Chief Auditor Resume Samples

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LF
L Flatley
Liliane
Flatley
96042 Cleta Shoal
San Francisco
CA
+1 (555) 864 0505
96042 Cleta Shoal
San Francisco
CA
Phone
p +1 (555) 864 0505
Experience Experience
Boston, MA
Chief Auditor
Boston, MA
Corwin Inc
Boston, MA
Chief Auditor
  • Drives the strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, for technology infrastructure and information security which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
  • Directs audit activities supporting product lines, functions, or legal entities 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 controls over technology for a product, function, or legal entity at a global or regional level
  • Deliverslearning and development programs and is a recognized leader in training anddeveloping others
  • Delivers high impact reports of IA's contributions to executive management, regulators, and Citigroup and Citibank boards' sub-committees, developing trend analyses and thematic reporting
  • Building of strong networks and strategic relationships across the organization and with external parties to create buy-in and support for control concerns
  • Works closely and collegially within IA 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
Houston, TX
Chief Internal Auditor
Houston, TX
Kihn-Champlin
Houston, TX
Chief Internal Auditor
  • Determine that the University’s overall system of internal control and the controls in each departmental unit or activities under audit are adequate, effective, efficient and functioning by conducting audits on a periodic basis so that all major systems are reviewed
  • Review the systems established to ensure compliance with policies, procedures, laws, and regulations, and University and employee compliance with such
  • Review the means of safeguarding assets and, as necessary, verify their existence
  • Review and appraise the efficiency and economy with which resources are employed
  • Review operations and programs to ascertain whether the operations or programs are being carried out as planned
  • Review management’s processes for identifying and managing risks
  • The Chief Internal Auditor works independently to complete all assigned tasks
present
Philadelphia, PA
Executive Assistant to the Chief Auditor
Philadelphia, PA
Hane, Ankunding and Corkery
present
Philadelphia, PA
Executive Assistant to the Chief Auditor
present
  • Assisting in the handling of corporate credit cards
  • Maintaining necessary kitchen and office supplies, making requests through Marketplace/P2P
  • Administering filing systems and physical records management
  • Leading logistical arrangements for staff training courses held in the location
  • Coordinating onboarding activity in relation to new joiners and co-source staff
  • Administering parking spaces
  • Prepares internal/external correspondence in addition to maintaining, answering and routing correspondence not requiring the manager’s attention
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Liberty University
Bachelor’s Degree in Accounting
Skills Skills
  • Ability to quickly assimilate relevant information in unfamiliar situations
  • Ability to build strong relationships with operational management
  • Experience in managing and supervising diverse team, appraise individual potential, motivate teams, transfer knowledge and develop capability in team members
  • Thorough knowledge of IIA Standards for the Professional Practice of Internal Auditing
  • Responsible forthe delivery of high quality, value-added multiple concurrent audits on timeand to specification
  • Sound judgment and ability to act independently
  • Strong influencing and negotiation skills
  • Excellent listening, verbal, written and presentation communication skills
  • Strong analytical skills and curiosity to challenge
  • Developsapproaches to promote knowledge sharing and promulgates management best practicesacross Internal Audit and both Citibank and Citigroup
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1 Chief Auditor resume templates

1

Chief Auditor Resume Examples & Samples

  • Drives the strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, for technology infrastructure and information security which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
  • Attends key Technology Infrastructure and Information Security committees to inform and to provide feedback on IA’s opinion on the controls over risk in technology in the organization
  • Uses excellent communication, leadership and strong management 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 on the organization as a whole
  • Directs audit activities supporting product lines, functions, or legal entities 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 controls over technology for a product, function, or legal entity at a global or regional level
  • Possesses a broad and comprehensive understanding of multiple disciplines (Audit, Risk, Compliance, and Training) and of different internal audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including Consumer or Investment Banking, corporate functions, technology management; project/program management; or supplier management
  • Specific subject matter expertise regarding technology infrastructure, information security and technology governance disciplines
2

