Director, Audit Resume Samples

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P Jones
160 Carroll Track
Los Angeles
+1 (555) 992 7612
160 Carroll Track
Los Angeles
p +1 (555) 992 7612
Experience Experience
01/2016 present
New York, NY
Internal Audit Manager / Director
New York, NY
Internal Audit Manager / Director
01/2016 present
New York, NY
Internal Audit Manager / Director
01/2016 present
  • Working with Accounting team to update Accounting Policy Manual and check for control gaps
  • Testing various business units for compliance with established controls
  • Evaluating risks to the company and developing ways to mitigate said risks
  • -Travel approximately 30% of the time
  • - Conducts risk assessments to identify all Internal Audit activities and evaluates the nature and significance of risk exposures within existing processes, systems, operations, and activities
  • --Performs and supervises audit procedures that drive conclusions on effectiveness and efficiency of control environment based on control design and effectiveness. Identifies control gaps and opportunities for improvement
  • --Manages audit team; is responsible for directing, coaching, coordinating and evaluating team members. Ensures audit scopes and objectives are clear and helps team effectively manage deadlines
04/2012 08/2015
Chicago, IL
Internal Audit ERM Director
Chicago, IL
Internal Audit ERM Director
04/2012 08/2015
Chicago, IL
Internal Audit ERM Director
04/2012 08/2015
  • Develop management processes and tools to support the identification and assessment of existing and emerging risks within the Company's operating areas
  • Develop regular risk management reporting for Senior Management, the Risk Management Steering Committee, and the Audit Committee
  • Coordinate plans and testing with Disaster Recovery Program
  • Provide objective assurance and advisory services, including identification of significant risks, risk tolerance and risk response strategies/actions
  • Run frequent and regular testing
  • Lead the Company's annual risk assessment and associated reporting process
  • Ensure effective challenge of risk assessment and management of key risks within the Business and Corporate functions
01/2006 02/2012
Boston, MA
Director, Audit
Boston, MA
Director, Audit
01/2006 02/2012
Boston, MA
Director, Audit
01/2006 02/2012
  • Actively participate as a key member of the Global Audit Leadership team in strategic and tactical topics
  • Provide thought leadership, continuous improvement and innovation; share best practices within region and globally
  • Maintain effective relationships with stakeholders including external auditors
  • Identify, recruit talent; manage and develop audit team members
  • Develop strategies and risk-based audit plans; develop monitoring, assessment & audit protocols
  • Supervise work performed by the audit team (review of planning memos, workpapers, and audit reports); ensure that the work agrees with the Avnet Global Audit Standards; execute and issue clear and concise reports
  • Responsible for resource planning, project and budget monitoring, overall quality assurance, and reporting of results
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Central Michigan University
Bachelor’s Degree in Accounting
Skills Skills
  • Strong attention to detail
  • Solid analytical and research skills
  • Microsoft Excel proficient
  • Strong Broker Dealer / Trading Desk Audit, Asset Management Compliance, or Abandon Property background
  • Great interpersonal skills
  • Highly organized
  • Excellent communication skills (written and verbal)
  • 10+ year of Audit experience
  • 5+ years Internal Audit
  • 4+ years Manufacturing
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Technology Enterprise Infrastructure Audit Coverage Director Resume Examples & Samples

  • Working with other key IT Audit colleagues to determine and deliver on the strategy of the Technology Audit group
  • Taking a strategic approach to risk identification, audit assignment planning and testing in line with plans for organizational growth and technology transformation
  • Working with the department’s International Audit Directors to build and maintain a strong, credible relationship with senior management, the Board Audit Committee and regulators
  • Leading discussions with business leaders regarding audit findings and controls that have to be implemented while offering a value-added, solutions-oriented risk assessment
  • Advising management on matters concerning risk, controls and corporate governance, and participating in related committees
  • Delivering the annual audit plan on time and in accordance with departmental quality assurance standards
  • Establishing and maintaining a process to monitor control issues previously recorded, verifying the effectiveness of corrective actions, and reporting on the status of outstanding issues
  • Suggesting, as required, new techniques, methods and practices to improve audit effectiveness and efficiency
  • Maintaining a requisite knowledge of current trends and technical issues impacting audit and areas of audit responsibilities
  • Developing and maintaining a cooperative, collaborative and productive, team-driven environment
  • Promoting effective communication and information exchange among the audit group, business units and functional areas that are audited while maintaining independence
  • Ensuring that training and development programs are in place for staff to improve their skills and grow professionally
  • Inspiring, leading, developing and growing the team in order to meet departmental goals and objectives
  • Strong understanding of enterprise infrastructure, including cyber security, data center management, networks and operating systems
  • Strong understanding of regulations, controls and risk issues relating to technology
  • Strong experience in risk-based auditing within financial services
  • Ability to manage multiple priorities and adhere to the established audit plan
  • Ability to focus on and align strategic priorities with those of the Internal Audit Department and key stakeholders
  • A commercial and solutions-based approach to technology audit
  • Excellent leadership, interpersonal and communications skills
  • An aptitude for establishing and maintaining effective and trusted relationships
  • Presence and the ability to work successfully with senior management, the Board Audit Committee, Chief Information Technology and the senior officers of the respective groups
  • Ability to quickly solve problems in a team environment
  • Minimum of 15 years of experience in a related field
  • Skills Desired
  • Ambitious
  • Results-focused
  • Organized, analytical and detail-oriented
  • B.S. in Computer Information Systems or a business-related field (e.g., Finance or Accounting) with a focus on business reporting, presentation and data analytics
  • CISA or other technology or audit certifications

Director Infrastructure IS&T Audit Resume Examples & Samples

  • The IT processes supporting IT strategy, governance, business objectives and maintaining the safety and soundness of the Bank
  • The hardware, software and electronic delivery of products or services
  • Technical platforms employed to process the Bank's applications and data across all platforms including: z/OS, Tandem, AS400, AIX, Windows, Unix etc
  • Governance of third party service IT providers
  • Annual Planning : Assist the Vice President, IS&T Audit in the development of the annual IT Audit plan and in the continuous evaluation of the plan to ensure that all high risk areas are being addressed, as it relates to the IT processes
  • Problem Identification : Initial review of audit findings with the team member to validate the accuracy of the finding and clearly highlight the risks for presentation to management. Followup with staff responsible for timely resolution of the findings in the Issue Tracking Database. Ensure internal control weaknesses have been identified, errors have been quantified as appropriate, problems and associated impact are properly defined, documented and reported; identified issues are clearly understood and confirm that line management/product owner will take corrective action. Review the quarterly status of outstanding issues as assigned for inclusion in reports to management and the audit committee
  • Reporting/Communication: Draft / review reports produced by the audit team to ensure that writing is clear and concise prior to submission to Senior Director/VPs. Assist in ensuring that reports are issued in a timely manner to senior management. Ensure that TeamMate is updated on completion of the audit, all sections are reviewed, findings have been uploaded to Issue Tracking Database and project transferred to TeamCentral. Written reports and correspondence demonstrate a thorough understanding of issues with key risks clearly articulated and materiality clearly explained. Monitor and followup for corrective action/progress. Escalate where necessary. The Director will be responsible for implementing continuous monitoring with the VPs in IT&S
  • Emerging Developments in IT and special projects : As the incumbent is the team's lead on the IT environment, a key accountability is to maintain knowledge of IT developments and emerging issues and to be proactive in ensuring that the Audit Dept. is addressing the key risks to the Bank in this area. As directed by senior management, carry out specific projects or investigations of a complex and confidential nature
  • Human Resources: Provide on the job training / evaluate staff to identify individual training requirements to all staff. Prepare periodic and annual performance self-assessments. Prepare (annually) personal goals and objectives for measurement of performance and monitor achievement. Assist staff to prepare (at least annually) a career development and training plan and monitor completion. Conduct regular meetings. Ensure appropriate resources, knowledge, skills, and experience is maintained in the resource pool including hiring, training and coaching of staff. Manage self development by/through confirming job expectations; identifying mentors/coaches and enquiring about training needs, ensuring timely completion of performance appraisals;recruiting, interviewing and selecting candidates
  • Superior technical skills / understanding of controls within IT Operations , IT Infrastructure and Security as well as project management gained through a combination of advanced education and work experience in a technical capacity
  • Excellent verbal and written communication skills to write / review audit reports before submission to the Vice President
  • Excellent project management, planning, and organizational skills
  • Certifications in IT Audit ( such as CISA/CISSP/CISM) are required
  • Other audit designations (CIA) and project management (PMP) are desired

Director Global Banking & Markets Global Treasury Audit Resume Examples & Samples

