plan, execute and manage audit assignments of Wealth Management business including identifying controls, designing audit steps and performing their testing. These audits will typically involve several business processes or business lines operating at a single location or multiple locations
  • Advise Audit management and clients of best practices and promote compliance with CIBC policies and procedures, accounting standards, control policies and relevant regulations and legislation
  • Update status and follow up on deficiencies arising from audits managed. Identify deficiencies that require Audit Executive attention and escalation where agreed upon action plans are not met
  • Keep abreast of process, product and structural changes in CIBC; changes in industry practice, regulations and information technology which may affect the control practices which are appropriate for CIBC; current developments in auditing standards and guidelines
179

Audit Manager Resume Examples & Samples

  • Manage the Audit Department
  • Manage client engagements from start to finish (manage budget, plan, execute, direct staff, and complete financial statements and audits)
  • Day-to-day execution of internal audit engagements and projects in line with firm risk management practices
  • Running multiple client audit and due diligence engagement
  • BS/BA in accounting or related field
  • 4-6 years of Audit experience
  • Ability to be “hands on” in both completing and reviewing audits while providing guidance to the team
180

Audit Manager Resume Examples & Samples

  • Creates the audit procedures and steps including internal analysis of internal records, examining and verifying accounts, procedures, and processes
  • Assists in the preparation and maintenance of the Internal Audit Policy and Procedures Manual
  • Assists in developing, testing, and obtaining Executive management approval for the Operations reports in accordance with Takeover Requirements
  • Serves as principal officer with responsibility for ensuring Xerox adherence to the FI Contract’s Internal Audit provisions
  • Oversees all auditing functions and controls
  • Ensures the Contractor’s adherence to the FI Contract’s Internal Audit provisions
  • Conducts comprehensive audits to verify contract compliance
  • Reviews and appraises the soundness, adequacy, and application of accounting, financial, operating, data processing, and administrative controls
  • Promotes effective controls and recommending operating improvements
  • Ascertains the extent of compliance with established company policies, procedures, plans, and appropriate government regulations, and recommends changes and corrections
  • Plans, coordinates, and conducts financial audits in accordance with generally accepted industry standards
  • Provides liaison support to state, federal, third-party, and Xerox auditors
  • Conducts Department-requested reviews
  • Minimum two years previous experience in internal audit functions working for a government or private sector health care payer or two years MMIS experience in a large state ensuring and maintaining that various medical programs served by providers are properly administered and are in compliance with the laws, rules, and regulations governing the respective programs
  • Knowledgeable of claims processing, third party liability, quality management, electronic data processing, MMIS regulations, financials, and compliance
  • Excellent verbal, written and presentation communications skills
  • Bachelor's degree in Business Administration/Management or related field. Additional relevant management experience may substitute for the degree on a year for year basis
181

Audit Manager Resume Examples & Samples

  • Model review, independent validation and re-performances
  • Review of model validation documentation
  • Assessment of logic designed to monitor model behaviour for robustness and completeness
  • Independent validation of model input data for availability, quality and completeness and assessing testing frameworks
  • Review of process relating to model parameter choices, either model-driven or trader marked
  • Quantitative support for other internal audit teams including independent logic validation of quantitative approaches identified during audit work, development of routines for independent data sourcing from trading systems for audit work and risk report generation
  • Investigation work relating to potential product valuation issues and quantitative process issues
  • Validation of non-model based valuation approaches including analysis of appropriateness of trader marks of infrequently traded products and model parameters
  • Experience in the implementation of a risk-based audit methodology using the COSO Framework preferred
  • Strong interpersonal and communication skills required for the candidate to interact with senior members in the Corporate Audit Department and throughout The Bank and to build consensus on identified control deficiencies and appropriate remedial actions
  • Experience in people management preferred
  • Minimal travel
182

Audit Manager Resume Examples & Samples

  • 5+ years of experience providing Attest Services in a professional services firm
  • Demonstrated technical experience in the Nonprofit industry
  • Master's or Advanced Degree in a related feild
183

Audit Manager Resume Examples & Samples

  • Provide subject matter expertise on Capital Adequacy Principles and Dodd-Frank Stress Testing regulatory requirements, project management of audits and strong communication with Business and Audit management
  • Manage teams responsible for audit strategy by defining audit scope, audit program & audit test procedures in CCAR
  • Coaches & trains associates within team
  • Assess current state, desired state and build the organization including structure, roles, processes and routines
  • Anticipate issues and exercise critical thinking and judgment to effectively influence business management and peers and act as a catalyst. Provide strong leadership to the Audit team. Recruit, hire, retain and develop top talent within the function. Coach and train associates within team and across audit
  • Influences business partners to balance their business strategies with appropriate risk management controls from a business perspective
  • Interacts with regulatory agencies, external consultants and others in coordination with Senior Audit Management
  • Define, document, implement, and track departmental operating procedures and performance metrics ensuring the appropriate coordination, integration and reporting of audit activities globally
  • Must have a minimum of 7-10 years experience in Audit, Risk, Compliance, Finance, and/or Operations
  • Must have experience in Stress Testing/CCAR related processes
  • Familiarity with capital adequacy components and regulatory requirements; working knowledge of treasury and liquidity risk, and financial instruments/structures
  • Demonstrated management experience; demonstrated ability to lead and coach teams
  • Ability to navigate in a highly complex or matrixed organization and operate effectively in a changing environment
  • Strong organizational, oral and written communication skills
  • Analytical Abilities/Financial Acumen/Problem Solving
  • Ability to successfully communicate and influence management on all levels in regards to risk reduction in both strategic and tactical initiatives
  • Experience in evaluating regulatory requirements and guidance to understand impacts, and ensure audit programs and risk routines are adjusted accordingly
  • BS/BA Degree Required
  • Prior testing experience with emphasis on regulatory requirements
  • Strong Business Acumen
  • Green or Black Belt certification
  • Prior Project/Program Management experience- managing program and body of work
  • Audit automation or computer automated testing experience
184