Gf-asean Regional Chief Auditor Resume Examples & Samples

  • Candidates should have at least 15 years of diversified financial management experience, including experience in corporate and consumer banking and audit in ASEAN. International experience is preferred
  • Bachelor degree required; Masters Degree is a plus. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
  • Should be fluent in written and spoken English
  • They should have a thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. He/She must be 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
  • Should be a strong leader with a proven track record in managing high-performance teams in the context of making a broad, positive impact on the organization. He/she should be effective at strategic team design, recruitment and the professional development of highly experienced staff. Effectiveness in working within a matrix organization is essential
3

Chief Auditor Treasury Resume Examples & Samples

  • Responsible to oversee the delivery of high quality, value-added multiple concurrent audits on time and to specification
  • Manages multiple teams of global or regional Audit professionals through other senior managers. Recruits staff, develops talent, builds effective teams, and manages a budget. Identifies internal talent and fills key positions, attracts talent with required expertise to meet the risk profile of the business, builds deep bench strength and develops appropriate succession plans. Possesses a broad and comprehensive understanding of multiple disciplines (Audit, Risk, Compliance, and Training) and of different Audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including Consumer or Investment Banking, technology management; project/program management; or supplier management
  • Proactively advances integrated auditing concepts. Leverages Internal Audit's Centers of Excellence to improve audit processes and coverage
  • BA/BS or equivalent. Related certifications (FRM, CQF, CPA, ACA, CFA, CIA or similar) are a plus
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of liquidity risk management methodologies, especially those associated with the Corporate Treasury business
4

Chief Auditor Resume Examples & Samples

  • Drives thestrategic direction of Citi’s Internal Audit (IA) function in the establishmentof risk based auditing and branch examinations, which include reportingmethodologies, organizational design and effective positioning of the functionto ensure provision of independent assurance. This is to be consistent andaligned with Citigroup and Citibank business objectives
  • Uses excellentcommunication, leadership and strong management skills to influence a widerange of internal audiences including respective product, function, or regionalexecutive management partners and external audiences including regulators andexternal auditors. Frequently engages in both internal and externalnegotiations which will have a major impact on the function, and on theorganization as a whole
  • Directs auditactivities supporting a product line, function, or legal entity at the globalor regional level, in accordance with IA standards, Citi policies, and localregulations. Responsible for providing valued and timely independent assuranceon the design and operating effectiveness of a product, function, or legalentity at a global or regional level
  • Responsible forthe delivery of high quality, value-added multiple concurrent audits on timeand to specification
  • Ensures thedelivery of audit reports and (where appropriate) branch examinations, that arecomplete, insightful, timely, error free and concise
  • Ensures timelydelivery of high-quality comprehensive regulatory and internal audit issuevalidation, and where determined appropriate issue validation on otherremediation actions, including issues arising from the external auditors,consultants and other parties
  • Contributestowards the delivery of high impact reports of IA's contributions to executivemanagement, regulators, and Citigroup and Citibank boards' sub-committees,developing trend analyses and thematic reporting
  • Manages multipleteams of professionals. Recruits staff,develops talent, builds effective teams, and manages a budget. Identifies internaltalent and fills key positions, attracts talent with required expertise to meetthe risk profile of the business, builds deep bench strength and developsappropriate succession plans
  • Possesses abroad and comprehensive understanding of multiple disciplines (Audit, Risk,Compliance, and Training) and of different Audit standards, policies and localregulations; applies a broad and comprehensive understanding of high risk areasincluding Consumer or Investment Banking, corporate functions, technology management;project/program management; or supplier management
  • Deliverslearning and development programs and is a recognized leader in training anddeveloping others
  • Developsapproaches to promote knowledge sharing and promulgates management best practicesacross Internal Audit and both Citibank and Citigroup
  • Delivers costeffective and efficient management of audit teams and audit engagements
  • Ensures IA anticipates/meets/exceedsthe requirements and expectations of Citibank’s and Citigroup's regulators
  • Works closelyand collegially within IA and with line management and control functions toensure efficient and effective provision of independent audit assurance
  • Collaboratesacross businesses and functions to improve the identification, quantification,measurement, management, reporting and controls in governance, risk managementand internal control environments
  • Takesresponsibility and accountability of audit's coverage and reporting on commonhigh risks areas such KYC, AML, Fraud, Technology, Sanctions, and Consent Ordersand other enforcement action compliance
  • Activelysupports and drives the Internal Audit Transformation Program and IA’s andmanagement’s efforts for Citi to have a “Strong” internal audit function andfor Citi to have “Strong” control functions
  • Fully supportsand endorses the Quality Assurance function of Internal Audit and promptlyaccepts and remediates deficiencies found by QA
  • Ensures theadoption of the appropriate portions of the Citigroup and Citibank Audit CommitteeCharters and the Internal Audit Charter for applicable legal entities
  • Proactivelyadvances integrated auditing concepts. Leverages Internal Audit's Centres ofExcellence to improve audit processes and coverage
  • BA/BSor equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) area plus
  • Advancedlevel experience in an ICG technology audit or business/technology related rolewith extensive experience in business, functional and people management, withproven abilities in taking responsibility for executing concurrently on aportfolio of high quality deliverables according to strict timetables
  • Subjectmatter expertise regarding Markets and TTS disciplines, with Private Bankingexperience preferred
  • Demonstratedexperience in managing large global teams teams and managing integratedinternal audit and assurance delivery within a matrix reporting environment
  • Aself-aware, self-confident individual who has well developed listening skills,and a strong ability to engage a group of accomplished business unit heads byproviding proactive advice on a variety of audit matters while carefullybalancing the independent requirements of the IA function
  • Effectivenegotiation skills, a proactive and 'no surprises' approach in communicatingissues and strength in sustaining independent views. This individual mustbe an articulate and effective communicator, both orally and in writing, withan energetic, charismatic and approachable style
  • Stronginterpersonal skills for interfacing with all levels of internal and externalaudit and senior management
  • Strongleadership skills with a proven track record in managing teams and making apositive impact on the organization
5