  • Annual Planning - Assist the Vice President in the development of the annual GBM audit plan and in the continuous monitoring and evaluation of the plan to ensure that all high risk areas are being addressed. The incumbent should review plans against market conditions and re-assess and provide new ideas on an ongoing basis with respect to processes / controls to be audited
  • Engagement Planning -Ensure when acting as Audit Principal or as Officer In Charge that the engagement plan addresses all risk areas, and scope & work in accordance with the plan, the audit programs are appropriately designed and general adherence to the Audit Department's methodology. Also assist in ensuring that the engagement has appropriately staffed, including secondment of staff from other business line audit groups to assist in the audit project. Continuous focus should be on enhancing the programs to keep up to date with changing risks and market conditions
  • Audit Execution - Ensure that the audit team executes the audit plan to meet the audit objectives within the budgeted time. Also complete review of all workpaper files to meet Internal Audit Quality control standards. Work with VP in ensuring appropriate audit coverage and minimize duplicate audit efforts between internal and external auditors
  • Problem Identification - Initial review of audit findings with the team member to validate the accuracy of the finding and clearly highlight the risks for presentation to management. Followup with staff responsible for timely resolution of the findings in the Issue Tracking Database
  • Expert knowledge of complex capital markets products, trading and treasury risk management techniques including trading practices and front office controls. Prior trading or risk management (business line) experience will be an asset
  • Expert knowledge of market risk management techniques including market risk measurement, analysis and valuation of traded products
  • Financial institutions audit (internal or external) experience, focussed on trading products / market risk management / counterparty credit risk management / operational risk management, including a good understanding of audit methodology
  • Strong team player and work well in integrated audits and able to identify risks across the business line
  • Strong verbal and written communication skills to write / review audit reports before submission to the Vice President
  • Good project management, planning, and organizational skills

Audit Managing Director Resume Examples & Samples

  • Ability to recruit and develop firm associates and team members
  • Minimum 7 years of audit experience in public accounting required, preferably middle-market to large firm experience
  • Currently located in or willing to relocate to Louisville, KY

Director, Global Internal Audit Resume Examples & Samples

  • The successful candidate will be bright, intellectually curious and flexible, and will aggressively seek to develop a strong understanding of Avon's businesses
  • Strong critical thinking, analytical and influencing skills and an ability to assess risk, analyze the business and operating impact and identify underlying issues
  • A solid knowledge of technical accounting, controls and business practices and compliance environment, with the ability to scope, plan and execute audit programs and reviews with minimum direction
  • Excellent communication (oral and written) and interpersonal skills, including an ability to listen to the needs of the business units, comprehend complex matters and develop practical resolutions. Ability to present issues and recommendations in a clear and concise manner
  • Ability to work effectively across the organization; building and maintain positive productive relationships and being accepted as a business partner
  • Ability to manage large audit teams both domestic and internationally, including co-sourced teams
  • Bachelor's degree in Accounting or other relevant discipline. CPA/Certified/Chartered Accountant status preferred
  • Minimum of 12-15 years' work experience in Finance areas such as Accounting, Auditing, Planning and Analysis. Operational experience is a plus. Experience in Big 4 public accounting is preferred
  • Bilingual preferred
  • Travel required - percentage to be determined but will not be less than 25%

Internal Audit Regional Director Resume Examples & Samples

  • Identify key risk areas in order to develop the audit plan to determine where staff resources should be focussed
  • Manage the overall audit process, including
  • Carrying out ongoing risk assessments to develop the audit plan
  • Execution of audits in line with the audit plan and Invesco Group Internal Audit methodology
  • Supervision of the audit team
  • Review of audit deliverables (including test plans, audit programs, and audit reports)
  • Presentation of results to Board / Audit Committee and executive management committees as necessary
  • Provide an independent appraisal and opinion on the adequacy and effectiveness of the corporation’s controls and provide input to the reporting to the Audit Committee, as well as reporting to local management committees and senior management
  • Undertake audits and/or special projects as directed by the Global Head of Internal Audit or Audit Committee
  • Interact with external auditors and / or regulators
  • Maintain effective working relationships with all business partners, and in particular, Compliance and Risk Management
  • Contribute to developing a culture of risk awareness throughout the organisation
  • Experience of public accounting, internal audit, regulatory compliance and/or risk management
  • Previous experience in the asset management, securities or banking industries would be a plus
  • Experience developing and maintaining audit and risk management programs and procedures
  • Leading and motivating a high performance team
  • Excellent relationship management and team building skills
  • Ability to develop operating policies and procedures based on business needs
  • Would typically hold a bachelor’s degree in accounting, finance or other related field
  • Likely to hold a professional accounting or auditing designation such as CPA / ACCA, CIA, CIMA

Managing Director, Audit Resume Examples & Samples

  • Accurately performs routine review and audit engagement procedures in a timely and professional manner
  • Demonstrates ability to recognize audit risks and problems, as well as proposes sensible solutions with appropriate balance between clients’ needs and the firm’s risk
  • Manage multiple concurrent engagements without disruption or loss of control
  • Manage multiple client relationships, billings, and resource needs
  • Build personal referral sources and clientele while actively participating in team marketing opportunities
  • Lead audit committee meeting presentations
  • Participate in speaking and article writing opportunities
  • Complete CPE to maintain CPA license
  • Assist in managing, developing and coaching professional staff, including timely performance feedback
  • Minimum 12 years of public accounting experience auditing financial institutions
  • Ability to handle multiple engagements and client service teams
  • Excellent research and writing skills

Director Canadian Banking Audit Resume Examples & Samples

  • Ensure all department standards are maintained in completion of all assignments
  • Demonstrate creativity by championing new and innovative approaches leading to business success
  • Stay abreast of emerging department needs and Industry trends through a variety of sources
  • Conduct special investigations and assist with due diligence activities as assigned
  • Collaborate with business lines/product groups/risk management functions and support groups to provide advice and counsel in the design of internal controls
  • Act as a change agent to negotiate corrective action and follow-up to ensure timely corrective action is taken
  • Identify systemic/emerging issues and/or strategic changes planned/undertaken by the auditee that will impact
  • Ensure appropriate resources, knowledge, skills and experience is maintained in the resource pool including
  • Provide advice and counsel and other advisory services directed at risk management and new initiatives
  • Provide advice and counsel on internal control design issues/changes with participation on stakeholder working
  • Expert ability to write clear, concise audit reports as well as internal and external communication. Presents audit findings in the context of the "big picture"
  • Thorough knowledge of MS Word, Excel and audit software tools including ACL, SAS and/or Impromptu
  • Expert knowledge of the Canadian Bank's organizational structure
  • Expert knowledge of the Canadian Bank's retail , small business and//or commercial policies and procedures
  • Thorough knowledge of at least two centralized operational units such as Centralized Accounting Units, Contact Centres, Business Service Centre, Registered Education Savings Plan Centre, Government Student Loan Administration Centres, Cash Processing Centres
  • Thorough knowledge of KYC/AML/ATF regulatory requirements
  • Through knowledge of Sarbanes-Oxley (SOX) and International Financial Reporting Standards (IFRS)

Director, Operational Risk Audit Resume Examples & Samples

  • Supporting Corporate Audit leadership in management of a strong internal audit practice, instilling a high performance culture which embeds the “Our Way” principles
  • Supporting staff in the management of their careers and realization of their professional goals
  • Undergraduate degree or equivalent with 10+ years of direct relevant experience in an audit or business/corporate function
  • Graduate degree is desirable/helpful
  • Expert knowledge in internal controls and risk assessment
  • High level of knowledge of trends and best practices in internal control and business of the assigned LOB
  • Expert knowledge of their assigned centre of competency
  • Expert planning and organising skills with the ability to manage multiple priorities
  • Expert leadership and managerial skills
  • In-depth negotiation, influencing, conflict resolution skills
  • Strategic and tactical thinking capabilities

Executive Director, Audit & Control Resume Examples & Samples

  • Identify and escalate potential areas of risk and threats; implement strategies to mitigate operational or emerging operational risk
  • Ensure new or modified products (projects or process changes) are fully reviewed with key risks and mitigates appropriately identified; ensure reviewed through the appropriate governance routines and launched with adequate controls which can be monitored and reported
  • Ensure internal reviews and external examinations are well managed with clearly evidenced controls
  • Provide imbedded support of assigned business area / 1-Down by attending and participating in business meeting routines to provide Control related updates to the team
  • Proactively identify emerging risks and assists the business process owner with resolving control gaps and issues and helps to create quality corrective action plans, including understanding root cause of the issue
  • Work with the business and Quality Audit Partner to ensure controls are monitored and/or tested and the results are reported to senior management on a monthly basis
  • Lead the execution of key enterprise operational risk policies and standard Records Management, Supplier Risk Management, Business Continuity, ensuring self-identified issues are communicated and resolved timely
  • Partner with Information Security to understand Cyber Threats and SIRT incidents to the business and partner with process owners to resolve identified gaps
  • Create and Socialize a clear and comprehensive view of 'Health of Controls' for weekly, monthly, and quarterly Control updates to the executive management team
  • Responsible for the back testing of Business Issues and Operational losses and events
  • Escalate and resolve Key Risk and Control Indicator breaches with the process owner
  • Ad hoc Control related requests as needed
  • Outstanding leadership, influencing and communications skills as this person will be working with senior leaders across various LOBs, disciplines and support organizations. Must have ability to foster strong working relationships
  • Strong people leadership skills and ability to develop others. Ability to both challenge and learn from others
  • Demonstrated ability to provide effective challenge on new initiatives and changing strategies to senior management. This individual will participate, present and lead in business governance decisioning forums and influence critical business decisions
  • Strong judgment, thought leadership and critical thinking skills. Prioritizes high impact potential problems effectively
  • Considers broad implications of decisions on products, services and business processes; for customers/clients and P&L
  • Can clearly articulate the process of supporting a business unit's function, controls, business priorities, impact on financial reporting, operations, issues and risks associated with various processes and platforms; can quickly identify gaps, effectively communicate and proactively develop solutions
  • 10 years of direct, relevant experience in Audit, Risk, Control, and Governance
  • 7 plus years managing complex, multifaceted business area, operations or transformation
  • Strong credible knowledge of the Call Center Operations business and applicable rules, regulations and processes
  • Prior experience in senior role or a control organization, highly desirable
  • Previous with experience developing business controls and control monitoring. Business process re-engineering and/or analytics highly desired

