Audit Team Lead Resume Samples

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EH
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Eino
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2066 Hilpert Streets
Phoenix
AZ
2066 Hilpert Streets
Phoenix
AZ
Experience Experience
03/2016 – present
Houston, TX
CIB Technology Team Lead Audit Manager
Houston, TX
CIB Technology Team Lead Audit Manager
03/2016 – present
Houston, TX
CIB Technology Team Lead Audit Manager
03/2016 – present
  • Write audit work papers and reports with minimal intervention by the Audit manager
  • Conduct annual performance appraisals for the team and provide ongoing feedback
  • Perform audit work in accordance with department and professional standards, and complete assignments in an efficient manner
  • Work with stakeholders in a consulting role to add value and address unresolved issues
  • Establish a business climate and culture that encourages integrity, respect, excellence and innovation
  • Assist in all aspects of audits including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow up and verification of issue closure
  • Manage a global team of approximately 10 Technology Auditors
10/2010 – 09/2015
Los Angeles, CA
QC Audit Team Lead
Los Angeles, CA
QC Audit Team Lead
10/2010 – 09/2015
Los Angeles, CA
QC Audit Team Lead
10/2010 – 09/2015
  • Other duties assigned by management
  • Complete Quarterly Auditor reviews by the frequency set by management
  • Provide input for decision-making to identify the root cause of problems identified within the audit
  • Remain current with regulation changes from government/state agencies, as well as policy changes from Agencies and Investors and company Policies and Procedures
  • Perform a post funding loan analysis to ensure loan documents, the origination, underwriting and funding of loans were in accordance with company policies and procedures and state and federal regulations
  • Perform all Production and Target Audit samples
  • Perform special audits in accordance with procedures, as assigned
08/2004 – 06/2010
Phoenix, AZ
Assistant Team Lead, Internal Audit
Phoenix, AZ
Assistant Team Lead, Internal Audit
08/2004 – 06/2010
Phoenix, AZ
Assistant Team Lead, Internal Audit
08/2004 – 06/2010
  • Provide country management with cost effective recommendations to mitigate business risks and strengthen internal controls
  • Financial audit , operational audit, process improvements
  • Performing risk analysis to identify and prioritize areas within particular audits to be reviewed
  • Planning and conducting process oriented financial and operational audits within SEA region
  • Preparing audit reports
  • Excellent in excel command
  • Evaluate the adequacy and effectiveness and internal controls over those activities
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
University of Georgia
Bachelor’s Degree in Accounting
Skills Skills
  • Demonstrated integrity, values, principles and work ethic
  • In depth working knowledge of relevant auditing concepts and techniques and thoroughly familiar with COSO, GAAP, GAGAS, FERC, NERC, FASB and IIA standards
  • Strong understanding of Internal Audit functions and operations
  • Understanding of the electric utility industry including rate making concepts and cost structure
  • Ability to supervise the identification and articulation of key risks and controls in a process and sub process and to devise and execute audit steps for a variety of audits
  • Ability to plan, organize, control and execute large complex audits while maintaining cordial and professional relationships with clients
  • Knowledge and application of audit concepts and techniques relative to assigned area of responsibility
  • Excellent planning and organization skills to administer audits and maintain adherence to audit plan; will encompass supervision of multiple audits concurrently
  • Supervise multiple senior auditors and auditors on audit engagements; ability to develop auditors and seniors and maintain their motivation while ensuring quality of work
  • Exhibits a professional attitude and work ethic and has ability to interface effectively with peers and clients
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1

Card & Commerce Solutions Audit Team Lead Resume Examples & Samples

  • Manage and/or lead audit engagements covering Card & Commerce Solutions including risk assessments, audit planning, audit testing, directing audit staff, control evaluation, audit report drafting, and follow-up and verification of issue closure
  • Provide career development, coaching and feedback to other team members
  • Stay up-to-date with evolving industry changes and market events impacting the Card & Commerce Solutions channels and products
  • Must have 7+ years of relevant experience in internal/external auditing, or consulting
  • Card Services experience a plus
  • Experience providing feedback and coaching team members
  • Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present complex and sensitive issues to senior management, colleagues and stakeholders and influence change
  • Experience in organizing and analyzing data sets in Excel or other tools
2