EVP, Chief Auditor Resume Examples & Samples

  • Direct the independent and objective assessment of risk, control and governance processes, contributing to improvement in operational performance
  • Ensure internal audit responsibilities are consistently executed in a manner which is balanced, fair, and objective, and ensure the audit function attains the highest level of respect and confidence within the organization
  • Direct and manage the development and execution of a risk-based program of audit coverage across all businesses and functions to determine adherence to policies and procedures, compliance with laws and regulations, and accuracy and reliability of financial, managerial and operating information
  • Provide timely and effective communication of audit results and the status of outstanding issues to management, the Audit Committee and regulators; periodically provide senior management and the Audit Committee an independent assessment of the control environment, including trends, hot spots, watch items and lessons learned that cut across businesses and geographies
  • Serve as primary support for the Audit Committee regarding the effective discharge of their responsibilities; create and execute (in coordination with the General Counsel and Chief Financial Officer) the Audit Committee agenda, ensuring it is strategically designed to cover topics of greatest impact to the firm
  • Establish strong working relationship with the Audit Committee Chairman to ensure critical known and emerging issues are appropriately discussed and resolved
  • Continuously assess and enhance core audit processes to effectively maintain a world-class audit practice, including strong execution, in-depth risk assessment and active continuous auditing
  • Ensure the work and conclusions of the audit department can be relied upon by external auditors and regulators
  • Maintain operating and staffing models, inclusive of adequate and effective resources, key performance metrics, and disciplined budgeting and expense management processes, to support a high-performing audit team
  • Lead the recruitment, development, integration, diversification, performance evaluation and succession planning processes for all audit staff; oversee and motivate a high-performing team of professionals located across North America, Asia Pacific, EMEA and South America
  • Promote and maintain a positive ethical and effective audit control culture throughout the organization, encouraging integrity, diversity, respect, excellence and innovation
  • Proven ability to develop and sustain strong relationships with executive management, audit management, regulators and external auditors
  • Demonstrated ability to provide credible challenge regarding critical governance, risk and control processes, influencing appropriate business solutions directed toward improved operating environments
  • In-depth knowledge of risk management techniques and operational aspects of a complex international financial institution; includes informed understanding of domestic and international banking regulations and accounting pronouncements
  • Ability to successfully navigate complex institutions, with a focus on how to get things done; includes political astuteness and sensitivity to the organizational culture
  • History of operating with the highest level of integrity, combined with a low ego and strong team ethos; ability to manage conflict and steer others toward consensus
  • Ability to question assumptions and anticipate issues before they arise; comfortable expressing an opinion
  • Proven track record of attracting, developing and retaining high-performing individuals and teams
  • Ability to deliver audit results meeting or exceeding professional standards and regulatory expectations
  • Proven thought leadership and successful execution of leading-edge audit strategies, practices and techniques preferred
  • Superior oral and written communication skills, with the ability to present complex and sensitive issues to senior management
  • Mature, self-motivated and enthusiastic, with strong business-focused performance discipline; effective under pressure and willing to take personal responsibility
  • Bachelor degree in Accounting, Finance, Law or related discipline, with professional qualification preferred
6