Audit Managing Director Resume Examples & Samples

  • Expand revenue of existing clients
  • Responsible for short-term and long-term business planning; identify business opportunities for CBIZ in addition to their individual practice
  • Manager practice effectively meeting billing, realization, days outstanding and individual charge hour objectives
  • May be required to meet business development revenue expectations by adding new clients, cross serve activity and fully executing personal marketing plan
  • Serve as key client contact; viewed as trusted business advisor by clients
  • May work directly with clients and manage staff
  • May be internal advisor on technical matters as a Subject Matter Expert
  • May be a member of the Senior Operations Management Team
  • 10 years of experience in public accounting or related field
  • 10 years supervisory experience
  • Demonstrated ability to communicate verbally and in writing throughout all levels of the organization, both internally and externally
  • Proven high level of business integrity, client service and leadership skills

Director of Audit Resume Examples & Samples

  • Build relationships with senior leadership in organization to better understand the inherent risks in the TPA and Career Agency distribution models
  • Evaluate changes in the Transamerica organization that impact the audit programs and implement changes accordingly
  • Ensure proper monitoring of TPAs and field offices is in place by the owners of those areas within Transamerica and use those controls to develop audit programs
  • Evaluate control environment at the TPA and in the Career Agency offices to develop audit testing and procedures to address the most significant risks
  • Monitor NAIC Model Act 90 and 225 to ensure the audit procedures are aligned with the requirement of those acts
  • Oversee risk based approach to audits including identifying risk factors and developing scoring procedures to ensure team is focused on the most significant risks of the organization
  • Use results of risk model and Model Act to identify audits, set a schedule, and oversee timeline
  • Communicate results to TPA (Client) and Transamerica management
  • Develop annual budget
  • Work with business units on new TPA’s and provide due diligence support when necessary
  • Direct projects and provide internal control consultations to leaders and internal customers
  • Work with staff on development of organization and project management skills
  • Manage and motivate the team to business achieve goals and maintain personal/professional development
  • Bachelor’s degree in Accounting, Finance, Business Administration or related area
  • Graduate Degree or professional certification of CPA, CIA, CFE or related certification(s)
  • 15 years of audit or related business experience
  • Eight years of experience in management or lead role
  • Strong technical auditing and/or accounting skills
  • PC proficiency
  • Knowledge of systems (LifeComm, TSO, IMPACE, AWD, etc. and web based programs used by the field)

Director of Audit Resume Examples & Samples

  • Risk Assessment: Identify risks to the achievement of the Company’s objectives and to the reliability of its financial reporting. Evaluate risks with respect to likelihood, potential severity, and the potential existence of mitigating factors. Communicate key risks to the Board of Directors and management and provide recommendations for appropriate risk-mitigation actions
  • Audit Plan Development: Based on the risk assessment, develop an annual audit plan for review and approval by the Audit Committee. The audit plan will consist of a work plan and resource requirements to meet objectives identified by the Audit Committee. Review and adjust the audit plan as needed to adapt to changes in the Company’s business, risks, systems, and controls
  • Direction and Oversight of Internal Audits: Direct the activities of the internal audit department in order to execute the audit plan. Ensure audit engagements are appropriately planned and scheduled. Set standards and policies for audit engagement execution and documentation. Review audit documentation and evaluate the adequacy of audit evidence. Monitor the organization’s progress towards remediation of identified deficiencies
  • Communication of Audit Results and Recommendations: Issue timely reports of the results of audit engagements to senior management and the Audit Committee. Provide a balanced evaluation of audit results and recommendations for improvement of internal controls and operating procedures. Communicate the status of remediation of identified deficiencies. Based on the risk assessment and audit findings, present insightful analysis to senior management about trends in the organization, important developments in systems and controls, and opportunities for improvement
  • Talent Development: Attract and select talented people to improve the overall organization. Apply proven approaches for selecting high-quality employees. Support the audit team’s professional development and career advancement and provide opportunities for skill enhancement through on-the-job experiences. Utilize recognition and constructive feedback to elicit peak performance from all talent

Associate Director, Audit Innovation Resume Examples & Samples

  • Lead tactical development of content to support Audit Innovation’s communications and messaging strategy, consistent with Audit’s functional strategy including the creation of key internal- and external-facing materials supporting Audit Innovation’s vision
  • Manage the identification of opportunities to deliver collaborative Innovation work sessions under the guidance of Audit leadership and program sponsors
  • Leverage appropriate tools and technology to solicit innovative ideas from the field through and help move them forward
  • Collaborate with key Audit leaders and other stakeholders to develop and execute necessary solutions
  • Track and monitor the status of portfolio initiatives and appropriately communicate any risks or issues that may arise
  • Minimum ten years of progressive project management, professional writing skills and communications experience; innovative solutions management experience preferred preferably within a professional services firm and/or Audit client engagement experience
  • Bachelor’s degree from an accredited college or university; CPA preferred
  • Experience managing, planning and organizing projects, as well as experience leading and managing project teams helping to ensure projects are successfully completed
  • Ability to manage multiple, high-priority projects and initiatives simultaneously

Director Audit Resume Examples & Samples

  • Responsible for creation and execution of the annual audit plan for the Asia Pacific region in coordination with the global line of business and function audit heads
  • Develop relationships to become a trusted business partner with key executives, clients and regulators
  • Enhance existing processes to mature the Internal Audit Department
  • Manage a team of individuals; this includes all areas of performance management (ex: goal setting, providing timely feedback, completion of mid-year and year-end review processes) as well as audit and project execution
  • Participate in industry affiliations (ex: Institute of Internal Auditors) to keep self informed of best practices and emerging risks and trends

Assistant Director of Bill Review & Audit Resume Examples & Samples

  • 7+ years of Auditing, Claims, Review, and/or Billing experience with a Healthcare Organization; 4+ years of previous Management experience
  • Experience and working knowledge of Healthcare, Medicare guidelines and various Healthcare programs
  • Exceptional clinical skills to evaluate appropriate Medical Record Coding

Director, Manulife Bank Audit Resume Examples & Samples

  • Ability to quickly understand business processes and their risk implications, analyze complex situations, reach appropriate conclusions, make value-added and practical recommendations and influence management to take appropriate actions on recommendations
  • Excellent knowledge of audit (financial, operational and system development) methodologies, control frameworks and risk management practices, and regulatory requirements
  • Ability to effectively communicate ideas and recommendations orally and in writing, at all levels, and to listen and consider ideas of others
  • Results oriented; ability to balance multiple priorities and projects
  • Strong relationship skills including a demonstrated ability to deal effectively with all levels
  • Proven leadership and management skills in achieving departmental, project and individual objectives, and in developing staff
  • University degree plus a recognized accounting (CA, CPA, CMA, CGA) designation is preferred, with 10 years business experience. Prior management experience preferred

Associate Director, Audit Risk Management Resume Examples & Samples

  • Work directly with Business Unit (BU) leadership responsible for facilitating compliance with professional practice and risk management support activities
  • Manage and develop the professional practice staff including training and coaching
  • Lead the support efforts for the BU leadership to meet risk management compliance requirements and deadlines
  • Execute the support model in alignment with the overall strategic vision of the support team with a blended focus between execution of support for client service delivery partners and managers and tactical planning of allocated resources to meet the set objectives
  • Act as a conduit of information between the national office and the managers and staff while identifying ideas to refine local and national processes and influence the client’s expectations
  • Contribute to planning for priorities, future skills needed to address emerging opportunities and how groups should be organized and staffed
  • Minimum eight years of progressive client service delivery and/or related professional practice or risk management experience within a professional services firm or similar environment
  • Minimum four years of experience as a direct supervisor for a staff consisting of different professional levels
  • Must have a basic understanding of functional process around professional practice and risk management activities and service offerings
  • Strong communication, interpersonal, organizational, analytical and negotiating skills required