Audit Manager Resume Examples & Samples

  • Experience in the third line with a substantial exposure to Internal Audit of counterparty credit risk, or risk review focused on Credit Risk
  • Understanding of US Banking rules and regulations, with a focus on processes and controls, a knowledge of global credit regulations would be a positive
  • Knowledge of credit risk management gained through experience as a credit risk analyst/ approver or working in risk review function at a major investment/ commercial bank
  • Understanding of Risk Analysis and Ratings assignment processes and rating models and the associated control requirements
  • Advanced understanding of Credit Risk measurement requirements and methodologies and approaches
  • Understanding of Credit Risk mitigation approaches and rules
  • Comprehensive understanding and knowledge of Credit Risk regulation for key jurisdictions
  • Excellent analytical and quantitative skills
  • Highl organized
185

Audit Manager Resume Examples & Samples

  • 2-4 years of public accounting audit experience, preferably working with Financial Institutions
  • Current CPA license preferred, must have at least 2 sections completed
  • Bachelor's or Master's degree in accounting required
  • Proficient in MS Office Suite- Word, Excel & PowerPoint
186

Audit Manager Resume Examples & Samples

  • Regulatory knowledge impacting banking industry (OCC, FRB, CFPB, etc.)
  • 5 - 7 years related audit, consumer banking, accounting, compliance or risk management experience at financial or advisory institution
  • Practical experience in compliance, enterprise risk, operational risk, audit, or regulatory examinations
187

Audit Manager Resume Examples & Samples

  • 8+ years of related Public Accounting experience within a Financial Services industry
  • Internal Audit background with large complex Financial Institutions
  • Experience overseeing the full Credit lifecycle of analysis, underwriting, approval, monitoring/reporting, Accounting and Compliance
  • Strong understanding of Basel III/Advanced Approaches, including Advanced Internal Ratings Based A-IRB approach
  • Ability to manage (in-charge) and execute the full life cycle of an audit, from planning to audit close
188

Audit Manager Resume Examples & Samples

  • May contribute to completion of the annual RAP and Annual Audit Plan for assigned area(s)
  • Ensure resources are effectively utilized to achieve target utilization rates
  • Accountable for promoting recognition in the team and division
  • Familiar with the use and benefit of Computer Assisted Audit Techniques (CAATs) in analyzing large volumes of data to search for anomalies. Have data analysis skills in Microsoft Excel or Access
  • 4 Year Degree - Advanced degree preferred
  • Project Audit Experience a plus
  • Advanced critical thinking
  • Risked based decision making, problem solving and conflict resolution skills
  • Advanced analytical skills
  • Escalate issues and delays quickly
  • Advanced awareness of laws and regulations governing the banking industry that impact assigned area
  • Advanced functional audit knowledge and skills
  • Relevant certification required
  • Adapt, promote and champion change
  • Lead and manage small to medium sized teams
  • Assume ownership and promote accountability
  • Banking experience preferred
  • Advanced skills in building and maintaining relationships within, and external to, audit
  • Consult assigned lines of business (trusted advisor) for audit
  • Deliver CSI and follow up as appropriate
  • Manage a team of professional resources, and actively develop, recruit, train, coach and conduct performance assessments for team members
189

Audit Manager Resume Examples & Samples

  • Participate or Oversee the completion of the overall audit process, including execution of the audit plans, development of appropriate audit programs, on-going client communications, and audit report writing. Actively manage, schedule and plan the audit work
  • Provide regular performance and development feedback to staff
  • Work effectively with integrated audit teams that may include Credit, IT and/or Market Risk audit specialist
190

Audit Manager Resume Examples & Samples

  • 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: Corporate or Investment Banking, technology management; project/program management; regulatory compliance or supplier management
  • Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems
  • Expected Travel between 30-35%
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Corporate Lending, Loan Syndication, Equity / Debt Underwriting and Structured Finance products, especially those associated with the Corporate and Investment Banking and Capital Markets Origination business
191

Audit Manager Resume Examples & Samples

  • Establish and develop effective working relationships with Management of business units for which incumbent has been assigned risk assessment responsibility
  • Develop a good understanding of business strategy, plans, products, processes performance, risks and issues, and communication of these to Audit Management via risk-based assessments
  • Implement the strategic audit plan by leading, performing or supporting, as appropriate, the planning, fieldwork, and reporting of internal audit engagements to deliver agreed assurance objectives to established standards and timelines
192

Audit Manager Resume Examples & Samples

  • Responsible for SOX program and risk assessment of company's financial statements
  • Prepares internal control audit schedules and conducts internal audit of the financial system policies and procedures for integrity and reliability of information
  • Evaluates internal control systems and processes for compliance with policies, procedures, laws and regulations
  • Reports SOX audit results to management and makes recommendations for implementing controls where appropriate
  • Trains staff in auditing policies, procedures, theories and reporting requirements
  • Acts as liaison between the company and external auditors
  • BS/BA degree in accounting and advanced degree preferred
  • 7 years of relevant experience
  • Strong verbal and written communication skills and ability to communicate virtually, to multiple functions, cultures and to different levels of management
  • Generates new and innovative solutions to complex problems, and proposes improvements to processes
  • Ability to multi-task and manage multiple priorities and projects simultaneously
  • CPA designation preferred
193