Executive Assistant to the Chief Auditor Resume Examples & Samples

  • Prepares and reviews materials for manager’s use in discussions and meetings
  • Coordinates work involving confidential company and personnel related information including performance appraisals, travel and expenses, vacation schedules, etc
  • Trains, coaches or guides other administrative support personnel
  • Assist the Chief Auditor in the preparation of power point presentations for regulators, townhalls and ad hoc conferences and senior executive meetings
  • Supports communication activities for the IA location including managing logistics for townhalls and location-wide or team events, and setting up WebEx meetings
  • Supports administrative activities for the IA location, such as
  • Administering parking spaces
  • Coordinating onboarding activity in relation to new joiners and co-source staff
  • Leading logistical arrangements for staff training courses held in the location
  • Administering filing systems and physical records management
  • Maintaining necessary kitchen and office supplies, making requests through Marketplace/P2P
  • Assisting in the handling of corporate credit cards
  • Significant experience in the financial services industry
  • Excellent organizational skills and ability to work proactively without close supervision
  • Well-developed problem-solving skills
  • Strong interpersonal skills, strong energy and enthusiasm
  • Strong communication skills both verbal and written to be able to interact confidently with internal clients
7

Chief Auditor Aml Resume Examples & Samples

  • BA/BS or equivalent. Related certifications including CAMS is required and other certifications such as CPA, ACA, CFA, CIA, CISA or similar are a plus
  • Greater than 15 years of experience in areas related to banking regulations, audits of AML programs, local standards and internal policies. Proven ability in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timelines
  • Advanced level experience in a related role with extensive knowledge and experience of financial services Compliance and AML programs, regulations, standards and policies
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of the Financial Services industry, especially those associated with KYC, AML, Transaction monitoring and Sanctions
  • A self-aware, self-confident individual who has well developed listening skills, and a strong ability to engage a group of accomplished business unit heads by providing proactive advice on a variety of audit matters while carefully balancing the independent requirements of the IA function
8

Senior Executive Assistant to the Chief Auditor Resume Examples & Samples

  • Prepares internal/external correspondence in addition to maintaining, answering and routing correspondence not requiring the manager’s attention
  • Maintains daily appointment calendar and meetings
  • Coordinates travel arrangements and prepares travel expense statements
  • Creates and maintains files of manager’s correspondence, records, etc
  • Assists with ad hoc reports, special projects, organizational charts, etc
  • Significant senior level EA experience
  • Excellent knowledge of Microsoft packages, including a proven ability to produce professional power point presentations
  • Strong judgment and decision making skills
9