Team Lead Audit Manager Resume Examples & Samples

  • Manage and execute audit work and deliver a quality product in line with department and industry standards and expectations
  • Support the risk assessment and plan development process to determine audit coverage
  • Provide continuous monitoring and build strong relationships with key stakeholders
  • Provide oversight for audit team members and support a business climate and culture that encourages integrity, respect, excellence and innovation
  • Proactive subject matter expertise and partnership/interaction with the Global Corporate Sector auditors and line of business audit teams
  • Travel to business and audit locations (up to 10%)
  • 8+ years of experience in internal audit, public accounting, risk management or other finance-related roles
  • Strong core audit skills grounded in business risks and controls
  • Dynamic, self motivated, organized, project/execution-focused, able drive cross business projects/audits, effective under pressure and willing to take personal responsibility/accountability
  • Proven ability to manage multiple tasks/engagements with minimal supervision to deliver projects on time/budget
  • Excellent communication (verbal and written) and relationship management skills, with the ability to present complex and sensitive issues to senior management and influence change
  • Specific knowledge of supply chain management or other Corporate Functions preferred
  • Professional certification in finance/accounting areas a plus. (CPA, CIA, CFE, CFA, etc.)
  • Bachelors degree in Accounting, Finance or related discipline preferred
3

Basel / Ccar Audit Manager Team Lead-ed Resume Examples & Samples

  • Serve as Audit Department Subject Matter Expert for Basel, providing rule interpretation/guidance to other line-of-business and functional audit teams
  • Remain current with evolving regulatory and external events in the Basel / Regulatory Capital space, including review of new guidance and rules as they are issued by regulators to assess impact
  • Coordinate Basel related audit coverage. Lead and be involved in various audit activities including performance of risk assessments, audit planning, testing, documentation, control evaluation and reporting to senior management
  • Oversee and execute the CCAR Audit plan
  • Build and maintain relationships with key stakeholders, establishing a culture of engagement and partnership while adding value and driving change
  • Partner across other LOB and Functional Audit teams to deliver a seamless program of firm-wide Basel audit coverage
4

CIB Technology Team Lead Audit Manager Resume Examples & Samples

  • Manage a global team of approximately 10 Technology Auditors
  • Establish strong relationships with senior CIB Technology leaders and related control groups
  • Provide direction to the team regarding scope and execution
  • Conduct annual performance appraisals for the team and provide ongoing feedback
5

Audit Coordination Team Lead Resume Examples & Samples

  • Performing financial statement audits and/or auditability assessments
  • Knowledge of risk assessment and/or enterprise risk management concepts
  • Leading small teams in client engagements and contributing to account strategy and proposal preparation
  • Ability to facilitate client meetings and workshops to define client processes and needs
  • Ability to comfortably interact with senior level client personnel, including supporting the preparation of and participating in executive briefings
  • Strong presentation development and writing skills (e.g., proficient in Microsoft PowerPoint and Word)
  • Consulting experience in support of any of the following financial areas: business process improvement, financial management policies and procedures, financial system integrations, etc
  • Experience leading teams towards a common goal and deliverables
  • Identify opportunities to improve engagement profitability
  • Participate in and actively support mentoring relationships within practice
  • Certifications desired include: CPA, CGFM, CFA
  • Candidates that possess an active Federal security clearance
  • Candidates must reside in the Washington, DC metropolitan area and be open to travel when necessary
6