Audit Manager Resume Examples & Samples

  • Understands the roles of teams across RBC and how teams need to work together by managing diverse opinions constructively to make the most of a collaborative experience
  • Manages the inherent tension between collaboration and individual accountability
  • Debates issues with passion and builds mutual support with stakeholders across RBC, leveraging relationships to achieve objectives quickly
  • Works toward resolving differing views in a constructive manner by applying appropriate escalation practices
  • Gains the position of trusted advisor with colleagues and business partners by providing
  • Undergraduate degree in relevant discipline from a recognized tertiary institution
  • MBA or post graduate degree in finance or related discipline is desirable, OR
  • Financial designation (CA; ACCA; CIA) or equivalent professional designation
  • In depth knowledge of Banking products and services
  • Ability to quickly understand the risks associated with new services and/or routines, products and to formulate practical audit procedures to adequately monitor new risk
  • Understanding of management principles that enable recognition and evaluation of materiality and significant deviations from good management practices
  • Knowledge of auditing standards, business processes and regulatory requirements
  • Understanding of regulatory environment of Banking
  • Working knowledge of the RBC Financial Caribbean Policies/Procedures and good understanding of RBC Group policies and procedures
  • Working knowledge of Internal Audit Services practices, policies, procedures and systems
  • Minimum 5 years Banking /Audit /GRM experience
194

Audit Manager Resume Examples & Samples

  • 5+ years of Market Risk audit experience
  • Senior-level experience in a senior role
  • Solid business understanding of Market Risk products, especially those associated with Market Risk
195

Audit Manager Resume Examples & Samples

  • Responsible for drafting reports and memorandums addressed to group Auditors abroad
  • Supervise one or two junior professionals and report to partners of the firm
  • Participate in special assignments (consulting, financial due diligence, internal audit, etc.) and play a role in certain internal initiatives (marketing, compliance, training, etc. ) at local and sometimes regional level
  • Think strategically on client needs by understanding their business and key risks
  • Maintain high technical and professional standard
  • 6-10 years experience in audit at a large accounting firm
  • JCPA / USCPA
  • Prior experience in financial industry
  • Other relevant certification ACA / CTA / CFE / CIA etc
  • Experience dealing with overseas
196

Audit Manager Resume Examples & Samples

  • Identifying client needs and new business opportunities within client organisations
  • Project management - take responsibility for managing a large and varied portfolio of clients
  • Supervise and train junior members of the team to ensure that Grant Thornton's standards are maintained throughout the entire audit process
  • Prepare and present business tenders in order to develop and grow your client portfolio
  • Working capital management - manage work in progress and billings
  • Client fee negotiation
  • Take full responsibility for managing and reviewing the work of the audit team; and
  • Cross-business unit liaison with other teams such as tax, advisory etc
  • ACA/ACCA qualified
  • Minimum 5+ years' experience
  • Strong technical skills (Irish GAAP and auditing standards. IFRS experience an advantage but not essential)
  • Electronic auditing experience (preferable but not essential)
  • Ability to motivate and manage staff under tight deadlines
  • Ability to make professional judgements based on findings
  • Portfolio management experience
  • Strong attention to detail and analytical assessment
  • Experience working as part of a team supporting others
  • Be commercially aware
  • Experience gained in a Big 4 accounting firm would be advantageous; and
  • Candidates currently working in Industry, with the necessary experience, and who would like to return to practice will be considered for this role
197

Audit Manager Resume Examples & Samples

  • Adherence to/ implementation of Corporate Audit methodology throughout the execution of an audit engagement
  • Meet and exceed client value expectations and be recognized as knowledge experts in risk assessment, internal control and audit as it relates to the Capital Markets/Investment Banking Group/Corporate Treasury/Market Risk Management
  • Candidate will have 4-7 years’ experience in audit, with a formal accounting designation (CPA, CA, CMA, CGA) and/or relevant business experience within Capital Markets (front, middle or back offices)
  • Strong understanding of capital markets products (Equity, Fixed Income, Derivatives, Options, Money Market, and Foreign Exchange) would be considered an asset
198

Audit Manager Resume Examples & Samples

  • Meet operational budgets - ‘no surprises’ re overruns
  • Ensure productive use of resources (self and others)
  • Support the Team Leader throughout the project to manage the expectations of the business, and maintain an effective working relationship with the key business contacts
  • Audit messages and recommendations are clear, focussed on risk and root cause
  • Contribute to the achievement of GIA service standards
  • Conduct research and fieldwork on components of an assigned work area within a business, working towards a clear understanding of the business drivers and risk profiles of the business
  • Critically analyse the appropriate use and / or effectiveness of internal controls within that area
  • Create clear and concise working documents, addressing key risk areas with appropriately drawn conclusions, and demonstrating clear traceability of findings
  • Complete small compliance type audits or sub team lead components of medium to large projects under the supervision of the Team Leader or Senior Audit Director or Specialist Senior Audit Manager. Lead internal audits or initiatives of low complexity as required
  • Ensure senior members of the team are aware of progress as required and that, where identified, broader business issues that impact areas outside the assigned work are appropriately escalated
  • Act as an informal mentor to junior members of the GIA team and new joiners
  • Develop, agree and implement annual development plan which develops skills and experience. Provide feedback regarding the performance of Team Leaders, and reflect on own performance, by completing assignment appraisals as required at the conclusion of each audit
  • Ensure effective teamwork approach at all times
  • Tertiary qualified, ideally having completed, or working towards completion of Professional (CPA/CA / CIA) or Post Graduate qualifications
  • Good verbal and written communication skills, as well as good listening and interpreting skills
  • Develops good relationships with stakeholders on audits. Communicates sometimes difficult messages with courage and overcomes resistance to audit work and recommendations
199