Associate Director of Audit Resume Examples & Samples

  • Coordinate and manage the execution of external Commercial Client Audits (CCA) performed by outside consultants
  • Own end-to-end CCA process (all messaging on audits, external auditor/consultant relationships, ongoing interface with health plans, arbitration of root cause ownership, internal reporting on audits) which includes verifying the contractual right to audit, negotiating scope, timing, obtaining a Non-Disclosure Agreement (NDA), facilitating on-sites, etc
  • Collaborate and work with the Quality Organization, an independent team with quality expertise and business process discipline, to manage the claim review process, determine and validate issues and root cause with SMEs, distribute internal reporting on error trends/causes, develop appropriate action plans and ensure action plans are completed and perform follow up to validate timely completion
  • Work effectively with consultants and account managers and develop positive relations through meetings and onsite visits
  • Work to effectively manage multiple audits and deliver quality deliverables within strict timeframes
  • 5+ years of experience in internal audit (operational, financial, and/or IT related) and/or external audit coordination
  • Project Management experience

Associate Director, Global Quality Audit Resume Examples & Samples

  • Ensure that sites are prepared of Regulatory Agency Inspections, especially FDA Pre-Approval Inspections, through FDA "Mock" inspections, audit and support activities and training
  • Prepares and maintains the schedule of IACS audits
  • Plans, prepares and performs audits according to the schedule
  • Prepares Executive Summaries, issues lists and audits reports based upon the above and distribute to the relevant personnel
  • Performs routine follow up of performed audits in conjunction with site management
  • Gives immediate support in the form of possible corrective actions during the audit, and contribute to management decisions in this respect
  • Provides effective and timely reporting of compliance status of the respective sites to the Head of IACS and update the relevant IACS presentation
  • Ensures the establishment of an appropriate timescale of corrective actions in cooperation with the audited sites, and support follow-up as agreed with and in conjunction with the Operational Units
  • Participates in the planning, review and approval of GMP related issues of new or remodeled facility layouts, including IQ/OQ/PQ validation activities
  • Maintains own knowledge of current IQC Policies, Standards and Guidelines as well as Industry practices and incidents, Regulatory requirements, and all other related information
  • Keep documented records of training received
  • Supports and participates in training efforts as requested by Operational Units and/or sites, including PAI preparation training and Auditor Certification training
  • Develops a "pool" of auditors throughout the Sanofi-Aventis group
  • Minimum Bachelor’s of Science or equivalent with at least +10 years relevant experience in the Pharmaceutical Industry or a major Regulatory Authority
  • Prefer fluency in English OR French plus Spanish or Portuguese
  • Risk-Controls and Management
  • GMP/ GDP Regulations i.e. ANSM, USFDA, EU, WHO
  • Certified auditor with experience in GMP/ GDP compliance
  • Quality Compliance and Regulatory Inspections
  • Continuous Process Improvements Methodology
  • Thorough experience in auditing or inspecting regulated healthcare sectors
  • Operational Experience in at least one technical field: Quality or Production Biologics OR Vaccines OR Combination Products Medical Devices OR Injectable Medicinal Products for Human Use
  • Thorough experience in GMP/GDP Regulatory Inspections USFDA & EMA
  • Advanced knowledge of regulations applicable to Medicinal and Medical Device products for Human Use
  • In-depth knowledge of Pharmaceutical Operations. #LI-SA

Director, Enterprise Client Audit & Risk Resume Examples & Samples

  • Bachelor’s degree with 10+ years of related experience in the compliance, information security, or risk field, including an audit function
  • Demonstrated experience with risk and control assessments, and/or implementing controls monitoring and testing programs with emphasis on regulatory requirements
  • Demonstrated ability to effectively partner with senior business leaders to drive strategic business decisions while balancing the need for tactical execution of compliance requirements
  • Prior experience managing people and leading teams to include effective allocation of resources and performance management

Executive Director, Audit Innovation Leader Resume Examples & Samples

  • Work collaboratively with the National Audit Innovation Leader to oversee significant investments, bringing innovative thinking to key strategic discussions with functional leadership and associated activities
  • Define the scope, approach, and relationship management approach for use with key external partners in consultation with the firm-wide and functional sponsors
  • Work collaboratively with the firm-wide initiative team and relevant leaders of Audit’s key enabling functions to maximize momentum and progress
  • Accumulate and summarize progress, accomplishments, upcoming milestones, and risks/challenges/items to escalate for the Audit VC and National Audit Innovation Leader to present status and progress to the US Management Committee, the Audit Leadership Team, and the I&ES Leadership Team
  • Support Executive Leadership on strategic initiatives by providing PMO support as needed
  • Define the scope, approach for initiatives in consultation with the firm-wide and Audit sponsors, host key scoping, design, and proto-type discussions/working sessions, and additional ad hoc meetings to escalate issues for resolution in order to optimize progress
  • Ten years of experience managing large, complex portfolios for a Professional Services Organization; Three years of leading Firmwide Innovation Initiatives
  • Bachelor’s degree in business studies from an accredited college or university; licensed as a practicing Accountant or CPA preferred; certified Program Management Professional also preferred
  • Experience managing multiple high-priority projects and initiatives simultaneously
  • Ability to work within a matrixed partnership environment and manage and motivate individuals outside of direct reporting lines
  • Ability to manage performance of direct reports against stated objectives; develop direct reports based on his/her professional development goals and mentor staff

Director R&D Internal Audit & Risk Management Resume Examples & Samples

  • Managing Performance: Ensure every employee knows what is expected of them, what it takes to be successful, and how they are progressing. Hold everyone accountable to achieve results while demonstrating Shire values
  • Developing People: Help employees continually grow through challenging opportunities so they can realize their potential
  • Bachelor’s degree in a life science required; Master’s Degree in management or scientific discipline a plus
  • At least 10 years of pharmaceutical experience
  • Ideal candidate will have broad experience in product development, clinical operations, regulatory compliance, Drug Safety and auditing
  • Project management, process improvement and / or training experience required
  • Experience working in a Matrix organization required
  • Extensive knowledge and/or awareness of GxPs, FDA, EMA and MHRA regulations, ICH Guidelines and European Clinical Trials Directive
  • Experience in managing risk profiles and risk plans
  • Experience in leading Audits / Inspections
  • Strong analytical and presentation skills
  • Strong leadership skills, and ability to inspire colleagues
  • Collaborative team player with a positive attitude who has the ability to think and act quickly and identify creative solutions to complex problems
  • Strong judgment, project management and decision-making skills; demonstrated ability to take a big-picture approach to decision-making while taking account of the broad interests of Shire
  • Strong technical writing skills. Ability to write briefing documents, quality positions, audit reports and SOPs
  • Strong attention to detail with the ability to articulate quality related risks and potential impact
  • Strong knowledge of MS Word, Excel, PowerPoint & Outlook
  • Good understanding of the drug development processes
  • A self-starter, who motivates, has tact and diplomacy and is able to define and prioritize tasks within a project
  • Demonstrates ability to manage staff across multiple geographies
  • Supports a culture of innovation and a BRAVE culture, while recognizing the need for an appropriate culture of compliance
  • Knowledge of regulatory guidelines in different geographic regions
  • Crisp decision-making and recommendations following appropriate consultation, even in times of ambiguity
  • Strategic thinking
  • Influences without authority, in a matrix environment
  • Strong attention to detail and ability to analyze complex data
  • Mature, problem solving attitude, exhibits judgment and realistic understanding of the issues; able to use reason even dealing with emotional topics and have the interpersonal skills to deliver tough messages
  • Requires a high degree of problem solving ability; understanding objectives and processes across R&D and corporate functions and when escalation is necessary

Director, Head of Audit Japan Resume Examples & Samples

  • Strive to empower others to bring efficiency to audit processes
  • Build a deep understanding of the strategy of each business area of the organisation responsible for which may impact the audit plan, including social/economic/technological trends in all client and customer groups
  • Work collaboratively to drive progress in the team, embedding the performance culture and role modelling Barclays values and behaviours
  • Mentor and coach others to be open, honest and reliable. Provide constructive, open and timely feedback to support personal and career development of others to achieve their full potential
  • Attract and retain the best people through taking part in activities inside and outside the organisation
  • Assign audit and line management responsibilities, direction and guidance to direct reports while maintaining an in-depth knowledge of activities in each area
  • Lead discussions with business management regarding audit observations and issues, consult with relevant BIA Director/MDs where applicable. Ensure all client/customer viewpoints are considered when make decisions
  • Play a proactive role in supporting the definition of risk profiles, work effectively with colleagues across BIA to ensure the BIA audit plan maximise resources
  • Continually build long-term, quality and trusted relationships with a wide network of colleagues and external partners
  • Produce concise and insightful commentary and information for BIA wide reporting, e.g. G&CC/SAC/BAC
  • Deputise for relevant BIA Director/MDs as required at Business Unit, Regional or function G&CC or relevant legal entity SACs