Gim-technology Team Lead Audit Manager VP Resume Examples & Samples

  • Education to degree standard is preferable, as is a relevant professional qualification. All relevant educational, Technology qualifications will be taken into account
  • Knowledge and, preferably, experience of relevant Investment Management, Wealth Management and Commercial Banking applications and products. Ideally this experience will be from an audit or risk perspective
  • Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner
7

QC Audit Team Lead Resume Examples & Samples

  • Perform all Production and Target Audit samples
  • Complete Quarterly Auditor reviews by the frequency set by management
  • Ensure QC Reports are compiled and issued within monthly timeframes
  • Maintain and Improve Teammate Survey scores
  • Perform a post funding loan analysis to ensure loan documents, the origination, underwriting and funding of loans were in accordance with company policies and procedures and state and federal regulations
  • Determine if proper procedures were followed in the origination, underwriting and funding of the loans
  • Determine if the underwriter correctly calculated and approved the loan in accordance with company policies and procedures
  • Document findings to provide management with an accurate and detailed picture of the issue
  • Provide input for decision-making to identify the root cause of problems identified within the audit
  • Refer the appraisal for additional review, when appropriate
  • Meet department audit and reporting guidelines and ensure Target Audits are completed within required timeframes
  • Perform special audits in accordance with procedures, as assigned
  • Remain current with regulation changes from government/state agencies, as well as policy changes from Agencies and Investors and company Policies and Procedures
  • Maintain knowledge of all underwriting guidelines
  • Other duties assigned by management
  • Bachelor’s Degree (B.A., B.B.A., B.S., etc.) from a four-year college or university; or three to five years related experience and/or training; or equivalent combination of education and experience. This position requires knowledge of mortgage loan processing and underwriting. Working knowledge of Word and Excel
  • Position may require overtime as assigned by QC Management
  • QC Employees working in locations outside DHIM Austin Corporate location; Travel is required to the DHIM Austin location frequently and at the discretion of QC Management
8

Audit Team Lead-capital Management Team Resume Examples & Samples

  • Demonstrates strong knowledge of risks and related impacts for Stress Testing and Capital Planning. Must demonstrate an application of this knowledge to the scoping and execution of audits
  • Maintains familiarization and technical expertise with the assigned business unit(s) including organizational structure, personnel, activities and products, new product development, financial performance and risk and problem areas
  • Functions in various roles on audit engagements, including leading audits, staffing audits and providing consulting or oversight functions based on the needs of the team
  • Communicates with partners at all levels, including developing and presenting audit findings, making recommendations to improve controls, and communicating tough messages with sensitivity and respect
  • Organize and staff audit engagements. Assigns work to auditors, sets priorities and monitors activity
  • Reviews audit work including work paper documentation, findings and recommendations and the final report to ensure appropriate adherence to the Corporation’s/Department’s Policies and Standards and ensuring work is performed within established timeframes
  • A College or University degree preferably in finance or accounting and/or audit experience in a financial institution
  • Strong analytical skills with a strong orientation towards the attention to detail
  • Strong communication skills, especially in the areas of report writing and workpaper documentation
9

Assistant Team Lead-general Ledger & Audit Resume Examples & Samples

  • General Ledger Maintenance
  • Prepare & input journal entries (monthly, adjusting, recurring)
  • A graduate of Accountancy, CPA is an advantage
  • Minimum of 3 years work experience in the related field
  • With at least one year supervisory experience
  • High level of Integrity and with Strong work ethic
  • Good Interpersonal and communication skills
  • Strong analytical and numerical skills
  • Excellent use of MS Office Applications
10

