Audit & Risk Management Resume Samples

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ES
E Schmitt
Elta
Schmitt
662 Stanton Prairie
Los Angeles
CA
+1 (555) 471 6620
662 Stanton Prairie
Los Angeles
CA
Phone
p +1 (555) 471 6620
Experience Experience
Houston, TX
Internal Audit Risk Management
Houston, TX
Bode-Treutel
Houston, TX
Internal Audit Risk Management
  • Performing risk assessments and planning, executing and leading integrated risk, financial and technology audits
  • Developing and documenting audit findings for inclusion in the Audit Report and presenting/communicating observations to line management
  • Mentoring junior audit staff, seeking to develop their expertise in Liquidity Risk Management and Funding
  • Supervising and mentoring junior staff, and reviewing work papers to ensure they meet internal standards
  • On-going monitoring of risk exposures regulatory calculations
  • Holding follow-up meetings with Treasury management and Regulators concerning open audit issues and regulatory findings
  • Documenting audit findings and recommendations in a clear and concise format in line with internal standards
New York, NY
Internal Audit Operational Risk Management
New York, NY
Schmidt-Williamson
New York, NY
Internal Audit Operational Risk Management
  • Develop, own and manage internal audit management reporting for the subject areas for external and internal stakeholders; and
  • Provide requested information to regulators and work to assess and validate examiner findings
  • Performing both quantitative and qualitative analysis within Operational Risk
  • Performing risk assessments at the audit entity and process level
  • Holding follow-up meetings concerning open audit actions with line management quarterly
  • Provide advice and effective challenge to internal stakeholders
  • Lead and development of a continuous risk monitoring process relative to the subject areas
present
Chicago, IL
Audit Manager, Operational Risk Management
Chicago, IL
Reichert Inc
present
Chicago, IL
Audit Manager, Operational Risk Management
present
  • Leads the professional development of Internal Audit staff
  • Applies in-depth level of expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams
  • Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
  • Proactively advances integrated auditing concepts and use of technology
  • 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
  • Serves as lead reviewer for all types of reviews
  • Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity
Education Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
Liberty University
Bachelor’s Degree in Finance
Skills Skills
  • Knowledge of regulatory capital rules
  • A strong understanding of the regulatory environment with respect to the Federal Reserve Bank, the SEC, and OCC
  • A proficient understanding of the financial services industry and the associated regulatory environment
  • A team player that supports the broader audit functions by leveraging their knowledge to the best use of the Firm
  • Strong analytical, interpersonal, communication and writing skills
  • Knowledge of regulatory liquidity rules
  • Good analytical, interpersonal, and communication skills
  • A general understanding of the financial services industry and the associated regulatory environment
  • Three to five years of experience in auditing capital markets or risk management in a bank or broker / dealer regulated environment
  • Prior experience communicating with Regulators
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6 Audit & Risk Management resume templates

1

Internal Audit Operational Risk Management Resume Examples & Samples

  • Partnering with the Department's business, product and technology audit teams as needed
  • Create, manage and maintain a high performing team of domain experts and provide effective coaching and team member development for both in-house and co-sourced resources
  • Proactively advance integrated auditing concepts and use of technology. Closely follows latest trends in own field and adapt them for application within own job and the business; and
  • Minimum of 8 years of relevant experience
  • Experience in Risk Management or Compliance, Application/Database Architecture; experience in audit, governance, compliance, internal controls, public accounting, corporate controls or equivalent. Eligibility Qualifications
  • MUST BE ABLE TO SATISFY THE REQUIREMENTS OF SECTION 19 OFTHE FEDERAL DEPOSIT INSURANCE ACT
  • Fluent (speak, read and write) in English. This role is eligible for a Referral bonus award that is 4X the current eligibility amount. The 4X Special Incentive Referral Bonus Program begins as of June 1st and runs through November 30th. Referrals will only be eligible for the 4X special incentive referral bonus payout based on date of referral submission during SPIF program eligibility dates. All other guidelines under the WDYK program are applicable
  • Strong understanding of industry leading practices within the subject areas and the ability to apply them within the GEC organization
  • Previous Big 4 or boutique consulting experience desired
  • Experience in financial services industry and working directly with regulators such as FDIC, Federal Reserve, OTS, and OCC
  • Detailed understanding of FFIEC guidelines
  • Detailed understanding of industry accepted risk governance standards
  • Ability to suggest policy changes to key stakeholders that will improve GEC's overall risk and control framework/program
  • Ability to develop and deliver internal audit's point-of-view with respect to the subject areas to executive management and the CAE
  • Ability to direct personnel across multiple locations and operations and work in a matrix-type organization
  • Ability to lead teams
  • Possess strong project management skills, make sound decisions, and exhibit initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
  • Excellent analytical/technical skills; and
  • Strong oral and written communication, presentation and facilitation skill
2