Chief Auditor, Global Market Risk Management Resume Examples & Samples

  • Actively supports and drives the Internal Audit Transformation Program and IA’s and management’s efforts for Citi to have a “Strong” internal audit function and for Citi to have “Strong” control functions
  • Control subject matter expert with extensive experience in identifying, analyzing and assessing operational risks across products, business lines and regions
  • Demonstrated experience in managing teams and managing integrated internal audit and assurance delivery
10

SVP & Chief Auditor Resume Examples & Samples

  • The position acts as the HBCA expert in a unique discipline. The incumbent is expected to provide intellectual leadership in the formulation of policies and procedures, and in reviewing product or process design changes
  • Requires a broad knowledge of the organization’s operations including the branch network, subsidiary businesses, Head Office control and support functions as well as products and services. HBCA business lines are to a large extent inter-dependent and encompass the full spectrum of financial services including Treasury, Securities (retail brokerage, fixed income, equity structured trading and corporate finance), Trust (Private Client Services and Mortgage Banking), Asset Management (Mutual Funds and Discretionary Management), Personal Financial Services, Commercial Financial Services, Telephone Banking, Merchant Banking and Insurance (auto and home)
  • Requires a broad knowledge of the legislative and regulatory framework for the financial services industry
  • Excellent interpersonal skills to deal effectively with staff, Senior Management, the Audit Committee, OSFI, CDIC, Group and external auditors. Discussions with business heads are often required to resolve issues
  • Excellent knowledge of sound auditing principles, accounting, credit, finance, and computer systems/applications
  • The job requires significant knowledge in multiple disciplines, a detailed knowledge of products, services, processes and systems, and management skills to manage a group of specialists or assess complex projects. The incumbant is expected to hold a university degree or equivalent experience, and a minimum of 15 years of financial services proven experience with exposure in several disciplines
11

Chief Auditor Resume Examples & Samples

  • Review, update, maintain and enforce audit-related data management protocols and controls
  • Review, update, maintain and enforce unclaimed property auditing policies and procedures
  • Seek and maintain auditing best practices, organization and software tools
  • Maintain a current understanding of all state, district and territory unclaimed property laws
  • Oversee and engage on each open audit to ensure application of highest professional standards
  • Recommend deployments of audit resources to support FRS goals
  • Ensure that each audit progresses as rapidly as possible consistent with applicable auditing standards and the project priorities established by FRS management
  • Oversee audit work paper preparation, communications with holders, document requests records analysis and manage remittance/revenue estimates and timing
  • Engage directly with holders as needed to timely close audits
  • Assist FRS management in maintaining current tracking for all open audits
  • Assist FRS management in preparing reports as needed for Xerox sector management
  • Oversee auditor time & billing tracking and analyze results
  • Participate as needed in presentations of audit findings, updates and explanations to clients and to holders
12

Chief Auditor Resume Examples & Samples

  • Leads the execution and reporting on the quality of controls across all risk creating areas including, but not limited to operations, finance, regulatory, technology, M&A, and clearing
  • Monitors testing of controls and procedures of complex audit assignments
  • Advises more junior auditors
  • Provides input and expertise when presenting to the Audit Committee
  • Utilizes and encourages use of automated audit tools as an integrating part of audit planning when appropriate
13