Assistant Team Lead, Internal Audit Resume Examples & Samples

  • INTERNAL AUDIT
  • Planning and conducting process oriented financial and operational audits within SEA region
  • Evaluate the adequacy and effectiveness and internal controls over those activities
  • Provide country management with cost effective recommendations to mitigate business risks and strengthen internal controls
  • INTERNAL INVESTIGATOR
  • Able to interpret unlawful activities and suspicion transaction/activities
  • To review and ensure investigator documents factual and impartial findings in accurate and timely manner for reportable and non-reportable suspicious cases
  • To identify, investigate and resolve – non compliant within Grab
  • Bachelor Degrees in any fields
  • Certified Internal Auditor
  • Certified Public Accountant
  • Certified Fraud Examiner
  • Financial audit , operational audit, process improvements
  • Excellent in excel command
  • Strong communication skills (i.e able to provide both verbal and written confirmation in a timely clear, clear and concise manner)
11

Global Cybersecurity Audit Manager Tech Team Lead Resume Examples & Samples

  • Manage audit engagements with specific focus on holding the entire team accountable for meeting deliverables and adhering to departmental and professional standards
  • Establish strong relationships with senior Cybersecurity leadership, related controls groups and business auditors
  • Invest in understanding the JPMC Business & Technology aligned initiatives and provide perspective for audit approach and impact
  • Set aggressive standards for efficient management of Audit resources, schedules and budgets
  • Provide direction to the Audit team regarding scope and execution
  • Drive audit plan creation and changes based on changing business risk profile
  • Conduct annual performance appraisals for the team members, and provide ongoing feedback
  • Proactive partnership / interaction with the line of business audit teams
  • Serve as Audit representative on key steering committees, project initiatives that arise, and participate in ad hoc projects as necessary
  • Up to approximately 15% travel might required
  • Knowledge of information security controls, technology governance and assessments
  • Background in Cybersecurity and Operational Related Controls
  • Effective verbal and written communication skills coupled with experience managing teams in a complex global environment
12

CIB Investor Services Prime Services & Fixed Income Audit Team Lead Resume Examples & Samples

  • Drive all aspects of audit activities including risk assessments, audit planning, audit testing, workpaper documentation and review, control evaluation, issue identification, drafting of audit reports, and verification of action plan closure. This entails leading a team of auditors or acting as individual contributor in planning, testing and reporting on the effectiveness of controls that support Prime Services and Fixed Income Financing. This is conducted in accordance with department and professional standards and will require the presentation of issues and root cause analysis to management
  • Establish a culture that encourages integrity, respect, excellence and innovation
  • ** Any candidate not meeting ALL the qualifications can be considered for an VP Team Lead position
13

Audit Team Lead-capital Management Team Resume Examples & Samples

  • Demonstrates strong knowledge of risks and related impacts for stress testing and capital planning
  • Maintains familiarization and technical expertise with the assigned business unit(s) including organizational structure, personnel, activities, products, new product development, financial performance, risks, and other problem areas
  • Functions in various roles on audit engagements, including leading audits, staffing audits, and providing consulting or oversight functions based on the needs of the team
  • Responsible for the team’s performance management process and development of direct reports
  • Reviews audit work including, including work papers, findings, recommendations, and the final report to ensure adherence to the Corporation’s/Department’s Policies and Standards
  • Bachelor degree is required
  • Minimum 5 years of professional experience
  • Prior managerial responsibilities (i.e. direct reports) a plus
  • Knowledge of the financial services sector, regulatory reporting, financial modeling, process flowchart development, and/or internal audit/controls assessment
14

CIB Banking Audit Manager Team Lead Resume Examples & Samples

  • Participate on and lead audit engagements from planning to reporting and produce quality deliverables to both department and professional standards
  • Partner with colleagues and stakeholders to evaluate, test and report on the adequacy and effectiveness of management controls
  • Build and maintain key relationships with stakeholders, establishing a culture of engagement whilst adding value
  • Implement and execute an effective program of continuous auditing for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
  • Effectively manage the Banking team, performing timely review of work performed and providing honest and constructive feedback
15

