Audit Professional Resume Samples

The Guide To Resume Tailoring

Guide the recruiter to the conclusion that you are the best candidate for the audit professional job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

  • Craft your perfect resume by picking job responsibilities written by professional recruiters

  • Pick from the thousands of curated job responsibilities used by the leading companies

  • Tailor your resume by selecting wording that best fits for each job you apply

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CG
C Gottlieb
Colten
Gottlieb
1519 Jewell Pines
Philadelphia
PA
1519 Jewell Pines
Philadelphia
PA
Experience Experience
09/2014 – present
Boston, MA
Audit Professional Practices Manager Portland
Boston, MA
Audit Professional Practices Manager Portland
09/2014 – present
Boston, MA
Audit Professional Practices Manager Portland
09/2014 – present
  • Overall definition and advancement of the Audit Methodology, including risk-based cyclical audit plan, continuous monitoring, SOX testing, and targeted reviews
  • Responsible for engaging residential appraisals for the lending departments
  • Lead/facilitate Internal Audit’s annual risk assessment and planning exercise, including quarterly plan refreshes
  • Coordination and facilitation of the design and definition of the Internal Audit universe, including associated policies, standards, and practice aids
  • Organize the department’s overall training program
  • Manage/lead special projects
  • Provide input to the Audit Group’s strategic plan
01/2011 – 07/2014
San Francisco, CA
Audit Professional Practices Manager
San Francisco, CA
Audit Professional Practices Manager
01/2011 – 07/2014
San Francisco, CA
Audit Professional Practices Manager
01/2011 – 07/2014
  • Design and implement audit program enhancements, applying knowledge of current large-bank audit practices and regulatory expectations
  • Monitor and drive operational performance of the Audit Services division
  • Lead the design and implementation of innovative audit tool and workflow solutions
  • Apply a structured change management approach for change initiatives
  • Contribute to the development of training material on audit practices and processes. Facilitate training sessions
  • Serve as a member of the Audit Risk Governance Council
  • Oversee development of master short and long range change plans and individual project plans. Drive timely completion of change initiatives and project plans. Provide timely project tracking and reporting to change sponsors and key stakeholders
08/2006 – 10/2010
Los Angeles, CA
Audit Professional Practices
Los Angeles, CA
Audit Professional Practices
08/2006 – 10/2010
Los Angeles, CA
Audit Professional Practices
08/2006 – 10/2010
  • Applies adult learning principles
  • Manage the classroom as Lead Facilitator
  • Support the post program development plans of participants
  • Coaches and counsels trainees on performance in class and through observations in the classroom
  • Demonstrates content expertise
  • Learns to deliver a variety of training methods within approved programs
  • Delivers material in a clear, concise, engaging and interactive manner
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Florida International University
Bachelor’s Degree in Accounting
Skills Skills
  • Strong verbal and written communication skills, including the ability to write clear, concise, non-technical and persuasive risk evaluation reports
  • Ability to interact and communicate effectively with senior leadership, regulators, and staff at all levels
  • Proven track record in project management and integration efforts across multiple groups
  • Ability to perform risk assessments and analyze risk trends at a macro level, identifying signs of changing risk levels and/or symptoms of process control breakdowns
  • Critical thinking, analytical, and project management skills
  • Ability to lead, influence and implement quality assurance program strategy, including development of a QA framework for identifying and addressing issues / weaknesses
  • 10+ years of related experience, including internal audit experience in a large complex financial institution
Create a Resume
1