Senior Executive Assistant to Chief Auditor Resume Examples & Samples

  • Provide full administrative support to the Senior Chief Audit Executive
  • Work closely with the assigned audit Chief Operating Officer team supporting the Chief Auditor executive
  • Reply to and formulate correspondence on behalf of the Senior Executive Manager
  • Use of Lotus Notes/Office and Outlook packages to produce and type documents
  • Routine letters prepared without manager's approval, more complex correspondence prepared for approval by manager
  • Diary management – meetings organised and diary invites managed
  • Meeting papers, agenda items and MI collated for meetings
  • All action items monitored as appropriate, advising manager of progress
  • Enquiries directed as appropriate to other members of the management team
  • Maintain department inventories and records by the use of department internal SharePoint site
  • Management and control of projects on behalf of the Senior Executive Manager
  • Regular liaison with Senior Executive Manager's direct reports to ensure that audit projects are on track and that deadlines are met
  • Co-ordinate travel and accommodation requirements
  • Work closely with assigned HR generalist to ensure all matters related to the the function are handled promptly and efficiently
  • Monthly management or departmental organizational charts for regulator deliverables
  • High level interaction with Senior Executive Assistant of the global head of Audit Senior Executive to ensure quarterly visits and agenda items are properly prepared during US visits
  • Organise and plan conferences/off-site events including preparation and collation of presentation material
  • Undergraduate degree preferred
  • Microsoft Office Specialist (MOS) a plus
  • 10+ yrs of related work experience
14

VP & Chief Auditor Resume Examples & Samples

  • Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge
  • Manages the Annual Planning and Risk Assessment process by preparing the Plan strategy and providing input into the development, completion and reporting of the Annual Audit Plan, ensuring audit methodology is used, objectives are met, Plan is completed, that appropriate working papers are maintained and conform to IIA and Department standards
  • Validates business line Audit Plans and continuously conducts risk assessments throughout the year to identify other areas of emerging risk for audit coverage consideration and ensures the latest industry standards and regulatory requirements are incorporated to keep the Plan current and robust
  • Reviews audit issues to ensure internal control weaknesses and root causes are identified, properly defined, documented and reported; ensures issues are understood by senior management and that corrective action will be taken; prepares and reviews audit reports for presentation to line management
  • Maintains effective internal communication across the Audit Department as well as effective lines of communication with auditees and senior management, including appropriate handling of conflicts and issue resolution
  • Directs day-to-day activities in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits. Communicates the Bank’s risk culture and risk appetite statement throughout their teams
  • Creates an environment in which his/her team pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct
  • Builds a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team
  • Build a strong relationship with the various regulators in the US, assess emerging regulatory expectations and guidelines and continuously strengthen the US Internal Audit Program
  • Prior audit experience and highly proficient at applying risk-based auditing standards, practices, techniques, processes and methodologies
  • Strong knowledge of banking and the financial services industry particularly securities products, operations and regulatory environment
  • Expert knowledge of the Bank's Compliance Framework
  • Prior working experience in the US will be an asset
15

Chief Auditor Resume Examples & Samples

  • Understand the risk profile of the company
  • Drive the development of and execute against risk-based audit plans that clearly define the objective and scope of each review, employing critical thinking and appropriate testing methodologies
  • Present internal audit plan to the Audit Committee on an annual basis for approval
  • Provide an independent appraisal of controls over financial integrity, operational effectiveness, IT controls for security, privacy and high availability, and compliance with laws and policies
  • Develop strong relationships with operational management, teaching them how to think about identifying and mitigating risks in their environment
  • Communicate findings with management in a timely manner, obtaining management agreement on root cause of issues and commitment to implement recommendations
  • Drive the preparation of presentations to management at the conclusion of each audit
  • Write audit reports that are comprehensive, yet easy to understand
  • Provide regular reports to the Audit Committee on results of audits completed including any significant audit recommendations
  • Follow up and appraise implementation of corrective actions including communication of progress to the Audit Committee
  • Manage and grow a talented team of professionals, utilizing outside experts as necessary
  • Partner with the legal and compliance organization on the investigation of whistleblower complaints and other matters
  • Partner with the legal and compliance organization on the development of a company-wide enterprise risk management program
  • The group operates in a professional, disciplined, productive and structured manner in order to ensure that the audit committee and management are provided with the highest level of service possible
  • A bias for obtaining results
  • Familiarity with major business processes
  • Strong technical internal audit skills, including IT audit skills and knowledge of SOX 404 and financial institution control requirements
  • Ability to interact comfortably with senior/executive level management and board members
  • Ability to build strong relationships with operational management
  • Ability to quickly assimilate relevant information in unfamiliar situations
  • Superior analytical and critical thinking skills
  • Excellent listening, verbal, written and presentation communication skills
  • Strong influencing and negotiation skills
  • Passion to help improve operations continuously
  • Sound judgment and ability to act independently
  • Thorough knowledge of IIA Standards for the Professional Practice of Internal Auditing
16