Audit Team Lead Resume Examples & Samples

  • Demonstrated integrity, values, principles and work ethic
  • In depth working knowledge of relevant auditing concepts and techniques and thoroughly familiar with COSO, GAAP, GAGAS, FERC, NERC, FASB and IIA standards
  • Strong understanding of Internal Audit functions and operations
  • Ability to supervise the identification and articulation of key risks and controls in a process and sub process and to devise and execute audit steps for a variety of audits
  • Supervise multiple senior auditors and auditors on audit engagements; ability to develop auditors and seniors and maintain their motivation while ensuring quality of work
  • Exhibits a professional attitude and work ethic and has ability to interface effectively with peers and clients
  • Excellent negotiation skills
  • High standard of ethics and professionalism
  • Strong interpersonal, written, and verbal communication skills
  • Excellent knowledge and experience with auditing tools such Microsoft Office Products such as , Word, Excel, PowerPoint, SharePoint, Access and Visio
  • Bachelor degree in MIS, Accounting, Finance, Business, or equivalent discipline
  • Minimum seven years’ experience in auditing preferable from a combination of Big 4 and major organization/company audit experience; minimum three years in supervisory position, supervising multiple, complex audits or minimum of 12 years’ experience auditing in an audit firm and/or organization/company; minimum of 5 years supervisory experience
16

Internal Audit Team Lead Resume Examples & Samples

  • The level of job complexity is advanced; must be able to supervise complex audits which may be in process simultaneously and complete audits on time and within budget
  • Ability to plan, organize, control and execute large complex audits while maintaining cordial and professional relationships with clients
  • Knowledge and application of audit concepts and techniques relative to assigned area of responsibility
  • Excellent written and oral communication skills; requires critical thinking and analytical ability in accumulating and interpreting large amounts of data and information to identify audit issues and develop practical cost effective solutions
  • Deep skills in execution of project management techniques and engagement closure
  • A CPA, CISA or CIA required, MBA, CFA or CFE professional designation a plus
17

Nuclear Oversight Site Audit Team Lead-calvert Cliffs Nuclear Resume Examples & Samples

  • Responsible and accountable for performing fleet audits and communicating the results such that performance weaknesses are recognized and communicated as necessary to maintain fleet regulatory compliance and performance
  • Leads or participates in comprehensive audits of site organizations to assure program adequacy and implementation effectiveness. Conducts audit preparation including development of required checklists, briefings and writing final reports. Provides direction to team members to ensure effective communication of all deficiencies encountered during the oversight conducted. Participates with a team of auditors that travel to multiple sites to complete audits. Travel is typically limited to the home region; however, occasional travel may occur between the regions
  • Track and follow-up deficiencies and findings identified during audits, as assigned
  • Provides input into improvements for the audit program. This input would include recommendation for the scoping, scheduling, and conduct of future audits
  • Provides site leadership and acts as a representative for the audit functions
18

Global Technology Infrastructure Audit Manager Team Lead Resume Examples & Samples

  • At least 8 years of total work experience, with at least 5 years in Audit
  • Ability to build strong partnerships across the technology and business teams
  • LI-POST
19

Internal Audit Team Lead Resume Examples & Samples

  • Assist the AVP Corporate Compliance with the development, implementation, and maintenance of an effective risk based audit program that includes ensuring compliance with company policies and procedures
  • Develop and modify audit work plans methods and procedures to properly address high risk areas
  • Assess operations and the control environment to identify areas of improvement
  • Ensure internal audit team effectively plans and executes operational audit plan within established goals and guidelines
  • Supervise team audit work for accuracy, completeness, quality, and conformance to departmental policy
  • Provide informational or educational feedback designed to train new employees and develop team
  • Review written reports of internal audit findings, including recommendations to management, and validate implementation of corrective actions
  • Communicate ideas and concerns in a clear, confident, and concise manner
  • Effectively leverage team to complete special projects and assignments
  • Service as a key operational compliance contact for personnel across the company
  • Ability to travel one week per month
  • Bachelor’s degree in Accounting in Finance or related field
  • Prior working experience, preferably 3 or more years in an accounting/audit/finance capacity
  • Professional certification or working toward one (e.g. CPA, CFE, CIA, etc.) – preferred
  • Ability to effectively lead a team
  • Ability to build effective a relationships and interact with a wide variety of people and departments
  • Excellent project management skills, including time management, tracking audit plan progress, and meeting deadlines
  • Ability to set objectives and drive results of a team
20