Internal Audit Operational Risk Management Resume Examples & Samples

  • Developing a comprehensive in-depth understanding of GE Capital's operational risk framework including
  • Operational risk Policies,
  • Process Risk Self Assessments,
  • Internal Loss events/data,
  • Key Risk Indicators and trends,
  • New product operational risks,
  • Control deficiencies assessment,
  • Basel risk aggregation,
  • Risk monitoring and reporting, and
  • Other operational risk related areas on a global basis (collectively the "subject areas")
  • Understanding the key current and emerging risks within the subject areas
  • Servicing as the resident subject matter expert on the subject areas
  • Development of a comprehensive global audit testing plan that is in line with the CAE's and regulatory expectations
  • Ensure timely completion, maintenance and execution of the annual testing plan
  • Provide advice and effective challenge to internal stakeholders
  • Identification of meaningful recommendations and serving as a change agent that will make an immediate impact in the subject areas. Expected to negotiate with Senior Management on matters which will have significant impacts on the area managed
  • Providing a global point-of-view to the CAE and the SLT on GE Capital's compliance with internal policies and procedures and the regulatory expectations with respect to the subject areas
  • Develop, own and manage internal audit management reporting for the subject areas for external and internal stakeholders; and
  • Lead and development of a continuous risk monitoring process relative to the subject areas
  • Bachelor's degree and minimum of 6 years of relevant experience or High School/GED and 10 years relevant experience in Risk Management or Compliance, Application/Database Architecture; experience in audit, governance, compliance, internal controls, public accounting, corporate controls or equivalent
3

Audit Manager, Operational Risk Management Resume Examples & Samples

  • BA/BS or equivalent. Related certifications ( CFA, PRMIA, GARP or similar) are a plus
  • Specific subject matter expertise and a solid understanding of Operational Risk Management concepts, especially those associated with the Operational Risk Management function, Basel III Frameworks, Advanced Measurement Approach (AMA), and Manager Control Assessment activities
  • Specific and detailed understanding of the ORM function within a complex, global financial services company
  • Understanding of the regulatory environment for Operational Risk Management within the banking industry
4

Audit Manager Market Risk Management Resume Examples & Samples

  • Perform/lead audits in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions. This includes those audits that are the most complex and subject to the fast changing state of regulatory requirements as set out in the annual plan
  • Drive the coverage of market risk by applying technical knowledge to all phases of the audit process, and provide coaching to team members during the audit
  • Senior level experience in a related role commensurate experience in business, function and people management, with proven abilities in taking responsibility for executing a succession of high quality deliverables according to strict timetables
  • Bachelor’s degree in Finance, Business, Accounting or Math. Master degree preferred but not required
  • Experience as a Market Risk Manager is preferred
  • Knowledge of MS Office functions with advanced Excel, Access and Visio skills to perform data analysis/test automated controls. Knowledge of audit software (IDEA, ACL, SQL) is also beneficial
  • Good interpersonal, judgment and decision making skills
5

Internal Audit Risk Management Resume Examples & Samples

  • Building credible relationships with Senior Management in the Risk function
  • Managing portions of risk management audit reviews that he/she is assigned responsibility for
  • Documenting audit findings and recommendations in a clear and concise format in line with internal standards
  • Managing multiple audit engagements within established budgets and the time frames for audit completion
  • Communicating effectively both orally and in written form with Senior Management, the Board Audit Committee, and Regulators
  • A strong understanding of market risk and product knowledge, preferably having worked in the risk/valuation functions in a major bank /financial institution
  • Knowledge of regulatory capital rules
  • Seven to ten years of experience in financial services with a preference for those with at least five years auditing capital markets or risk management in a bank or broker / dealer regulated environment
  • A strong understanding of the regulatory environment with respect to the Federal Reserve Bank, the SEC, and OCC
  • Proficient understanding of internal audit processes including identifying and evaluating key risks, setting the audit scope, developing audit testing, and managing staff assignments
6