Chief Auditor ICG Technology Resume Examples & Samples

  • Drives the strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
  • Directs audit activities supporting 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 product, function, or legal entity at a global or regional level
  • Develops approaches to promote knowledge sharing and promulgates management best practices across Internal Audit and both Citibank and Citigroup
  • Ensures IA anticipates/meets/exceeds the requirements and expectations of Citibank’s and Citigroup's regulators
  • Actively supports and drives the IA’s and management’s efforts for Citi to have a “Strong” internal audit function and for Citi to have “Strong” control functions
  • Advanced level experience in an ICG technology audit or business/technology related role with extensive experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables
  • Subject matter expertise regarding Markets and TTS disciplines, with Private Banking experience preferred
  • Demonstrated experience in managing large global teams teams and managing integrated internal audit and assurance delivery within a matrix reporting environment
17

Chief Internal Auditor Resume Examples & Samples

  • The Chief Internal Auditor works independently to complete all assigned tasks
  • Meets with the President or his/her designee to report on audit and compliance results
  • Highly-experienced audit professional with a minimum of 5-8 years of experience in an academic, research or other comparable environment focusing on financial audit, single (federal) audit, and compliance examination
  • Experience with OMB Circular A-133 federal grants compliance, responsible conduct of research, and regulatory affairs
  • Experience in auditing information systems and sponsored grant programs, process improvement, and planning and organizing a detailed audit plan
  • Up-to-date with accounting and auditing related continuing professional education, including governmental accounting and auditing, as required by professional standards
  • Possesses relevant certificates as a Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Fraud Examiner (CFE), or a Certified Public Accountant (CPA)
  • Demonstrated success working with Senior Leadership to integrate compliance into daily operations
  • Knowledge of the goals, objectives, structure and operations of a major public university
  • Strong critical thinking skills and the ability to analyze, summarize, and effectively present data
  • Supervisory, employee development, and leadership skills
  • Experience in academia/educational law and federal labor law
  • Familiar with Ellucian ERP systems (Colleague)
18

Chief Internal Auditor Resume Examples & Samples

  • Chartered Accountant (CA completed)
  • Audit and Assurance experience with minimum 3 years’ experience
  • Candidate should possess very good communication both written and verbal
  • Chartered Accountant & CIA
  • Sound IFRS/SOP knowledge on different finance and business processes (e.g. Commercial practices and new way of working, O2C and ESop system knowledge, tender business)
  • Strong relationship building skills required to deal with both internal and external stakeholders
  • Candidate should possess good presentation skills
  • Evaluating the systems established to ensure compliance with those policies, plans, procedures, laws, and regulations which could have a significant impact on the organization
  • Evaluating operations or programs to ascertain whether results are consistent with established objectives and goals and whether the operations or programs are being carried out as planned
  • Monitoring and evaluating governance processes
  • Provide recommendations on the development of mitigating controls and governance processes as appropriate for the organization
  • Reporting periodically on the internal audit activity’s purpose, authority, responsibility, and performance relative to its plan
  • Reporting significant risk exposures and control issues, governance issues, and other matters needed or requested by the Board. Fraud risks will be brought to the attention of management where observed, although the internal audits are not intended to identify fraudulent activities
  • At least annually, the Chief Internal Auditor will submit to senior management and the Board an internal audit plan for review and approval. The internal audit plan will consist of a work schedule as well as budget and resource requirements for the next fiscal/calendar year. The Chief Internal Auditor will communicate the impact of resource limitations and significant interim changes to senior management and the Board
  • The Chief Internal Auditor will report functionally to the Audit Committee and administratively (i.e. day to day operations) to the Chief Executive Officer
  • The Chief Internal Auditor will oversee the outsourced Internal Audit function and will monitor the quality of their work
  • A written report will be prepared and issued by the Internal Audit team following the conclusion of each internal audit engagement and will be distributed as appropriate. Internal audit results will also be communicated to the Audit Committee. The internal audit report may include management’s response and corrective action taken or to be taken in regard to the specific findings and recommendations
  • The internal audit activity will be responsible for appropriate follow-up on engagement findings and recommendations. All significant findings will remain in an open issues log until cleared
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Supervisory Auditor Branch Chief Audit Resume Examples & Samples