Audit Team Lead Resume Examples & Samples

  • Supervise high quality, professional day-to-day planning, scheduling, execution, and reporting of internal audit engagements and projects within established timelines and budgets; supervise the entire audit engagement lifecycle from planning through reporting working with Staff Auditors and Senior Auditors as applicable
  • Reviews audit work including work papers, findings, recommendations, and the final report to ensure adherence to the Corporation’s/Department’s Policies and Internal Audit Professional Practices Framework Standards
  • Supervise the evaluation of key risks and internal controls, review and approve audit programs, risk and control matrices, evaluate and approve benchmarking of financial and operational processes and controls, and evaluate opportunities for efficiencies/performance improvement based on leading practice; work with Internal Audit Managers and the SVP of Internal Audit to communicate findings/recommendations to senior management and client personnel
  • Lead annual risk assessment activities, as appropriate, including: lead interviews and/walkthrough processes, develop audit plans and risk assessment templates as well as preliminary audit scope areas for further evaluation; work directly with Internal Audit Manager and the SVP of Internal Audit to identify auditable entities and risk factors
  • Supervise team testing procedures including, but not limited to, sampling levels, analytical procedures, Computer Assisted Auditing Techniques (CAATs), and other audit procedures to address risks identified and to test internal controls
  • Evaluate the work performance of Auditors/Senior Auditors using appropriate department and industry standards, provide feedback/guidance on audit work performed and results by reviewing work papers and validating audit issues to ensure clearly articulated issue/root cause, risk/exposure, and recommendations for improvement
  • Discuss Management concerns through building relationships; and work with Management in an organized and knowledgeable manner/actively lead/oversee management discussions and meetings
  • Use available technical resources and tools to research and expand one's sphere of knowledge to enhance audit value; remain up-to-date on industry trends while sharing the knowledge amongst the team where applicable
  • Supervise SOX testing as necessary including execution and review of completed internal controls testing with the assistance of the Audit team members, as appropriate
21

Team Lead-internal Audit Resume Examples & Samples

  • 5-7 years of experience in internal or external auditing
  • Degree in Accounting, Finance, Economics, or comparable major; MBA is a plus
  • Ability to communicate effectively and have excellent presentation skills, including clear and concise writing skills
  • Ability to travel approximately 20%; this includes global travel
  • CPA or CIA, previous CPA firm experience desirable
  • Experience with SAP or a comparable ERP
  • Managing assigned audit projects, audit scope, schedule, and budget
  • Providing timely, accurate, and complete reports on audit and management request projects
  • Managing SOX initiative
  • Providing an independent assessment of management’s view on risk and associated control effectiveness
  • Assisting the Audit Manager in managing management requests in delivery of the overall audit plan
  • Assisting the Audit Manager in developing staff auditors and providing on the job training
  • Proactively developing and maintaining relationships with the regional leadership team
  • Knowing the business and understanding key factors impacting the businesses and the region
22

CIB Investor Services Audit Team Lead Resume Examples & Samples

  • Drive all aspects of audit activities including risk assessments, audit planning, audit testing, workpaper documentation and review, control evaluation, issue identification, drafting of audit reports, and verification of action plan closure. This entails leading a team of auditors or acting as individual contributor in planning, testing and reporting on the effectiveness of controls that support Investor Services. This is conducted in accordance with department and professional standards and will require the presentation of issues and root cause analysis to management
  • Perform monitoring of financial and control indicators to recognize patterns and trends with risk and control implications
  • Stay up to date with evolving accounting, regulatory and market developments impacting the business