Audit Professional Practices Manager Portland Resume Examples & Samples

  • Overall definition and advancement of the Audit Methodology, including risk-based cyclical audit plan, continuous monitoring, SOX testing, and targeted reviews
  • Coordination and facilitation of the design and definition of the Internal Audit universe, including associated policies, standards, and practice aids
  • Lead/facilitate Internal Audit’s annual risk assessment and planning exercise, including quarterly plan refreshes
  • Design and oversee the department’s Quality Assurance and Improvement Program (QAIP)
  • Organize the department’s overall training program
  • Work closely with the Chief Auditor and Audit Management Team to continuously improve audit data analytics, key performance indicators, and board and executive-level reporting packages
  • Provide input to the Audit Group’s strategic plan
  • Manage/lead special projects
  • At least seven years of experience in internal audit, compliance, and/or risk management with increasing responsibility – preferably working in or leading an established Professional Practices function
  • Advanced knowledge of heightened regulatory standards and audit industry standards – e.g., FRB SR 13-1 and IIA IPPF, including approaches to assessing, prioritizing, and remediating gaps
  • Advanced knowledge of industry-recognized risk and control frameworks/methods
  • Outstanding written and verbal communication skills with demonstrated ability to communicate effectively across all levels
  • The ability to think like a general auditor and bridge concept gaps that can exist between practitioners and standards-setters
  • Must have experience working with and/or implementing one of the reputable audit/GRC technology platforms, such as TeamMate, Thomson Reuters Enterprise GRC, or MetricStream
  • Undergraduate degree in accounting, business, or other related field or equivalent
  • CPA, CIA or other applicable certification strongly desired
  • Graduate degree strongly desired
  • Experience working within a complex, regulated company/industry – experience in banking or financial services preferred
  • Maintain the approved residential appraiser list
  • Responsible for engaging residential appraisals for the lending departments
  • Monitor and manage the residential appraisal process from engagement to completion and distribution of the assignment
  • Prepare information and training to the residential appraiser panel on Sterling’s appraisal process, including information and training on the RIMS program
  • Responsible for making recommendations to the Chief Appraiser regarding the continuation, limitations or removal of an appraiser from the approved appraiser panel
  • Assist the Chief Appraiser in the development and implementation of appraisal procedures
  • Assist the credit department personnel regarding appraisal issues as required in the credit management process
  • Demonstrates compliance with all bank regulations for assigned job function and applies to designated job responsibilities – knowledge may be gained through coursework and on-the-job training. Keeps up to date on regulation changes. Follows all Bank policies and procedures, compliance regulations, and completes all required annual required or job-specific training
  • High School Diploma or GED. Some college or business related courses preferred
  • 1 - 3 years of experience in a lending services related position
  • Possess solid general office/administrative skills and the ability to independently manage multiple tasks
  • Knowledge of the appraisal process and regulations associated with it
  • Knowledge of banking infrastructure (preferably Umpqua Bank’s) and the role of the appraisal department
  • Proficient with MS Office; experience with RIMS preferred
  • Ability to effectively communicate before a group of people to provide updates and training
  • Advanced interpersonal, written and verbal communication skills
2

Internal Audit Professional Resume Examples & Samples

  • Experience in performing on-site retail branch audits in accordance with FINRA rules and regulations
  • Executing audits from start to completion including detailed walkthroughs of key processes to identify internal controls, developing and execution of tests of control and substantive testing procedures for key controls, execution of testing, identification and reporting of issues. Involvement in scope determination, audit planning memos, developing testing plans, review of staff fieldwork, issue identification, issue discussions with clients and report writing
  • Four-seven years of audit management, related retail brokerage or regulatory experience within the financial services industry. Previous audit experience with a complex or medium size bank or broker dealer that focused on retail broker dealer trading activities or related public accounting audit experience
3

Internal Audit Professional Resume Examples & Samples

  • Assisting in the development and maintenance of the department’s internal audit methodology, standards and guidance
  • Assisting in the preparation of technical training materials
  • Assisting in the governance and maintenance of the audit universe and annual plan
  • Delivering training to audit staff such as Audit Methodology Training, the New Hire Orientation Program, and various technical training, as needed; and
  • Assisting the Internal Audit PMO with strategic initiatives and projects as needed, from both governance and detailed input perspectives
  • Pervious audit, financial or regulatory experience within the financial services industry
  • Experience of audit methodology development
  • Ability to quickly process and assimilate information from disparate sources
  • Ability to multi-task various projects and deadlines
  • Experience of teaching or training is a plus
  • Prior experience communicating with regulators is a plus
  • Experience with local, state and federal regulators a plus
4

Audit Professional Practices Resume Examples & Samples

  • 10+ years of related experience, including internal audit experience in a large complex financial institution
  • Ability to lead, influence and implement quality assurance program strategy, including development of a QA framework for identifying and addressing issues / weaknesses
  • Proven track record in project management and integration efforts across multiple groups
  • Strong verbal and written communication skills, including the ability to write clear, concise, non-technical and persuasive risk evaluation reports
5