  • 4-6 times per year
  • Expert knowledge of theory, principles, procedures, and techniques in the field of auditing
  • Expert knowledge of theory, principles, and techniques in the field of accounting
  • Demonstrated ability to accomplish work through others as a supervisor
  • Demonstrated ability to perform audits and reviews of financial, operational, and functional systems
  • Demonstrated ability to make oral and written presentations in a clear and concise manner to employees and managers at all levels in order to communicate effectively and persuasively
  • 24 semester hours in accounting/auditing courses of appropriate type and quality. This can include up to 6 hours of business law
  • A certificate as CPA or a CIA, obtained through written examination; or
  • Completion of the requirements for a degree that included substantial course work in accounting or auditing, e.g., 15 semester hours, but that does not fully satisfy the 24-semester-hour requirement of paragraph A, provided that (a) the applicant has successfully worked at the full-performance level in accounting, auditing, or a related field; (b) a panel of at least two higher level professional accountants or auditors has determined that the applicant has demonstrated a good knowledge of accounting and of related and underlying fields that equals in breadth, depth, currency, and level of advancement that which is normally associated with successful completion of the 4-year course of study described in paragraph A; and (c) except for literal nonconformance to the requirement of 24 semester hours in accounting, the applicant's education, training, and experience fully meet the specified requirements
20

Chief Auditor Resume Examples & Samples

  • Provide leadership for the audit teams under your responsibility
  • Challenge partner to Senior Management to protect DB
  • Design and oversee a high quality, insightful audit plan within deadlines and to very high quality/in line with audit standards and regulatory expectation
  • Identifying and escalating key concerns related to the control environment of Global Markets fostering a constructive tone
  • Reviewing all audit findings and audit reports and communicate results to Senior Client management
  • Managing the audit team so it is resourced with appropriately skilled personnel; counselling staff and supporting the appraisal process; establishing smart and measurable objectives for the team and implementing measures to successfully achieve objectives
  • Continuing to develop the audit team to ensure that it remains a “best in class” function
  • Acting as a role model for the Global Markets team and the wider GA team; creating and reinforcing an environment where people management and development is a key priority
  • Maintaining responsive working relationships with local and regional Management, Regulators and external Auditors
  • Partnering with relevant Regional Heads / CAs on a timely and effective basis regarding matters affecting their region
  • Building of strong networks and strategic relationships across the organization and with external parties to create buy-in and support for control concerns
  • Driving the achievement of high performance through effective career management of direct reports, supporting succession planning and talent management processes to ensure continuous development of people capability and fostering diversity
  • Addressing individual performance issues where necessary
  • Significant experience related to the risk and control environment of Global Markets products, particularly for FX, Rates and Credit including in structured derivatives and lending
  • An in-depth understanding of internal risk and control assessment concepts and audit methodology
  • Strong analytical skills and curiosity to challenge
  • Experience in managing and supervising diverse team, appraise individual potential, motivate teams, transfer knowledge and develop capability in team members
  • Thorough understanding of regulatory requirements and compliance issues in the Banking / Finance industry in the US and globally
  • Familiarity of working within the operational requirements of a global Bank with global teams in a matrix organization
  • Excellent relationship management, problem solving, influencing and planning skills
  • A proven track record of delivering work under tight deadlines
  • Excellent communication skills, communicating with clarity, both orally and in writing, on all levels, in a logical order and structured approach in fluent English (written and verbal)