Audit Manager, Market Risk Management Resume Examples & Samples

  • Assist as auditor on market risk audits and other audits as required,
  • Participate in the execution and reporting of audits performed through pro-active engagement with stakeholders
  • Ensure that potential issues are raised promptly and collaboratively to IA and business management with a view to identifying the most viable, pragmatic and sustainable conclusion to mitigate the risk
  • Working with the Lead Auditor and Audit Controller, develop training on market risk to share with Internal Audit team
  • Knowledge of MS Office functions with advanced Excel, Access & Visio skills to perform data analysis/test automated controls. Knowledge of audit software (IDEA, ACL, SQL) is also beneficial
7

Risk Management Group Head of Internal Audit Resume Examples & Samples

  • Framework and processes for risk management and compliance
  • Develop and maintain a thorough understanding of the relevant business divisions. This includes structures, business activities, market and regulatory developments, key current and emerging risks, reported issues and relevant external events
  • Establish and maintain effective, constructive, forward looking and professional relationships with Senior Management. This inherently includes gaining the respect of management, empathising and giving effect to their needs, while clearly positioning (and maintaining acceptance for) the role of Internal Audit
  • Graduate and potentially post graduate qualifications in Accounting/Finance or equivalent field
  • 4 years in Senior manager/leadership role
  • Possibly Internal Audit Qualification (eg. CIA, CISA)
  • CA preferred, but CPA considered
  • Experience auditing capital markets, trading businesses
  • Able to effectively manage many concurrent activities
  • Other members of Internal Audit team
  • External - External Auditors (PWC)
  • Other IAD functions and related communities of practice
  • Co-sourced suppliers
8

Internal Audit Risk Management Resume Examples & Samples

  • Assess inherent business risks and determine if key controls exist to mitigate those risks
  • Perform both quantitative and qualitative analysis in the areas of Market Risk and Treasury
  • Evaluate the adequacy of design and effectiveness of key controls and potential business concerns
  • Three to five years of experience in auditing capital markets or risk management in a bank or broker / dealer regulated environment
  • A good understanding of internal audit processes including identifying and evaluating key risks; developing and conducting audit testing; documenting work performed; and presenting findings identified
9

Internal Audit / Risk Management, Sydney Resume Examples & Samples

  • Oversee the Firm’s membership obligations to comply with limitation of liability schemes under professional standards legislation
  • Deliver RM presentations
  • Work closely with other RM and General Counsel Team members
  • Minimum of 5 years’ experience in either RM/ project/business support or internal audit role
  • The ability to manage projects independently
  • Well-developed analytical skills
  • The ability to develop effective relationships with stakeholders throughout the firm
10

Audit Manager Credit & Enterprise Risk Management Resume Examples & Samples

  • 5+ years in the banking industry within an enterprise and credit risk management function and/or internal audit function
  • Extensive background in financial risk management and consumer finance
  • Ability to identify problems and recommend solutions to complex control, financial, or technical issues
  • Effectively works independently and within a team construct, while supporting teamwork and achievement of team objectives
  • Advanced degree in Risk, Finance, Business, or related field
  • Professional Certification (CFA, FRM, CIA) or ability to obtain within one year
11

Audit Manager, Risk Management Resume Examples & Samples

  • Work with Senior Audit Manager/Audit Director and other team members to plan/conduct risk-focused audits, by identifying potential control weaknesses that may prevent a business from meeting its objectives
  • Plan and manage small or medium sized audits or sections of moderately complex assignments. Medium sized audit will typically involve auditing several business processes within a larger business line or several business processes or business lines operating at a single location
  • Identify and fully understand the key business processes, their risks and the control environment
  • Complete audit working papers to ensure high quality and that the documentation meets division's standards and adequately supports the conclusions
  • Prepare audit findings and reports in a concise and coherent fashion
  • Identify business control deficiencies and assess their materiality and potential impact on the business
  • Assist with the preparation of audit reports in accordance with IA Division standards for review and discussion with business management
  • Assist with follow up of outstanding audit and regulatory deficiencies for timely completion of management's action plans
12