Associate Director, Global Internal Audit Resume Examples & Samples

  • Client excellence – To build effective partnerships with internal and external stakeholders; manage mutual expectations, and timely report information regarding the results of GIA work
  • Audit organization & strategy – To conduct GIA activities based upon professional practices such as due professional care, competency and integrity; enhancing the internal control environment, and assisting management in financial reporting governance
  • Audit planning and processes – To assist in the development and execution of the audit plan based upon risk assessment and assist management in continuous improvements

Director, Audit Resume Examples & Samples

  • Actively participate as a key member of the Global Audit Leadership team in strategic and tactical topics
  • Provide thought leadership, continuous improvement and innovation; share best practices within region and globally
  • Maintain effective relationships with stakeholders including external auditors
  • Identify, recruit talent; manage and develop audit team members
  • Develop strategies and risk-based audit plans; develop monitoring, assessment & audit protocols
  • Supervise work performed by the audit team (review of planning memos, workpapers, and audit reports); ensure that the work agrees with the Avnet Global Audit Standards; execute and issue clear and concise reports
  • Manage and supervise the annual audit of financial recording, financial reporting and fraud prevention controls in accordance with the requirements of the Sarbanes-Oxley Act
  • Responsible for resource planning, project and budget monitoring, overall quality assurance, and reporting of results
  • Handle special projects and specific management requests
  • Evaluate key processes, risks, and related management controls to determine consequences of gaps or business risks
  • Review the efficiency and effectiveness of Avnet’s processes and identify opportunities to improve operating performance
  • Identify opportunities for guest auditors to participate in internal audits
  • Partner with process owners on corrective action activities
  • Communicate and coordinate activities with Avnet’s external auditors or other third party service providers in order to maximize the Company’s return on investment in audit services
  • 12+ years professional experience performing internal audit, finance/accounting, public accounting or internal controls in an international environment is required
  • Minimum of seven (7) years management experience
  • SOX experience is a plus
  • Overall travel is typically less than 25%. As part of the Global Audit team, potential opportunities to participate in audit projects in other regions

Senior Director, Internal Quality Audit Resume Examples & Samples

  • Leads the development of strategy for Quality auditing, and reporting that drives continuous improvement in Quality programs such that the company is recognized as a leading quality performer
  • Maintains knowledge of cGMP, and anticipated, new and/or revised regulations, regulatory trends, and industry best practices across the globe
  • Through a quality system approach, ensure all GMP operations are in compliance, while maintain an efficient workflow to facilitate the operational excellence
  • Establishes and monitors the audit program deliverables
  • Assesses and established auditor qualifications to meet the audit expectations established through policies and directives
  • Develops and approves yearly audit schedules and expectations and assures schedules are maintained and audit goals are achieved
  • Ensures flexible and agile audit resourcing, with blend of technical and business skills matched to changing technologies, product types, and business arrangements
  • Creates, communicates, and supports commitment to quality and compliance standards
  • Ensures that the right skills and capabilities of people in the audit function are developed to enable staff to be flexible and adaptable to the dynamic business environment
  • Coordinates and reports the monthly metrics and provides feedback on performance against predefined objectives
  • Works closely with the VP of Quality Audit to contribute to quality strategy and to develop and refine audit strategies
  • Identifies systematic problems and coordinates corrective actions, systems or process changes that will resolve problems and improve operations
  • Provides reports of audit performance at the individual site level as well as executive summaries of performance trends across Patheon’s Business Units
  • Monitor industry and regulatory guidelines and trends, and recommend changes in company’s procedures to reflect changes in technology and current regulatory environment
  • Monitor the GMP systems currently in place to ensure compliance with documented policies

Associate Director, Audit Resume Examples & Samples

  • A minimum of 5 years of finance and/or audit experience
  • Ability to identify and integrate patterns, trends, and inconsistencies across data sources to determine their broader implications
  • Coach in ways to improve team cohesiveness and effectiveness
  • Maintains team’s focus in the face of distractions, problems or crises
  • Ability to proactively share information through appropriate mediums to keep others informed
  • Ability to use an open communication style that actively acknowledges other thoughts and opinions
  • Willingness to travel within assigned regions/entities both domestically and internationally to complete testing; estimated travel up to 30% of the time
  • A professional audit and/or control, security certification such as CPA, CISA, CIA, CMA, CFE
  • Experience with Sarbanes-Oxley compliance

Director, Audit Professional Practice Resume Examples & Samples

  • Design and document process and controls related to audit professional practice and risk management support activities
  • Develop the overall direction and strategy for process and controls related to risk management and professional practice compliance
  • Oversee consistent application and sharing of leading industry practices across the Audit practice
  • Lead the implementation of the strategy through the business unit and pro-actively initiate necessary improvements
  • Manage the performance and development of the staff including training and coaching
  • Minimum ten years of client service delivery, professional practice and/or risk management experience; preferably within a professional service environment
  • Bachelor’s degree from an accredited college or university; CPA a plus
  • Experience leading a team and implementing policy
  • Understanding of PCAOB standards, as well as COSO framework preferred
  • Strong communication, interpersonal, organizational and analytic skills
  • Proficiency in Microsoft Office Suite applications including Word, Excel, PowerPoint, Access and Outlook

Internal Audit ERM Director Resume Examples & Samples

  • Manage the Enterprise Risk Management Framework
  • Redesign and implement the framework which includes the risk management entity structure, risk appetite, risk management taxonomy, enterprise-wide risk assessment process, and key risk indicators
  • Develop and implement Risk Management policies and procedures
  • Develop regular risk management reporting for Senior Management, the Risk Management Steering Committee, and the Audit Committee
  • Develop management processes and tools to support the identification and assessment of existing and emerging risks within the Company's operating areas
  • Lead the Company's annual risk assessment and associated reporting process
  • Lead and facilitate Risk and Control Self-Assessment process and reporting and support the embedding of risk assessment and monitoring discipline in operating plans
  • Provide objective assurance and advisory services, including identification of significant risks, risk tolerance and risk response strategies/actions
  • Analyze specific risks and work with business units to ensure that risk metrics remain within tolerances
  • Ensure effective challenge of risk assessment and management of key risks within the Business and Corporate functions
  • Coordinate risk management activity across disciplines
  • Manage the Risk Management Governance Processes
  • Ensure alignment of enterprise risk assessment with Internal Audit risk assessment process
  • Coordinate with Corporate M&A team to incorporate risk management into due diligence processes
  • Lead the Business Continuity Program
  • Ensure all Business Units and Corporate Functions have effective business continuity plans
  • Run frequent and regular testing
  • Coordinate plans and testing with Disaster Recovery Program

Director, Audit Quality Professional Practice Resume Examples & Samples

  • Develop and implement remedial actions to address the root causes of audit quality challenges and perform ongoing monitoring of the effectiveness of the remedial actions; Support engagement teams with audit issues
  • Create and maintain guidance for the KPMG Audit Manual
  • Develop, coordinate, and deliver internal and external professional education programs about audit topics
  • Monitor standard-setting activities and assist in developing KPMG guidance about Accounting and SEC topics
  • Accumulate and prepare analyses of audit quality matters identified by PCAOB inspections and QPR reviews
  • Design and conduct in-flight/in-depth review programs
  • Participate in monthly Issue Council meetings
  • Seven+ years of current and/or recent financial statement audit experience within a public accounting firm with demonstrated supervisory experience
  • BA/BS degree from an accredited college/university and licensed CPA
  • Demonstrated, advanced working knowledge of U.S. Generally Accepted Accounting Principles (GAAP) and/or International Financial Reporting Standards, U.S. Generally Accepted Auditing Standards (GAAS), Public Company Oversight Board (PCAOB) Auditing Standards, and SEC Rules and Regulations
  • Solid writing and organizational skills
  • Strong analytical, project management, problem solving and decision making skills

Director, Audit Resume Examples & Samples

  • Manage and coordinate the execution of audits across the business, ensuring that audit testing plan is properly focused to address key risks and focused on delivering value to the business, are consistently delivered to a high quality standard and on schedule
  • Supervise and support audit team during the audit process to validate focus is placed on key risk items, audit findings are value adding, solutions are pragmatic and address root causes, and lead to control/process improvements
  • Work with team to understand audit findings and identify key themes and trends that could lead to future control environment weaknesses
  • Ensure audit activity is in compliance with international professional standards, work papers support findings and are saved in audit software (Pentana Audit Work System)
  • Proactively manage communication between auditor / audit team, Head of US Audit and auditee to ensure alignment on audit opportunities
  • Develop and maintain effective relationships with key stakeholders in order to capture and share common industry best practices, understand and challenge business processes
  • Understand National Grid’s businesses and procedures by reviewing annual business plans, performance and KPI reports and regular exchanges with key stakeholders, in order to identify and understand business changes and developments which may impact the control environment
  • Keep up to date with regulatory and wider audit developments in order to assess the optimization of best practice for National Grid
  • Manage and develop audit team by providing constructive feedback and setting challenging but achievable objectives that include self development
  • A Bachelor's degree in a business administration, accounting, engineering or relevant field; MBA a plus
  • 10+ years of relevant work experience, Internal Audit in a large energy company and / or Big 4 experience preferable, with diverse business knowledge
  • Professional certification or equivalent in relevant area (e.g. Certified Internal Auditor, Certified Public Accountant)
  • Excellent knowledge and understanding of audit legislation, internal control frameworks, audit systems and risks
  • Knowledge of current trends within the industry and developments in legislation or regulation within the energy sector
  • Knowledge of GAAP, IFRS and SOX requirements is preferable
  • Management responsibility for 4 - 6 auditors