Audit Manager Resume Examples & Samples

  • Credit reporting
  • Credit committee presentations and/or reporting
  • Credit monitoring
  • Business analysis
  • Credit risk management
  • Credit origination
  • Credit underwriting
  • Credit regulations
  • Advanced data analysis techniques: regression analysis, statistical analysis, hypothesis testing, distribution analysis, correlation, variance, multi-variate analysis, Monte Carlo simulation, etc
  • Demonstrated ability to master an understanding of credit-related business processes and integrate necessary data analysis technology solutions to assess effectiveness of controls within those processes
  • Demonstrated ability to provide insights and observations on the commercial credit portfolio in relation to risk, liquidity, and stability
  • Ability to provide and enhance credit risk reporting provided to executive management
  • Advanced proficiency in MS Excel, MS Access, Sharepoint
  • Exposure to one or more of the major BI Reporting tools such as Business Objects
  • Exposure to and working knowledge of one or more of the major database platforms: IBM Neteeza, Oracle, DB2, etc
  • Experience building and/or supporting continuous audit programs
  • Expert analytical and system thinking skills
200

Audit Manager Resume Examples & Samples

  • Assists with the development and management of the Audit Plan and Schedule
  • Manages/leads audit teams in the performance of financial and operational audits and special projects along with resolving complex business issues
  • Develops audit programs based upon assessed risks, internal controls, bank policy/procedures and applicable legal and regulatory requirements
  • Prepares formal reports of audit results
  • Conducts risk assessment activities including scope surveys, risk assessment matrices and flowcharts of key controls
  • Manages outside consultants and assist external audit providers in completing audit projects
  • Bachelor’s Degree, preferably accounting, finance or other business related discipline
  • Minimum of eight years internal audit experience including at least four years of financial institution experience
  • CPA, CISA, CIA, CFSA, CFE or Master’s degree preferred
  • Excellent knowledge of generally accepted accounting standards, internal audit principles and report writing techniques
  • Proficient in MS Office Suite, and electronic workpapers
  • Strong oral and written communication skills in order to work well with all levels of the organization
  • Multi-task and prioritize projects
201

Audit Manager Resume Examples & Samples

  • Assist in performing company-wide annual risk assessments and preparation and execution of the annual audit plans
  • Will travel to locations throughout the U.S., Mexico and Canada
  • Performing project management duties including planning, scheduling, coordinating, reviewing and reporting of audit results
  • Manage assignments related to operational auditing, financial auditing, and SOX compliance
  • Maintain Corporate Audit independence and objectivity in all assignments
  • Participate in special assignments
  • Ensure that recommendations reflect an understanding of the business and are clearly presented
  • Minimum of seven years auditing and/or accounting experience with a public accounting firm or Fortune 500 Company
  • Minimum of three years SOX and/or risk assessment experience
  • Prefer a public combo
202

Audit Manager Resume Examples & Samples

  • Plan and implement successful audits by
  • Assessing risk factors, key controls activities, and other pertinent information
  • Identifying timelines and managing resource allocations to meet requirements and insure timeliness, and
  • Supervising all phases of audit projects including audit team, planning, field work, reporting and other project communication
  • Coordinate and drive the audit process utilizing innovative and continuous improvement techniques
  • Perform portions of audits and document results
  • Manage certain administrative functions such as development and maintenance of the Audit website; customer service surveys; and audit performance evaluations
  • Assist in the development and mentoring of auditors by sharing information and knowledge among the Audit group, and instructing/guiding as appropriate
  • Ensure compliance with audit department standards and guidelines for each assigned audit
  • Remain current and increase knowledge in the areas of auditing, accounting, business, company products and company information through self-study and/or continuing education efforts
  • 3-5+ years of demonstrated work experience in related field
  • A BS/BA degree in related field
  • Strong knowledge of Generally Accepted Accounting Principles (GAAP) and Generally Accepted Auditing Standards (GAAS)
  • Strong knowledge of operational and compliance auditing
  • Advanced level of PC skills with office applications (spreadsheet, database and word processing programs)
  • Demonstrated leadership and supervisory skills
  • Ability to travel domestically and internationally for 2-3 weeks monthly in periods up to 30% of the year
  • Willing to relocate to Dublin, Ireland
203

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 provides value to customers
  • Provides input into the annual audit plan, including risk rating and audit entity definition
  • 5 years of experience
  • Degree focused on Finance/Accounting or related
  • Experience and/or solid understanding of Asset Management processes
204

Audit Manager Resume Examples & Samples

  • Responsible for planning andcarrying out risk assessment processes for audits
  • Manage key client relationships and devleoping the client portfolio
  • Develop techncial expertise - both functional and industry
205

Audit Manager Resume Examples & Samples

  • 5+ years of related audit experience
  • Proficiency with computer platforms and applications, particularly Excel
  • Prior experience in Financial Services
  • Professional certification (CPA, CIA, CA)
206

Audit Manager Resume Examples & Samples

  • Assist in managing, developing and coaching professional staff
  • Adequately identify audit risks and problems through review to ensure audit engagements are completed with defendable files and documentation
  • Actively develop referral sources
  • Strong organizational and communication skills, both written and verbal
  • Excellent client relationship skills, time management and project management skills
  • Minimum 5 years of audit experience in public accounting
  • Bachelor’s or master’s degree in accounting, finance or related field
  • Current CPA designation
207