Internal Audit Operational Risk Management Resume Examples & Samples

  • Assessing inherent business risks and determining if key controls exist to mitigate those risks
  • Performing risk assessments at the audit entity and process level
  • Performing both quantitative and qualitative analysis within Operational Risk
  • Evaluating the adequacy of design and effectiveness of key controls and potential business concerns by analyzing available documentation and asking insightful questions to identify root causes and draw the appropriate conclusions
  • Preparing audit planning documentation, conducts walkthroughs, and assesses the internal control environment through control and substantive testing
  • Documenting the results of work performed in the Department's automated workpaper system according to Departmental methodologies and documentation standards. The extent of documentation would include proper cross-referencing, checklists, indexing, documentation maintenance, documented exception follow-up procedures, etc
  • Developing and documenting audit findings in a clear and concise manner; communicating observations to line management; documenting business concerns, risks and root causes; and securing formal management responses to audit recommendations for inclusion in the Audit Report
  • A general understanding of the financial services industry and the associated regulatory environment
  • A solid understanding of internal audit processes including identifying and evaluating key risks; developing and conducting audit testing; documenting work performed; and presenting findings identified
  • CPA, CIA, and /or FRM qualifications a plus
13

Internal Audit Risk Management Resume Examples & Samples

  • Review valuation methodologies and processes to ensure products are correctly priced
  • The person will work within Global Risk Management Audit to complete the annual audit plan. This will include communicating to senior management those areas requiring control enhancements and providing recommendations for improvements
  • Other areas of responsibility are
  • Risk Management’s reviews cover all aspects of the firm's market, treasury, credit and operational risk processes, including but not limited to
  • Adequacy of and adherence to risk policies and procedures
  • Accuracy of internal models,
  • Quality of market data and risk data, and
  • On-going monitoring of risk exposures regulatory calculations
14

Audit / Risk Management Associate Resume Examples & Samples

  • 2+ years of related Audit experience in a Financial setting
  • Bachelor's Degree in a related
  • Knowledge of Market and Credit Risk Management framework, policies and procedures
15

Audit Manager Credit Risk Management Private Bank-internal Audit Resume Examples & Samples

  • Challenging position for an experienced Audit Manager with the responsibility to conduct audits, mainly in the area of Credit Risk Management for our Private Banking business: Corporate Lending, Standard and non-Standard Lombard Lending, Mortgages, Commodity and Trade Finance, Specialties Lending (Ship and Aircraft Finance), Banks and Financial Institutions
  • Supervision and management of a portfolio of audits in close collaboration with the relevant stakeholders to ensure high quality and timely delivery
  • Leadership and coaching role in audit teams, providing necessary guidance, oversight and feedbacks to ensure achievement of clear objectives
  • Development of a Bank wide Continuous Risk Monitoring program, together with the Head of Audit for Credit Risk
  • Highly motivating working environment applying state of the art audit tools and methodologies
  • Exposure to a large bandwidth of businesses and projects across the Credit Suisse Group
  • Attractive networking and career opportunities, direct contacts with the Bank’s senior management and an outstanding platform for career progression
16

Audit Manager Market Risk Management Resume Examples & Samples

  • Assist as auditor on market risk audits and other audits as required
  • Bachelors degree in Finance, Business, Accounting or Math. Master degree preferred but not required
  • Knowledge of MS Office functions with advanced Excel, Access & Viseo skills to to perform data analysis/test automated controls. Knowledge of audit software (IDEA, ACL, SQL) is also beneficial
17

Audit Manager Credit Risk Management Private Bank-internal Audit Resume Examples & Samples

  • A degree-level education (or equivalent), as well as post graduate / professional qualifications (e.g. CIA, CPA, FRM, …)
  • 8+ years of experience in an auditing function, whereof at least 5 years related to Credit Risk Management
  • Proficiency in risk-based audit methodologies within Financial Services
  • Strong communication skills and experience in liaising across departments and teams
  • Leadership skills and experience
  • Ability to operate autonomously, to drive a project / task forward and deliver end state products that can be presented to senior management with minimal required revision
  • Excellent written and oral communication skills in English and German
18