Director Investigations, Internal Audit Resume Examples & Samples

  • Directs and/or executes investigation work and fraud related audits, ensuring deadlines and budget expectations are met; allocates department resources to ensure completion of fraud investigations
  • Anticipates and influences internal/external fraud related control processes that have an impact on the Company; applies fraud related business and management expertise to drive operational performance; assesses fraud risks and develops and recommends strategies for mitigating risk
  • Performs a high level review for project testing/investigation, documentation, and conclusions
  • Creates and/or reviews audit/investigation reports and deliverables, including Audit Committee deliverables and other requests by the VP, IA
  • Coordinates with management to determine practical and effective action plans for IA findings/recommendations; influences management decisions that have an impact on business direction
  • Provides independent consulting services as requested by management and approved by the VP, IA. Investigates accounting complaints and report results of investigation to the VP, IA
  • Ensures fraud investigations are in compliance with applicable laws and standards
  • Collaborate effectively with auditors and VP, IA
  • Manage/mentor team members as appropriate and assist with performance reviews and other managerial tasks; perform Department administrative tasks, as assigned
  • Other activities as assigned
  • Bachelors in Finance, Accounting, Forensics Accounting, Criminal Justice, or equivalent
  • 10+ years forensics, investigations, accounting and/or audit experience, or equivalent preferred
  • Financial Services experiences preferred
  • Expertise in leading edge practices, technique, or technologies related to fraud processes and controls
  • Knowledge and experience engaging and coordinating with law enforcement
  • Comprehensive knowledge of legal aspects of investigations to ensure compliance with applicable laws and regulations including privacy, chain of custody, evidence preservation, and admissibility of evidence
  • Strong working knowledge of criminal justice system and civil litigation, including differences in outcomes and burden of proof
  • Experience providing testimony in court
  • Experience in fraud interrogations and interviews
  • Strong verbal and written communication; skilled communicator who influences and shapes the image of Internal Audit across the Company; executive presence
  • Extremely strong organizational and project management skills; ability to run various administrative internal audit functions as well as manage audit and investigative work

Audit Manager / Director Resume Examples & Samples

  • 8+ years of Audit (Financial and Operation) experience in a Public Accounting setting
  • Bachelor's Degree in Accounting and/or Finance
  • Previous experience within a Broker/Dealer, Investment Advisory or Real Estate setting

Director, Claims Audit Resume Examples & Samples

  • Develop and maintain baselines to establish standards relating to claims payment accuracy
  • Develop and maintain tracking systems and reports to measure performance against established standards
  • Monitor performance (in relevant areas) according to agreed standards and take necessary action to communicate, advise, and assist according to performance levels
  • Establish and implement necessary communication strategy for improvement and awareness of quality issues across all departments
  • Propose and maintain policy and procedures for the Department
  • Collaborate with impacted Departments to create corrective action plans for claims quality improvement
  • Present findings and discuss corrective action with Senior Management
  • Required Other or four (4) yrs equivalent work experience
  • Preferred A Master's Degree in a related field
  • Required 7+ years of experience in health insurance claims processing or configuration
  • Required 3+ years of experience in a management role
  • Advanced Ability to influence internal and external constituents
  • Advanced Demonstrated problem solving skills
  • Advanced Demonstrated written communication skills Able to write effectively and to extract information from written materials
  • Advanced Other Ability to analyze and research data
  • Advanced Other Able to clearly present information orally and/or influence others through oral presentation in positive or negative circumstances
  • Intermediate Other Excellent knowledge of Medicare and Medicaid reimbursement methodologies
  • Intermediate Other Basic knowledge of statistical sampling methodologies
  • Required Advanced Microsoft Excel
  • Required Advanced Microsoft PowerPoint

Director Audit Resume Examples & Samples

  • Strong ability to identify and promote compliance and operational improvement
  • Strong leadership development of people skills
  • Strong verbal and written communication and collaborative influence skills
  • Bachelor's degree in accounting, finance or other business related fields and ten years related work experience or fourteen years related work experience post high school
  • At least 5 years of progressive project/people managerial experience
  • Advanced degree(s) in accounting, finance or business related field preferred; CIA or CPA certification is a plus
  • Notable experience leading and performing complex projects with a deep understanding of the wireless industry, network functions, risk assessment and process improvement
  • Broad familiarity with key information technology risks and controls and available technology based audit technique
  • Experience presenting to governing senior management and/or the Board of Directors

Internal Audit Manager / Director Resume Examples & Samples

  • Plans, manages and owns execution of financial, process, regulatory, operational audits by: 40%
  • The audit manager is responsible for conducting a risk assessment to include operational and financial processes and balances � both routine and unique to the audit
  • Properly defines audit scope and approach including clear delineation of financial statement assertion risks, identification of significant classes of transactions to include in scope and de-scope; and assess the need for control-only, substantive-only, or substantive and control required testing procedures
  • Develop and maintain a thorough understanding of t
  • Travel to various Company locations, globally � approximately 20% of time
  • Manages audit team; is responsible for directing, coaching, coordinating and evaluating team members. Ensures audit scopes and objectives are clear and helps team effectively manage deadlines
  • Liaise with management and external auditor, Ernst & Young, to efficiently perform test of controls for compliance with Sarbanes-Oxley Act
  • Provide Leadership to internal audit team, develop staff to operate with functional excellence: 20%
  • Builds and maintains strong cross-functional partnerships with finance, IT and operating teams
  • Recruit, motivate and train a high performing staff. Conducts performance evaluations of staff, mentors, motivates, and develops staff and serves as a resource to them in order to facilitate their professional development. Leads the development of team goals and objectives and the plans necessary to achieve the internal audit plan and personal projects

Internal Audit Manager / Director Resume Examples & Samples

  • Assists the Internal Audit Director with Enterprise level planning, Annual Audit Plan, and Audit Committee Reporting
  • Briefs executive management on audit objectives and procedures, and obtains their support and cooperation in planned audit activities
  • Manages Internal Auditing Program in the Corporate office environment, as well as across all Branches
  • Conducts risk assessments to identify all Internal Audit activities and evaluates the nature and significance of risk exposures within existing processes, systems, operations, and activities
  • Plans and develops detailed internal audit strategies
  • Prepares and maintains resource schedules to most efficiently and effectively meet Internal Controls over Financial Reporting and Internal Audit plan objectives
  • Manages as well as conducts internal financial, operational, compliance and/or IT audits
  • Reviews papers and reports to ensure appropriate documentation and support
  • Prepares written audit findings, and recommends courses of action to improve noted conditions
  • Conducts special projects, as requested, and makes recommendations for control, procedural, or system design improvements

Internal Audit Manager / Director Resume Examples & Samples

  • Lead audit engagements including audit meetings with management, oversight of audit fieldwork, and preparation of audit reports with audit deficiencies and recommended control enhancements
  • Lead business process reviews to identify and assess SOX controls, both IT and manual
  • Accordingly, develop an approach to test the IT controls
  • Assist with the annual risk assessment and audit planning process
  • Participate in planning meetings with IT Governance, Ops and Finance functional area leaders and external auditors to identify areas of efficiency, concern, and emerging trends
  • Evaluate the design and effectiveness of the internal IT controls for the corporation globally
  • Examine, analyze, and interpret audit evidence to detect deficient controls, management policies, and fraud
  • Collaborate with the internal audit management team on the internal audit process design and effectiveness and lead process improvements as needed, combining a knowledge of both the financial and IT controls and processes in place within the organization
  • Ensure compliance with Sarbanes-Oxley 404 requirements
  • Train and develop audit staff
  • Travel approximately 25% of the time