Audit Manager Resume Examples & Samples

  • Assist in updating and provide input to Corporate Audit methodology to ensure compliance with IIA standards and increasing industry and regulatory standards
  • Assist with the consistent implementation of Corporate Audit methodology across the division
  • Continually work with the Director of Methodology to simplify methodology
  • Ensure the workflow tools (PAWS and MetricStream) embed current methodology and reporting capabilities
  • Provide support to the Professional Practice Centre with regards to financial management of Corporate Audit including plan, reforecast and performance monitor assistance
  • Provide support on various projects undertaken within the division to drive efficiency and to deliver a greater customer experience
  • Operational Flow
  • Demonstrated strong critical thinking and ability to clarify/simplify complex concepts
  • Highly curious and creative
  • Acts independently and decisively within the scope of authority
  • Able to focus on both short and long term goals, at the tactical level
  • Good interpersonal and relationship management/building skills (collaboration, respect, influencing, conflict resolution, managing complex and sensitive issues, understanding dynamics)
  • Highly analytical skillset
  • Process improvement/re-engineering
  • Change management
  • Strong client service delivery
  • Excellent Team player
208

Audit Manager Resume Examples & Samples

  • Internal Audit is a global organization of over 1500 professionals covering Citi's global businesses and service to clients and customers in over 180 countries
  • 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 Investment Banking, technology management; project/program management; regulatory compliance or supplier management
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues Analyses reporting findings
209

Audit Manager Resume Examples & Samples

  • Plans , performs moderately complex audits related to Markets and other products/functions in accordance with corporate methodologies, professional standards and local regulations, including drafting of audit reports, presenting issues to the business and discussing practical solutions
  • In his/her capacity as deputy HoA, support the HoA in making and delivering the audit plan, increasing the quality of the audit and reporting processes and ensuring the adequate audit coverage. Also works with the Regulators, External Auditors, Audit Committee and other control functions and Senior Management, on an assignment basis, in improving the risk and control environment and ensuring adherence to IA standards
  • In his/her capacity as deputy HoA, ensure that MIs of IA Turkey is prepared accurately; Audit Committee secretariat is done in accordance with the local regulations and group standards
  • Support the HoA in making and delivering the audit plan, increasing the quality of the audit and reporting processes, ensuring the adequate audit coverage
  • Maintain an appropriate, pro-active, constructive, and solutions-driven relationship with key stakeholders. Support the Chairman of the Board and the Audit Committee in the fulfilment of their responsibilities and in respect of governance, risk management and internal control
  • Support the HoA in team management, providing support , supervision and oversight to the other team members, when and if needed
  • Support the HoA in ensuring that IA Turkey is staffed adequately. Arrange the first interviews with the candidates, if needed. Also ensure that new team members are on-boarded smoothly, through his/her coaching and supervision
  • Deputise the HoA during his/her absence and when needed
  • Keeps abreast of new laws, rules, products, technologies and applications
  • Execute and oversights investigations in Citibank Turkey as directed by the Head of Audit
  • At least 7 years of diversified experience in audit
  • Proficient level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables
  • Specific subject matter expertise and a solid business understanding of Markets; or having a potential to build sufficient level of expertise in this area rapidly
  • Proficient in risk and control analysis and audit concepts for a number of products and specialized areas and will be skilled at analyzing root causes of problems and anticipating 'horizon' issues
  • Having strong team management and problem solving skills and track record in working within a matrix organization,
210

Audit Manager Resume Examples & Samples

  • Undergraduate Business degree or equivalent
  • 7-10 years of relevant experience that spans retail lending and business purpose lending to companies with annual revenues under $25 million, or credit risk management covering those lending segments
  • Working knowledge of retail lending in one or more of the following disciplines: residential mortgages, home equity, indirect auto, consumer credit cards, or business credit cards
  • Working knowledge of business purpose lending to companies with annual revenues under $25 million
  • Specific knowledge of all phases of retail lending and business purpose lending covering effective credit administration, policies and procedures and analytical practices, and problem credit identification and management
  • Good knowledge of internal controls and risk assessment
  • Solid knowledge of US Banking Regulations
211

Audit Manager Resume Examples & Samples

  • Strong relationship management skills
  • Required to perform a detailed scoping exercise to determine the parameters of an audit project, (i.e. what will be included or excluded, who the key players are, and what the value chain is) in order to provide a thorough analysis of business processes/systems/transactions and the associated risks and controls in place
  • Required to gain buy-in from the Chief Audit Officer that the scope is adequate and will meet the audit objectives – and ensure the Chief Audit Officer is updated on the progress of the project at all times
  • Pro-actively and effectively manage any disconnect in opinions that might arise between key parties during the audit
  • Responsible for allocating work streams from the scoping document to the audit team, monitoring their progress against plan and ensuring they meet their performance targets
212

Audit Manager Resume Examples & Samples

  • 5+ years of Audit experience with a Technical proficiency in Certified Financial Statement Audits and Reviews
  • Significant Nonprofit experience with A-133
  • Solid client relationship skills
213

Audit Manager Resume Examples & Samples

  • Manage assurance engagements by defining the audit strategy in consultation with the senior manager/partner, and execute it in compliance with EY's policies and protocols. When required, you'll personally execute complex audit procedures and lead teams or parts of teams on engagements, depending on the size of the engagement
  • Understand the audit client's industry and recognize key performance drivers, business trends, and emerging technical and industry developments. Stay informed of general business/economic developments and their impact to the audit client
  • Must have a Bachelor's degree in Accounting, Finance, or a related field, obtained CPA Singapore qualification
  • At least 5 years of related work experience
214

Audit Manager Resume Examples & Samples

  • Tertiary qualifications ideally having completed or working towards completion of Professional (CISA/CISM/CIA / CPA/CA), or Post Graduate qualifications
  • Preferably with experience in designing technology audit fieldwork, executing fieldwork to high quality standards, and drafting and communicating key audit messages and recommendations effectively
  • Work experience in delivering a risk internal audit methodology, or similar experience, such as external audit or risk. Preferably with experience in designing fieldwork, executing fieldwork to high quality standards and drafting and communicating key audit messages and recommendations effectively
  • Constantly delivers on assigned goals and strives to better these goals despite obstacles, set backs or uncertainty
215