Internal Audit Risk Management Resume Examples & Samples

  • Providing technical expertise to Internal Audit teams on liquidity risk management, including liquidity stress testing and liquidity reporting and on unsecured funding, including plain vanilla debt and structured note issuance
  • Building credible relationships with clients in the Treasury and Risk Management functions and interacting with the Heads of Liquidity Management and Liquidity Risk Department and Treasury COO
  • Evaluating the adequacy of the control environment for liquidity risk management and unsecured funding processes and compliance with internal policies and procedures, external rules and regulations
  • Managing assigned portions of Corporate Treasury audits within established budgets and the time frames for audit completion, including conducting walkthroughs, reviewing documentation, and performing control and substantive testing
  • Holding follow-up meetings with Treasury management and Regulators concerning open audit issues and regulatory findings
  • Performing quarterly risk assessments of Treasury processes
  • Mentoring junior audit staff, seeking to develop their expertise in Liquidity Risk Management and Funding
  • A strong understanding of liquidity risk management and knowledge of unsecured funding processes, preferably through prior experience in the Treasury/Risk function of a major bank/financial institution
  • Knowledge of regulatory liquidity rules
  • Financial services experience with a preference for those with a number of years’ experience in either Treasury or Risk Management in a bank or broker / dealer regulated environment
  • A general understanding of internal audit processes including key risks identification and evaluation, audit scope and audit test plan development, and test plan execution
  • Prior experience with Capital Planning a plus
  • Prior experience with communicating with Regulators a plus
19

Audit & Risk Management Resume Examples & Samples

  • Oversight and management of internal and external audits
  • Management of compliance remediation activity
  • Support the Compliance Lead in the management and direction of all Compliance related activity with particular focus on compliance self-assessment, SOX, and NSA and data privacy
  • Ensuring that all services delivered are client satisfying and cost effective and are in line with DXC’s contractual commitments
  • Assist in the management and escalations of all compliance activities in relation to SOX, compliance, audits, self-assessment, National Security Agreement compliance, Data Privacy
  • Reviewing responses & evidence for compliance assessments, SOX audit, & non-SOX audits
  • Review of current compliance management processes and provide recommendations for improvements
  • Liaise with counterparts to track and manage assessments and evidence
  • Liaise with internal stakeholders to ensure compliance deadlines are fulfilled within agreed timeframes
  • Provide advice and guidance to internal stakeholders on compliance process, requirements and remediation plans
  • Bachelor’s degree in Computer Science, Engineering, Business, or related field or equivalent work experience in IT Audit and Security Compliance in Information Security standards such as COBIT, SOX, ISO 27001
  • Typically 5+ years of relevant experience
  • May have Master's degree in related field
  • Often holds intermediate-level certification(s) in work field such as CISA, CISM, CISSP and ISO 27001 LA
20

Audit Management IT Risk Resume Examples & Samples

  • Experience in Technology Risk Management, and/ or Audit Management, an advantage
  • Be a strong agent for change. Be able to facilitate new processes and standards that could impact working environment / culture
  • Strong interpersonal, problem solving, organizational and time management skills
  • Managing (internal) client relationships and working as part of a distributed team
  • Highly motivated; ability to drive project deliverable(s) to delivery/ lead meetings with cross functional and cross level participation
  • Previous experience within Technology with prior risk project/program management
  • MS Office suite skills; ability to draft succinct and impactful PowerPoint decks (with appropriate level of detail for a given audience), ability to extract, aggregate, and report on data in Excel (charts/ visually impactful messaging)
  • Ability to articulate key points clearly and succinctly in meetings
  • Ability to work within an open, consensus based organization
  • Ability to manage and interact in a matrix ed organization is essential
  • Individual must be able to multi-task effectively
21

Audit / Risk Management Director Resume Examples & Samples

  • Oversees financial, operational, and IT audits and provides guidance to those conducting personal interviews with their representatives
  • Coordinates internal Sarbanes-Oxley testing, SSAE 16 SOC reviews, and external client audits
  • Coordinates work of internal staff and external consultants in performance of audits and writing of work papers
  • Participates in and contributes to development of the Enterprise Risk Management program
  • Reviews internal audit reports of findings and recommendations for delivery to management
  • Leads meetings to drive audits and present audit findings and recommendations
  • Works to influence management decisions to ensure the organization maintains a strong control environment
  • May serve as backup in Vice President’s absence
  • Performs other functions as assigned
  • Knowledge of healthcare regulations, policies, claims processing, servicing, audit and reimbursement principles and procedures
  • Experience auditing financial statements of health insurers or companies that process healthcare claims
  • Solid technical audit skills
  • Intellectual ability/innovation capability
  • Working knowledge of HIPAA Privacy and Security Rules and CMS security requirements
  • Professional designation (CIA, CPA, CISA, CISSP, CFE, CMA, FRM, ARM, etc.) preferred
  • 10+ years with healthcare auditing, settlement, and reimbursement
  • 3+ years successful project management experience
  • Experience in fraud auditing and investigations
  • Preferred supervisory experience directing audit