Audit Manager / Director Resume Examples & Samples

  • Service Specialization: Clients may be in any industry with a need for a technical expert, or the Director may be industry focused. S/he serves clients in a high impact manner, demonstrating command of their major area of specialization. Demonstrates deep technical skills, general industry knowledge, and knowledge of the firm’s capabilities. Expand technical and professional knowledge through greater exposure to new client situations, regular self-study and formal training opportunities
  • Leadership/New Business Development: Excel at engagement management and operational excellence, developing standards in these areas for the firm. Provide leadership on client engagement, effectively managing the expectations of clients. Exhibit strong people management and team building skills. Establish leadership authority with team on engagements. Work effectively in executing engagement responsibilities. Demonstrate personal productivity and maintain high levels of utilization and region profitability by supporting multiple industry and service areas when not working in their respective major areas. Understand the firm’s financial model and ensure profitable delivery of engagements. Support business development opportunities as a high ranking expert and expand existing relationships through demonstrating high value and good strategic partnering capabilities. Build lasting relationships with clients and subordinate staff
  • Leading with Impact: Leads and motivates others with influence rather than power
  • Entrepreneurial Grit: Expresses new ideas to creatively and innovatively deliver quality service
  • Ownership Mindset: Generates a climate of confidence in the success of the firm and champions the firm’s goals and values
  • Client Service Excellence: Anticipates client needs and looks for opportunities to provide proactive consultation
  • People Development: Provides coaching opportunities for others to develop and pursue their passions
  • Clear Communication: Communication has high impact and encourages openness
  • Teamwork & Collaboration: Achieves greater results by leveraging the power of teams
  • Growing the Business: Identifies opportunities to expand or develop new services to help clients meet their objectives
  • Experience: A minimum of seven (7) years of experience in a large professional services or public accounting firm driving strategic management
  • Education: Bachelor’s degree in Accounting, Finance, or related field

Associate Director, Global Internal Audit Resume Examples & Samples

  • Client excellence – to build effective partnerships with internal and external stakeholders; manage mutual expectations and timely report information regarding the results of GIA work
  • Audit organization & strategy – to conduct GIA activities based upon professional practices such as due professional care, competency and integrity; enhancing the internal control environment, and assisting management in financial reporting governance
  • Audit planning and processes – to assist in the development and execution of the audit plan based upon risk assessment and assist management in continuous improvements

Audit Operations Technology Director Resume Examples & Samples

  • Responsible for the development and support of IA’s applications, the primary of which is the Audit Information Management System (AIMS) as well as developing a long term Information Technology strategy
  • Responsible for leading a team of system analysts and a technology help desk staff based in 4 regions. 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
  • Responsible for managing the AIMS Steering Committee
  • Responsible for presenting progress on IA’s technology initiatives to the IA Executive Management team and to the IA audit teams around the world
  • Responsible for managing the AIMS project end-to-end
  • Responsible for managing the relationships with Global Functional Technology Services (GFTS) who provide development support for all IA applications
  • Provides oversight over the development of detailed business requirements through discussion with IA stakeholders
  • Provides oversight over planning and execution of UAT activities for each AIMS application release
  • Provide oversight on effective integration with other Citi systems including iCAPS
  • Ensures required training materials are developed and maintained for IA applications
  • Uses excellent communication, leadership and strong management skills to influence a wide range of internal audiences including IA’s Product and Centre of Excellence Chief Auditors, Heads of Audit, the IA Operations team, IA Quality Assurance Team and GFTS as well as external audiences including regulators
  • Possesses a broad and comprehensive understanding of audit methodology and technology management
  • Delivers cost effective and efficient management of IA’s technology offering
  • Actively supports IA’s and management’s efforts for Citi to have a “Strong” internal audit function and for Citi to have “Strong” control functions
  • Specific subject matter expertise regarding Internal Audit
  • Experience with technology application control disciplines a plus
  • Demonstrated experience in managing teams

Director, Ops Risk & Audit Controls Resume Examples & Samples

  • Team Leadership – Demonstrate strong leadership skills while leading team of Operations Control, Risk Control and Trade Regulatory Reporting professionals
  • Deliver Trade Regulatory Reporting strategy and roadmap and centralization; Ensure compliance and controls are in place; Design for future regulatory environment. Manage day to day execution and delivery of Trade Regulatory Reporting for Brokerage Operations
  • Coordinate and assist Operations leadership with Risk and Controls Self Assessments
  • Lead Root Cause Analysis program and problem solving among all members of CRO, Retail and IBS relative to Risk/Audit issues that impact the enterprise
  • Responsible for reporting status of risk item remediation and assist with functional area testing and consultation as needed
  • Liaison to Corporate Risk on Committee structure and Risk Controls Self Assessments
  • Coordination of SOC1, FICCA and SCOTs based reviews within Operations
  • Assist with annual schedule and planning related to audit reviews. Responsible for reporting status of audit item remediation and assist with functional area testing and consultation as needed
  • Liaison to IBS and Retail Audit teams as member of community of practice representing Clearing’s interests. Liaison with Corporate Audit on both proactive activities as well as formal audits throughout the organization
  • Coordinator of Training related to risk and audit for Brokerage Operations/Clearing Associates. Assist in the delivery of training and awareness of risk and audit topics to all Brokerage Operations/Clearing Associates relative to knowledge workers’ role in a culture of compliance
  • Lead Brokerage Risk Committee; and the roll up of all Enterprise level committees that fall under the purview of clearing; Develop key risk indicators and programs designed to improve the Risk Mitigation practices for Brokerage Operations/Clearing by increasing awareness, quantifying risk exposures, and testing the defined controls across Brokerage Operations
  • Ensure appropriate risk awareness/issue management reporting
  • Oversight and guidance on WSPs, operational manuals; develop policies, procedures and supervisory requirements for Operations as well as Clearing functions performed in other business units

Director, Audit Resume Examples & Samples

  • Extensive experience as an external audit practitioner working for a large chartered accounting firm
  • Hands on experience leading your own portfolio from a varied client base
  • A willingness to be involved in Business Development initiatives with a strong and polished communication and presentation style
  • An industry specialism ideally in Mining, Resources and/or Energy is preferred but not essential
  • Strong leadership skills to successfully lead and develop teams and junior staff
  • An ability to nurture and grow relationships at a senior level
  • Relevant CA or the equivalent qualification is a must

Director of Audit for Asset Management Resume Examples & Samples

  • Plans and oversees multiple Risk & Control Services activities concurrently using a disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes
  • Broadly recognized for knowledge/understanding across multiple business lines and/or for demonstrated expertise in a critical subject matter area
  • Master project leadership skills. Leads and/or oversees multiple concurrent projects
  • Transfer knowledge and assist others to achieve proficiency in audit skills and business knowledge
  • Supervises Risk & Control Services plan and the quality of activities and projects executed, on time and within budget. Maintains detailed understanding of plan status for SOX/MAR and audit engagements
  • Provides input and insight into the annual planning process
  • Proactively coordinates across Risk & Control Services to ensure delivery of audit plan
  • Gathers materials for input into Executive, Board and Governance forums as necessary
  • Understands the business to efficiently and effectively resolve complex issues and to perform complex risk assessments
  • Presents findings and recommendations to business leaders to gain concurrence and achieve timely corrective action. Serves as a key interface with VP level business leadership
  • Provides thought leadership and guidance upward, downward and to business partners
  • Lead and develop a team to effectively deploy resources to meet organizational needs. Arranges formal training or other experiences to foster learning and development. Develops goals and cascade goals to ensure alignment with the overall strategy. Performs ongoing capacity analysis to ensure resources are fully utilized. Provides action-oriented feedback, holds others accountable for results and takes appropriate action when performance does not meet expectations
  • Creates recommendations for updates and changes to the overall Risk & Control Services plan, processes and methodologies. Performs ongoing review and adjustments of the plan to ensure activities and projects are focused on risk areas and value to stakeholders
  • Ensures work is completed within established timelines
  • Proactively communicates/escalates challenges and roadblocks that impact ability to meet established timelines
  • Refers and/or hires diverse, talented people, proactively trains and mentors and fosters a culture of engagement where people are motivated to achieve peak performance
  • Leads team, sets expectations, delegates effectively, provides action-oriented feedback, holds other accountable for results
  • Experience leading multiple projects/teams
  • Industry experience in public accounting, internal audit, technology, or related financial services field
  • Master’s degree
  • Degree focus: Accounting, Finance, or related
  • Investment product knowledge including front, middle and back office operations/processes
  • Advanced degree or professional certification
  • Strong understanding of controls in a technology environment

Internal Audit Manager / Director Resume Examples & Samples

  • Understanding and developing internal controls
  • Evaluating risks to the company and developing ways to mitigate said risks
  • Working with Accounting team to update Accounting Policy Manual and check for control gaps
  • Testing various business units for compliance with established controls

Senior Director, .T Audit Resume Examples & Samples

  • The candidate must possess a degree in Accounting, MIS, Computer Science or related disciplines from an accredited university
  • Minimum of 15 years Information Technology audit experience or equivalent is required
  • Strong technical skills including experience performing and leading general controls, application, and business process reviews
  • Thorough knowledge and practical experience in the areas of Risk Management and/or Information Technology Risk Management required. Includes experience developing, implementing and/or executing risk assessment methodologies
  • Skilled in executing technology risk assessments demonstrating strong knowledge and industry best practices/frameworks (COBIT 5, ISO 27002, NIST, etc.) relating to IT processes such as cyber/information security and/or technical privacy, technical resiliency/business continuity, incident/problem management, data management, configuration/change management, and systems development/deployment (SDLC), as well as technology platforms and solutions
  • Successful leadership in recruiting, managing and retaining a team of professionals
  • Excellent interpersonal skills including verbal and oral communications
  • Knowledge of Sarbanes Oxley Act including scoping, application of control frameworks, controls design evaluation, operational effectiveness testing and the conclude process
  • CISA or CPA certification is required
  • Must have U.S. Citizen or Green Card due to possible access restrictions on military installations or computer systems
  • Consulting or “Big4” experience is a plus
  • Experience performing HIPPA, PCI, NIST or FISMA assessments
  • Experience auditing registration or certificate authorities
  • International experience highly desired