Audit Professional Practices Resume Examples & Samples

  • Audit Technical curriculum – Examples of curriculum topics include audit policies/practices, audit methodology, new experienced hire orientation and Audit Analyst/Intern training
  • Product Curriculum – Examples of curriculum topics include our audit practices related to Anti-Money Laundering and Sworn Documents
  • Personally deliver content to audiences ranging in levels (Analyst thru MD) and number of participants (i.e., dept-wide audience)
  • Manage the classroom as Lead Facilitator
  • Lead and co-facilitate sessions where we utilize internal Subject Matter Experts. Demonstrate a strong proficiency in virtual delivery, able to set–up and facilitate classes using virtual platforms (including WebEx, Adobe Connect, etc.), trouble shoot technology issues and utilize full functionality of the platform
  • Support the post program development plans of participants
  • Partner with Training Operations Team and Instructional Designer to ensure appropriate feedback on the effectiveness of the programs as required
  • Readily able to assess participants' understanding of course content and changes delivery method accordingly
  • Quickly reacts to the learning needs of participants
  • Uses good judgment and able to make decisions independently
  • Crafts responses to questions in an appropriate and positive manner to meet the needs of the audience
  • Delivers material in a clear, concise, engaging and interactive manner
  • Learns to deliver a variety of training methods within approved programs
  • Quickly learns and delivers unfamiliar topics with minimal notice or preparation time to meet business needs
  • Cross trains on multiple topics and is viewed as an expert in content
  • Coaches and counsels trainees on performance in class and through observations in the classroom
  • Identifies updates needed in training program and collaborates with Training Manager and Instructional Designer for a solution to continually improve programs
  • Stays current and adapts easily to changes in course content, policies and procedures, and regulations
  • Completes training projects, as required when not facilitating
  • Bachelor’s degree required or equivalent experience in a function related discipline
  • Minimum of 10+ years of experience in training, learning and development, with 3-5 of them in the Audit industry
  • Ability to quickly learn and grasp the audit methodology concepts
  • Use industry knowledge and external partnerships to ensure connection to current relevant trends
  • Able to deliver excellent classroom training 3 to 5 days a week in a fast paced environment
  • Demonstrate excellence at facilitation and delivery to a senior level audience
  • Demonstrated experience in working effectively in a multicultural and international environment
  • Confidence, professionalism and executive presence
  • Excellent verbal and written communications including coaching skills in all forms of communication
  • Proficient PC skills (Excel, Word, Power Point, etc.)
  • Must be able to work effectively independent as well as with a remote team environment
  • Team player, collaborative, creative, and innovative
  • Flexible with training dates
  • 25% travel required, sometimes with minimal notice
  • **Any candidate not meeting ALL the qualifications can be considered for a VP, Audit Training Manager
6

Audit Professional Resume Examples & Samples

  • Excellent written and verbal communication skills. Executive presence and experience in creating high quality presentations
  • 2+ years of experience in internal or external audit or related control functions
  • Working knowledge and experience in risk-based audit methodologies, risk assessments, and risk and control
  • Strong project skills and an ability to deliver high-quality work products in a timely manner
7

Internal Audit Professional Resume Examples & Samples

  • Internal Auditing background
  • Experienced in leading audit projects
  • Analytical and quantitative skills
  • Proven ability in executive communication and influence
  • Demonstrated report writing skills
  • Bachelor's degree/equivalent in accounting, finance, information systems or related field required Five (5) years directly related experience in internal audit, public accounting, finance, consulting and/or information systems
  • Demonstrated ability to effectively lead projects. Strong oral and written
  • Communication, human relations, project management and analytical skills required
  • Position level commensurate with experience
8

Audit Professional Practices Manager Resume Examples & Samples

  • Design, develop, implement, and continuously improve Audit Services’ policies, procedures, practices, and processes to enable a proactive, risk-based audit assurance program for BB&T Corporation
  • Be knowledgeable of risk management and other organizational initiatives and enhancements, considering and leveraging organizational processes (i.e. RCSA, GRC tool) as appropriate in Audit Services’ process enhancements
  • Design and implement audit program enhancements, applying knowledge of current large-bank audit practices and regulatory expectations
  • Monitor and drive operational performance of the Audit Services division
  • Lead the design and implementation of innovative audit tool and workflow solutions
  • Apply a structured change management approach for change initiatives
  • Contribute to the development of training material on audit practices and processes. Facilitate training sessions
  • Serve as a member of the Audit Risk Governance Council
  • Oversee development of master short and long range change plans and individual project plans. Drive timely completion of change initiatives and project plans. Provide timely project tracking and reporting to change sponsors and key stakeholders
  • Oversee Audit Policy governance activities, including the appropriate level of approval of new and revised policies and ensuring timely reviews of existing policies. Ensure policies address relevant IIA Standards and other supervisory guidance
  • Determine, design, and implement practice enhancements in response to regulatory examinations and other assessments for potential improvements to audit policies or practices
  • Identify “mandated procedures” through ongoing, comprehensive analysis of relevant professional standards and supervisory guidance
  • Lead and/or supervise special projects
  • Assist in coordination of audit efforts related to regulatory examiners to ensure prompt and efficient completion of examinations
  • Access a broad network of audit professionals at other financial institutions, public accounting firms, and professional associations to enable monitoring of trends and developments in banking and financial services, internal audit practice, and risk management practices; identification of potential enhancements in internal audit practices, processes, and methodologies; and benchmarking comparisons of Audit Services’ performance. Integrate enhancements into professional development programs and the audit process
  • Operate within departmental and Bank budget and expense guidelines
  • Bachelor’s degree in Business, Accounting, or related field, or equivalent education and related training
  • Expert comprehensive knowledge and demonstrated ability to design and implement process enhancements addressing regulatory and supervisory requirements
  • Professional certification as a Certified Public Accountant, Certified Internal Auditor, or Certified Information Systems Auditor
  • Comprehensive, in-depth knowledge, skills, and expertise within a large bank environment in the domains of professional internal auditing, risk management, regulatory supervision and general banking business activities
  • Expert knowledge of IIA Standards and relevant regulatory and supervisory requirements of internal audit
  • Comprehensive experience leading teams in internal auditing within a large bank, in a large bank supervisory regulatory environment, or in public accounting with large bank-related experience
  • Excellent ability to influence without authority across all levels of the Audit Services organization as well as the broader BB&T enterprise and with external stakeholders
  • Display a high level of initiative and credibility
  • Excellent ability to work strategically and tactically; innovative and visionary; comfortable seeing and defining the “big picture” while leading and executing detailed work tasks
  • Master’s degree in a Business-related field and/or advanced education related to risk management and/or banking supervision
9