Audit Manager Resume Examples & Samples

  • Actively assist in the design and implementation Tactical and Operational Procedures (TOPS) to establish the GAAM infrastructure
  • Ownership in documenting the Audit Universe, using the BuD (Business understanding Document) and/or other approved and aligned with GAAM approaches
  • Determine and discuss the annual Risk Based audit plan for AAM, be prepared to be challenged over the plan by the CAE, share the plan with colleagues. Ensure that proper, systemic and accessible documentation is maintained of all audit plans
  • Apply the Group Methodology for the execution of planned and/or ad hoc audits
  • Execute audit planning, audit performance, reporting and follow-up in own area of attention, including new projects under development
  • Execute audits by gathering, documenting and analyzing information and evidence on the existence of risks and the effectiveness of control measures
  • Initiate, review and approve the work of auditors through all audit phases. May lead audit teams (if applicable)
  • Develop and maintain audit programs, risk control matrices and other documentation
  • Monitor new projects and advise project management from a risk management perspective about project management and quality of project result
  • Execute special projects (e.g. fraud investigations, due diligence, advisory, etc.) and audits abroad
  • Contribute to continuous development of the audit department and the audit function in general
  • A minimum of 10 years of internal audit experience; preferably in an internationally operating Internal Audit Department in Banking, Asset Management, Private Wealth Management or similar financial (banking type) of industry
  • In-depth knowledge (both theoretical and practicable) of: auditing, process control, management/strategic control, risk management, organization, change management and information technology
  • Experience working across a variety of cultures, people and styles. Having a “global mindset”
  • Knowledge of Regulatory and Compliance developments in the industry preferred
  • Knowledge of (basic) IT controls (integrated auditing) relevant for the industry preferred
  • Post graduate degree preferable. Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA) or related certifications preferred
  • Travel 15-25%
216

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 Basel regulations and Citigroup and Citibank policies
  • Develops subject matter expertise in the proposed and final Basel regulations and relevant BCC guidance and interpretations
  • Delivers Basel Assurance strategy across all the risk-stripes. Provides input on overall Basel annual assessment to the audit committee
  • Delivers on time high quality audit reports, Internal Audit and Regulatory issue validations, business monitoring and governance committee reporting. Manages 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
  • Specific subject matter expertise in Basel III Regulations and a solid understanding of the technical implementation of Basel III end-to-end framework
217

Audit Manager Resume Examples & Samples

  • 6+ years of recent or current CPA firm audit experience working with commercial clients
  • Ability to manage multiple engagements
  • Prior Tax exposure
218

Audit Manager Resume Examples & Samples

  • You will have at least 10 years of Audit experience
  • Reorganize Internal controls
  • Experience with Asset Management
  • MBA is preferred
  • You will have prior experience auditing internal controls
219

Audit Manager Resume Examples & Samples

  • Demonstrated auditing skills
  • Comfortable working independently
  • Prior experience with Consumer Goods
220

Audit Manager Resume Examples & Samples

  • Manage all aspects of an audit engagement, including: planning, fieldwork, wrap-up and billing
  • Work with team to identify engagement and operating problems and provide timely solutions and consultation directly to partners and senior management
  • Market professional services to companies, develop referral sources and develop business for the team
  • Identify opportunities for improvement on assigned engagements
  • Communicate complicated accounting literature in a manner that partners and senior management will comprehend and understand
  • Proficient in MS Office suite—Word and Excel
  • Minimum of five years of audit experience in public accounting required
  • Knowledge and experience with audits within Insurance Services highly preferred
221

Audit Manager Resume Examples & Samples

  • Prepare the audit reports and report in a timely matter to the Head of Internal Audit for reporting
  • Ensure that audits are completed within the department’s KPIs
  • Report all significant changes in the company, industry, and regulations
  • Perform periodic risk based testing
  • Must have minimum of 5 years of Financial Services experience with recent experience within Asset Management
222

Audit Manager Resume Examples & Samples

  • 10+ years of experience in internal auditing in Financial Services with experience in Investment Management processes and/or specific experience in financials models, portfolio risk models or illiquid securities/complex products/derivatives pricing
  • Strong quantitative knowledge
  • Demonstrated ability to deal effectively with all levels of management and staff
  • Proficiency in Microsoft Office products
  • Experience in conducting integrated operational audits and/ or reviewing IT application controls
223

Audit Manager Resume Examples & Samples

  • Manage 2 or more audits at a time each consisting of 1-4 auditors per engagement
  • Assess risk of key business processes resulting in the preparation of audit plans and specific audit programs
  • Present audit conclusions and recommendations to senior management
  • Assist regional directors in various special projects addressing specific risks identified throughout the organization
224

Audit Manager Resume Examples & Samples

  • Performs Business Monitoring Quarterly Summaries
  • Up to 25% travel activity within the year
  • Work collaboratively on assignments with Internal Audit teams in Citi and keep abreast of evolving Polish regulations on Risk management and ensure that these are appropriately addressed in Internal Audit’s risk assessment and audit planning processes
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of technology infrastructure products, especially those associated with the banking and financial business
225

Audit Manager Resume Examples & Samples

  • Lead the CVRs ensuring that documentation is of appropriate quality and standard including managing the team and their output preformation
  • Review automated audit work papers, prepared by audit staff, ensuring sound audit theory and compliance with the department's risk based audit methodology
  • Ensure that audits are completed in compliance with the Corporate Audit Department standards
  • Solid AML experience within financial services
  • Qualified External or internal Auditor
  • ACAMS (or UK equivalent) qualified
  • Excellent analytical, written communication, interpersonal, organizational and presentation skills; Excellent relationship management skills; Detail and deadline oriented; Ability to multi-task in a fast paced environment
  • Ability to interact with senior managers
226