Director Gbm-gt Audit Resume Examples & Samples

  • Audit Execution - Ensure that the audit team executes the audit plan to meet the audit objectives within the budgeted time. Also complete review of all work paper files to meet Internal Audit Quality control standards. Work with VP in ensuring appropriate audit coverage and minimize duplicate audit efforts between internal and external auditors
  • Other - Be an integral part of the GBM team and work closely with other teams in integrated audits. Play an active role in Department initiatives. Build and foster on-going relationships with audit clients. Make internal and external presentation as required. Continue self-development to expand or maintain an understanding of the business line’s key processes and business applications. Keep abreast of changes in laws, regulations, professional standards and changes in the Bank that could affect the business risk profile. Be a Subject matter expert with respect to market risk management functions and regulatory requirements (including Dodd Frank, Volker and other derivative regulations)
  • Financial institutions audit (internal or external) experience, focused on trading products / market risk management / counterparty credit risk management / operational risk management, including a good understanding of audit methodology

Associate Director of Internal Audit Resume Examples & Samples

  • Comprehensive knowledge and experience in team building, training, supervisory principles and practices, mentoring, and leadership skills in a professional auditing environment
  • Thorough understanding of risks and controls and the demonstrated ability to direct and/or conduct financial; operational; compliance; fraud, waste, and abuse; and information systems audits. Maintains knowledge of new technology, changing control risks and related control techniques
  • Comprehensive knowledge of auditing principles, theories, and application, to include Generally Accepted Auditing Standards (GAAS), International Professional Practice Framework (IPPF) by the Institute of Internal Auditors (IIA), Generally Accepted Government Auditing Standards (GAGAS/GAS), Control Objectives for Information and related Technology (COBIT), and accounting pronouncements and industry guidance in accordance with the Governmental Accounting Standards Board (GASB), the American Institute of Certified Public Accountants (AICPA), Generally Accepted Accounting Principles (GAAP), and IT security frameworks and protocols
  • Demonstrated ability to work independently and apply audit principles and concepts in the conduct of a variety of audits, concurrent audit tests, and conventional audits, and evaluate data, business processes, assess alternatives from financial and non-financial data to formulate logical and sound decisions, conclusions, and/or recommendations, accountability, performance, and efficiencies
  • Must have experience interpreting and applying pertinent laws and regulations to specific situations
  • Advanced knowledge of tools and techniques needed to review and assess controls in computerized information systems and their environments, using accounting systems, enterprise resource planning applications, and other information systems
  • Demonstrated ability to establish collaborative partnerships with varied leaders at multiple levels of the University that improve strategic initiatives
  • Excellent writing and communication skills, including proven ability to prepare and present clear and concise reports to executive and senior management and Board of Visitors, and articulate complex and/or technical issues to various levels of university stakeholders
  • Advanced technical skills, including experience in development and use of Computer Assisted Audit Techniques (CAATs) and current office software such as MS Word, MS Excel and MS Access
  • Master’s degree in accounting, finance, or related field, or Bachelor’s degree and significant related experience
  • Relevant experience in internal auditing or public accounting, including 2-3 years of increasingly responsible leadership experience
  • CPA, CIA, CISA, CFE, and/or other relevant professional certification
  • Significant audit experience in a higher education, a plus
  • Previous experience with business processes of large, decentralized organizations
  • Experience using ERP systems such as Banner® by Ellucian and PeopleSoft
  • A level of knowledge, understanding, and application of Client-Server technology, Active Directory, Cloud computing and other Microsoft technologies

Director, Audit Technology Resume Examples & Samples

  • Collaborate with the VP of Audit to develop and implement an audit plan that includes an assessment of all relevant risk factors
  • Assist and contribute to Workday’s Internal Audit strategy and roadmap
  • Contribute to the development of Workday’s Internal Audit Professional Practices. Assist in the implementation of processes and tools supporting the Practices
  • Manage multiple administrative functions including (but not limited to) scheduling of resources, management of co-sourced audit relationship, and oversight of budget. Oversee the development and publication of audit management reports designed to facilitate the management of the function
  • Advocate and leverage the use technology across the function and throughout the audit process with particular emphasis on data analytics. Champion continuous auditing efforts and supporting strategies
  • Manage and execute audits, including identifying and analyzing risks, planning and prioritizing the audit work, conducting interviews, observing operations, documenting and analyzing procedures and controls, performing audit tests, preparing appropriate workpapers, developing audit recommendations, reviewing identified issues with appropriate management, and preparing audit reports
  • Establish and maintain relationships with key executives as identified by the VP of Internal Audit, with a broad focus on technology across operational, development and product functions
  • Assist in the facilitation of the Workday’s Enterprise Risk Assessment process including interviews with key senior leaders
  • In collaboration with the Internal Audit team, identify and develop audit techniques including continuous auditing, data analysis and monitoring leveraging the Workday platform and service. Identify and promote audit best practices associated with the use of Workday core platforms, applications and capabilities
  • Actively assist in recruiting, screening, hiring, developing, and mentoring audit colleagues. Share information among the Internal Audit group, transferring knowledge and providing instruction and guidance as appropriate. Foster and maintain a healthy, collaborative team environment and strong group morale
  • Develop and maintain collaborative working relationships with management, learning and understanding the business to better provide value-added services, establishing credibility as a management consultant and internal controls resource, and ensuring audit client satisfaction
  • Continue to develop and expand knowledge of the audit profession, our industry, and Workday products and information through self-study, research, and continuing education efforts
  • Represent Internal Audit as assigned on committees and projects relating in particular to technology risk, security, compliance and privacy domains
  • Ten years plus internal audit experience with 7 years in a senior level audit leadership role
  • Bachelors or equivalent in technology or business related field. Appropriate certifications in technology and/or auditing are preferred
  • Demonstrated experience managing a portfolio of audits, concurrent oversight and execution of multiple projects
  • Experience managing integrated audits that address a combination of financial/operating and technology objectives
  • Demonstrated experience, skills and knowledge with IIA Professional Practices and Standards
  • Written, verbal skills and experience appropriate to executive and board level reporting and presentation
  • Experience in a SaaS or technology related company is highly preferred
  • LI-KL

Director Audit Resume Examples & Samples

  • Selects, trains & motivates a staff of approximately 35 employees and administers an annual operating budget of approximately $2.7 million
  • Directs & coordinates certain auditing activities with external auditors & auditors from regulatory agencies. Assesses risk and areas of high impact for focus of audit activity
  • Communicates effectively with senior & executive management, CEO, CFO & Audit Committee of the Board of Directors to ensure major company financial & operational deficiencies & opportunities are addressed with appropriate remedial or corrective action implemented by management
  • Plans, organizes & directs the company's global audit activities. Communicates through oral & written channels to senior & executive management & the Audit Committee of the BOD, results of such activities
  • Audits the financial reporting, operational, revenue, treasury, conversions & expenditure systems of the corporation to identify & report any significant weaknesses in the system of internal control, both domestically and internationally
  • Audits large contractual vendors for the purpose of determining the validity of billings to the company as well as to review related internal controls in the areas impacted by the vendor
  • Assesses corporate strategies & tactical plans for the purpose of identifying opportunities to increase revenue, reduce cost or increase productivity & service levels
  • Prepares reports annually or semi-annually analyzing trends in performance & identifying company-wide risk areas of the benefit of senior management
  • Audits pre or post acquisition of domestic or international companies to 1) Assess integrity of financial data upon which acquisition is based, including adjusting accounts to reflect conformity with generally accepted accounting principles, as necessary, 2) Evaluate internal control environment, 3) Assess compliance with the purchase agreement, 4) Evaluate compliance with foreign corrupt practices act &/or 5) Address specific issues for senior management
  • Conducts system development project management studies that focus on development of strategic corporate computer systems & include a complete study of project management techniques utilized during systems development process, which will help ensure design & development of appropriate internal controls & ensure that adequate testing is performed prior to implementation
  • Conducts general data center controls review that focus on internal control environment governing development & mx of application software; security of program libraries, data files, databases & our telecom networks operation of our data centers & computer systems; disaster recovery plans & changes to computer operating systems & program products software
  • Knowledge of FedEx domestic and international operations as well as FedEx domestic and international IT infrastructure
  • ISO framework
  • Data Analytics – strategies and methodologies
  • Working knowledge of risk-based control, assurance, quality, process and project management frameworks and mythologies, such as COBIT, Prince2, PMBOK, ITIL, TOGAF, CMMI, ISO
  • One of more industry certifications – CPA, CIA, CFE, CISA, CRISC, CISSP, PMP, CCSA