Audit Professional Resume Examples & Samples

  • Performing audit testing on OFAC Program with sanctions concerns
  • Review of IT System involved in sanctions
  • Recommending and following up with corrective actions with regard to such issue in the OFAC program
  • Liaising with business lines, audit relationship managers, other internal stakeholders, and with the auditees themselves regarding material sanctions concerns
  • Documenting the findings as appropriate
  • Support general audit activities across the organization and other duties, including special projects, as assigned
  • Two or more years of internal or external audit or risk management experience
10

Audit Professional Practices, Manager Resume Examples & Samples

  • Optimizie the efficiency and effectiveness of audit processes
  • Maintaini audit methodology policies and procedures
  • Undertake quality assurance reviews of various audit activities, e.g. audits, continuous monitoring and issue verification
  • Work closely with other Strategy and Infrastructure teams (Training and Operations and Reporting) to help build audit methodology and skills training
  • Partner with global audit leaders, team members and IAG business managers on audit process and methodology initiatives
  • Work closely with the IAG business managers that support each Chief Auditor to drive consistent adherence to policies and procedures
  • Manage various projects throughout the year (e.g. annual planning)
  • Bachelor's Degree plus 5-7 years' of experience with internal audit policies and procedures within a large corporation
  • Knowledge of IIA standards; FRB/regulatory reporting; Sarbanes-Oxley; risk management techniques and compliance requirements
  • Strong business and financial acumen and project management/ organizational skills with ability to multi-task and deal with change in a pro-active and positive manner
  • Ability to think strategically, be able to see patterns, anticipates future consequences and trends, and incorporates them into on-going plans
  • Sound judgment and confident ability to make decisions supported by strong oral and written communication skills
  • Experience in performing data analysis & reporting
  • Comfortable building relationships at all levels in the organization
  • 10% or less annual travel to other IAG locations
11

Seasonal Audit Professional Resume Examples & Samples

  • Strong understanding of audit concepts, with a high level of technical proficiency
  • Prepare audit schedules utilizing information provided by clients by reviewing client information and inputting into information into software
  • Experience in supervision and review of various aspects of an audit engagement
  • Strong understanding of financial reporting requirements
  • Secure all information required to prepare work papers in accordance with firm policies
  • Adhere to the firm’s written audit practice standards
  • Refer complex issues to manager for advice and counsel
  • Knowledge of audit schedules, reviews, some compilations and operating on caseware software
  • Provide a high level of customer service that continues to contribute toward the client’s retention
  • Maintain confidentiality of client files
  • Must have proven successful interpersonal relationship skills to maintain effective and satisfactory working relationships with intra-department and inter-department staff and clients
  • Ability to follow verbal and written instructions with ability to read, interprets, and presents information efficiently and effectively. Must maintain confidentiality of clients with tact and discretion
  • Must be flexible to meet high demands of seasonal program
  • Must be highly organized and willing to work extended hours during the peak program season
  • Five plus years of experience providing attest services in a professional services firm including two plus years of supervisory experience
  • Knowledge of Caseware and GoFileRoom
  • Strong interpersonal skills in a professional business environment
  • Strong attention to detail/accuracy; Strong organization skills