Audit Manager Resume Examples & Samples

  • 8+ years of previous Audit experience
  • Management background
  • Thorough knowledge of Public Accounting and Audit practices, procedures and Reporting standards
  • Extensive knowledge of U.S. GAAP, U.S GAAS and IFRS standards
  • Comprehensive knowledge and exposure to the common issues facing non-publicly traded companies in the Manufacturing, Distribution and Services industry, including but not limited to: mergers and acquisitions; entrepreneurship; funding requirements; growth objectives; and, exit strategies
227

Audit Manager Resume Examples & Samples

  • Responsiblity for a portfolio of clients
  • Build relationships with clients at senior levels
  • Develop a strong commercial understanding of clients businesses
  • Complete assignments within agreed budgets and timescales
  • Ensure assignments are adequately staffed
  • Ensure that the firm's risk management and quality control procedures are adhered to
  • Identify and recognise business and sales opportunities with new clients
  • Recruit new employees
  • Sector experience
  • Experience with listed clients
  • Experience auditing international clients
228

Audit Manager Resume Examples & Samples

  • Adapt the audit approach to the changing client environment. Demonstrate a thorough understanding of complex accounting and auditing concepts with focus to commodities and apply them to client situations
  • You will work with some of the world’s leading commodity trading companies and help us to grow our dynamic practice through the development of trusted client relationships and high performing teams
  • Coach Swiss-based audit teams on commodity trading and auditing matters and provide internal and external trainings
  • You will work on multi-service line projects and support EY’s sector driven growth strategy
  • EY supports your education to become a certified CAS Commodity Professional
  • Furthermore you will develop people through effectively delegating tasks and providing guidance to staff. You will provide performance feedbacks and trainings, and conduct performance reviews
229

Audit Manager Resume Examples & Samples

  • Oversee the external audit process and coordinate with external auditors
  • Oversee the bank reconciliation team as well as the senior auditors
  • Oversee all internal control evaluations
  • Support and enforce company accounting policies to ensure compliance with federal, state and local regulations
  • Report internal audit findings to the accounting management team
  • Minimum 5 years of relevant experience
230

Audit Manager Resume Examples & Samples

  • Minimum 3years PQE
  • Competent management skills and behaviours
  • Technically and professionally qualified including knowledge of FRS100 to FRS102
  • Strong market/commercial awareness
231

Audit Manager Resume Examples & Samples

  • Articulate and drive Corporate Audit’s data analytics strategy and execution
  • Leverage, train, support and lead others in the use of data analytics
  • Delegate accountability to an individual, empowering them and giving them latitude to make independent judgments, within broad parameters, including desired business outcome
232

Audit Manager Resume Examples & Samples

  • 5 to 7 years of recent experience with a public accounting firm
  • Experience working with clients in the commercial services or government sector required
  • Candidate must be a licensed CPA in the state of Kentucky or must be able to be licensed in Kentucky
  • Experience supervising engagement team members and instructing them on completing assigned task
  • Strong technical skills in accounting and auditing
233

Audit Manager Resume Examples & Samples

  • Experience working with dealership clients preferred
  • Candidate must be a licensed CPA in the state of Ohio or must be able to be licensed in Ohio
  • Strong accounting and auditing skills
234

Audit Manager Resume Examples & Samples

  • 5 - 6 years of recent public accounting firm experience
  • You’ll need Retail Dealership experience for this position
  • You must be a licensed CPA in the state of Illinois or must be able to be licensed in Illinois
235

Audit Manager Resume Examples & Samples

  • 5 plus years of recent continuous experience with a public accounting firm
  • Experience with oversight of financial statement audits of healthcare entities (acute care hospitals or long term care) or property and casualty insurance audits preferred
  • Candidate must be a licensed CPA in the state of Connecticut or must be able to be licensed in CT
  • Strong skills in maintaining great client service with proven sales skills
  • Strong project management skills, sales and marketing skills, ability to lead others
236

Audit Manager Resume Examples & Samples

  • 5 to 7 years of recent continuous experience with a public accounting firm
  • Candidate must be a licensed CPA in the state of Texas or must be able to be licensed in Texas
  • SEC experience preferred
237

Audit Manager Resume Examples & Samples

  • 4 to 7 years of recent continuous experience with a public accounting firm
  • Experience working with manufacturing and distribution clients preferred
  • Candidate must be a licensed CPA in the state of New York or New Jersey must be able to be licensed in NY or NJ
238

Audit Manager Resume Examples & Samples

  • Experience working with insurance clients required
  • Property and Casualty experience required
  • Experience with insurance company audits and reporting under GAAP and statutory reports
  • Candidate must be a licensed CPA in the state of Tennessee or must be able to be licensed in TN
239

Audit Manager Resume Examples & Samples

  • Plan, direct, oversee and conduct audits and ensure they are executed and completed in accordance with established standards and within prescribed time, budget and scope parameters
  • Assess business risks and processes and develop, update and execute related audit programs
  • Keep abreast of emerging issues, evolving regulatory requirements, and assessing potential impacts across the audited business units and ensure issues are communicated to Management
  • Manage the ongoing audit communications and the reporting process with the client, senior management and external auditors
  • Represent Audit on internal/external committees and provide subject matter expertise to internal clients and Audit Division relating to policy, procedures and processes
  • Contribute to the strategic direction of the 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
  • Develop strong understanding of Retail product strategies and 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
  • Build and maintain positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, and knowledge with internal and external business partners
  • 3-5 years of relevant experience in internal or external auditing (financial services industry preferred)
  • In-depth knowledge of the retail process and of the organizational structure for Retail related business units (including Product Groups, Operations, Branch Banking and Direct Channel functions) is an asset
  • Demonstrated time management and organizational skills to meet tight timeframes as well as flexibility to adapt to changing priorities
240

Audit Manager Resume Examples & Samples

  • Exhibit strong skills in maintaining great client service while understanding the specifics reporting requirements for companies that are subject to SEC reporting requirements
  • Must have skills related to supervising engagement team members and instructing them on completing assigned tasks
  • Time management skills to adequately manage multiple engagements with multiple teams
  • 5 plus years of experience in public accounting
241

Audit Manager Resume Examples & Samples

  • Maintaining great client service
  • Supervising engagement team members and instructing them on completing assigned tasks
  • Must possess time management skills to adequately manage multiple engagements with multiple teams
  • Must also exhibit strong technical skills in accounting and auditing
  • 5 or more years of audit experience, primarily within public accounting
  • Must be a licensed CPA in the State of Illinois or able to be licensed in the State of Illinois
  • SEC experience would be considered a plus
242

Audit Manager Resume Examples & Samples

  • Plan, manage, and review client assurance and attest engagements, accurately, within budget and under high production demands
  • Take ownership for drafting reports and delivering all the services the client has purchased or needs
  • Proactively work closely with Senior Managers and Partners and participate in client meetings and proposal processes to learn by observation the process of client relationship management and new business development
  • Interact with state and federal representatives to complete project tasks and deliverables
  • Develop Senior Associates and Associates through coaching and mentoring; maintain high colleague morale throughout the engagement
  • Begin billing clients and monitoring realization for small engagements
  • Build a network of references from existing clients through providing exceptional client service
  • Assist in the preparation of training materials and staff development
243

Audit Manager Resume Examples & Samples

  • 3+ years' experience in public accounting
  • Ability to work within a team
  • Technological proficiency
244

Audit Manager Resume Examples & Samples

  • Contribute to the strategic direction of the Governance, Risk & Compliance 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
  • Support Governance, Risk & Compliance Audit Group management and other team members in the achievement of individual, divisional and team goals
  • Operational audit experience, preferably in areas of financial institution regulatory compliance or risk management
  • Strong understanding of risks in Financial Services industry coupled with high business acumen and excellent judgement to be able to evaluate complex issues and assess risk/challenge the status quo
  • Effective time management, multi-tasking and organizational skills to meet tight timeframes as well as flexibility to adapt to changing priorities
  • Well-developed written and verbal communication skills including strong influencing skills
245

Audit Manager Resume Examples & Samples

  • On a project by project basis, manages a small to medium sized team of Internal Audit professionals. 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 Investment Banking, technology management; project/program management; regulatory compliance or supplier management
  • Develops effective senior line management relationships and has a strong understanding of the Markets businesses
  • Develop knowledge of key financial standards and regulations that influence audit scope
  • Advance integrated auditing and increase the efficiency of the audit process by utilizing computer assisted auditing tools and techniques (CAATTs) in sampling retrievals
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Global Markets products
246

Audit Manager Resume Examples & Samples

  • Develops and executes a robust Audit Plan in accordance with Internal Audit standards, relevant government statutes and regulations, and Citigroup and Citibank policies
  • Directs audit activities for a component of the AML/Compliance audit plan at the regional or country level
  • Prepares Business Monitoring Quarterly Summaries as well as Risk Assessments
  • BS/BA degree or equivalent combination of education/experience. Related certifications (CPA, ACA, CFA, CIA, CISA, ICA or similar) are a plus, while a CAMS certification is a strong plus
  • Specific subject matter expertise regarding AML and Core Compliance disciplines and a solid business understanding of banking products and their related AML and regulatory related risks
  • Education Level: Bachelor's Degree
  • Primary Location: Mumbai, India
  • Job Category: Audit
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel: Yes, 25 % of the Time
  • Salary Grade: C13
  • Relocation: No
247

Audit Manager Resume Examples & Samples

  • 7-12 years of public accounting experience from a middle market CPA firm
  • Prior Tax experience
  • Proven Financial Audit skills
  • Strong Microsoft Excel knowledge
248

Audit Manager Resume Examples & Samples

  • Applies solid understanding of how internal audit collectively integrates with line management and control functions to accomplish the objectives of the function and the overall business
  • Performs moderately complex risk based audits over the retail branch network, credit initiation, account opening, and mortgage business in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions. Experience in assessing technology applications is a plus
  • Develop a strong understanding of the branch environment and the use of computer assisted auditing tools and techniques to increase efficiency of the examination process
  • Recommends appropriate and pragmatic solutions to investment and Retail related risk and control issues
  • 10 or more years of experience auditing consumer banking business, functional and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables, excellent analytical ability and strong decision-making skills to identify issues and underlying root causes
  • Intermediate level experience in a related role with experience in business (Mortgage preferably), functional and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables
  • Specific subject matter expertise regarding Mortgage Business control disciplines and a solid business understanding of Banking Products and local regulation
249

Audit Manager Resume Examples & Samples

  • Applies an in-depth understanding of the inter-relationships of business and support units throughout the Bank and how they impact the overall control environment and the audit approach
  • Collaborates effectively with other TCTP and business audit teams and helps support them in achieving their objectives
  • Demonstrates experience in managing teams and managing integrated internal audit and assurance delivery (or equivalent projects) within a matrix reporting environment
  • Strong interpersonal skills for interfacing with all levels of Internal Audit, business management and external stakeholders (e.g. external audit and regulators)
250

Audit Manager Resume Examples & Samples

  • Deliver business unit as well as Group wide audits that provide assurance to management and the Audit Committees
  • Deliver the audits in a way that acts as a catalyst for change and improve the governance and control environment
  • Identify value add and improvement initiatives through audit observations