Director, Internal Audit Resume Samples

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LG
L Gottlieb
Loyal
Gottlieb
8258 Lura Parkways
Dallas
TX
+1 (555) 366 4621
8258 Lura Parkways
Dallas
TX
Phone
p +1 (555) 366 4621
Experience Experience
03/2014 present
New York, NY
Senior Director, Internal Audit
New York, NY
Senior Director, Internal Audit
03/2014 present
New York, NY
Senior Director, Internal Audit
03/2014 present
  • Work with top management to develop tools and techniques to strengthen risk management and internal controls
  • Completes performance appraisals and development plans for direct reports during the annual and interim performance evaluation process
  • Provides input to policy development to manage risk and exposure for the company
  • Prepares and makes presentations to executive management regarding key issues and matters of significance to the organization
  • Directly provides guidance and develops leaders for the Internal Audit Department
  • Manage special projects to analyze and improve controls and streamline processes and procedures to align them with Red Hat’s mission and strategies
  • Establish Quality Assurance and Improvement Program and facilitate internal and external quality assessments
10/2007 02/2014
Boston, MA
Director, Internal Audit
Boston, MA
Director, Internal Audit
10/2007 02/2014
Boston, MA
Director, Internal Audit
10/2007 02/2014
  • Manage third party staff under a co-source agreement to execute audit and SOX work
  • Establish department strategy, objectives and standards of performance and monitor accomplishments while maintaining continuous process improvement
  • Complete performance appraisals and development plans for direct reports during the annual and interim performance evaluation process
  • Responsible for developing hypotheses, analysis framework, and providing recommendations
  • Work on project teams focused on advisory projects and assist engagement management to successfully complete engagement objectives
  • Providing added value to the business by identifying opportunities to improve and drive positive change in governance, risk management and internal controls
  • Manage the Enterprise Risk Management framework
08/2003 06/2007
Detroit, MI
Director Internal Audit
Detroit, MI
Director Internal Audit
08/2003 06/2007
Detroit, MI
Director Internal Audit
08/2003 06/2007
  • Successful history of problem solving to drive changes to business process and practices that provides significant improvement to operating performance
  • Lead and mentor project teams focused on advisory projects and assist engagement management to successfully complete engagement objectives
  • Strong leadership and talent development capabilities so as to develop talent within the organization
  • Demonstrated track record of leading project teams, developing new business, and development of proposals for financial services clients
  • Performs all duties inherent of an MSC Director as defined by the code of conduct, including hiring, termination, review and development of associates
  • Act as a formal client relationship manager between CF A and Healthineers senior management
  • Lead closing meetings with management, presenting findings, conclusions and recommended improvements
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Kent State University
Bachelor’s Degree in Accounting
Skills Skills
  • A solid understanding of business practices and knowledge of gas utility industry highly desirable
  • Highly professional with a strong work ethic
  • Strong technical accounting and auditing skills, including strong knowledge of IFRS and US GAAP
  • Detail oriented but able to quickly grasp the bigger picture
  • Strong knowledge and experience using MS Office, Visio, and data analysis tools
  • Strong organizational/project management skills, the ability to efficiently progress multiple assignments
  • Strong attention to detail with proven consistency
  • Proven ability to build and foster professional relationships and influence others effectively at the management and staff levels
  • Knowledge of internal audit and accounting principles and standards of professional audit practice
  • Strong communication skills, ability to communicate at all levels of the business
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1

Managing Director Internal Audit Resume Examples & Samples

  • B.S. required; MBA a plus
  • Must have 5 - 10 years financial services experience, preferably in a large global financial services environment with at least 3 years in audit or other control related functions
  • CPA, CIA and/or CISA certification required
2

Director, Internal Audit Resume Examples & Samples

  • Bachelor’s degree in accounting, finance, business administration or related field required; advanced degree in the same or related discipline preferred
  • 10+ years of internal audit or public accounting experience; minimum 5 years financial industry experience (banking or brokerage firm, or serving large financial clients in a professional services firm); minimum 5 years in a leadership capacity with superior team building skills
  • Professional certification and/or licensing (e.g., CPA, CIA, CFE, or CISA; or Series 7, 24, 27, 99, or other relevant
3

Director, Internal Audit Resume Examples & Samples

  • Responsible for initiating and managing audits, that includes financial, operational, compliance and information technology audits. The results of these audits will help the business manage strategic risks, improve or develop efficient and effective business processes, identify and communicate best practices, and foster appropriate control levels for operational and financial risks
  • Responsible for performing a risk assessment and then develop and execute the annual audit plan that is aligned with company’s strategy and performs duties necessary to achieve the internal audit objectives and scope
  • Responsible for presenting the annual audit plan to the Vice President of Audit and participate in presentations made to Global CFO and SVP Finance
  • Responsible for developing detailed audit programs for different audit areas
  • Coordinate with other regional directors to harmonize internal audit practices, share information and identify complementarities
  • Responsible for overall execution of the individual audits. This includes: (1) Preparing engagement letters for the audits and work with Local CFO to define the audit timing and audit scope, (2)Performing fieldwork (i.e. interviews, sample testing, analysis and discussions with the clients) to identify audit issues,(3)Supervising the audit staff in conducting the fieldwork and review their work, (4)Providing training and guidance to the audit staff for successful execution of the audit
  • Develop audit reports which clearly articulate risk, noted exceptions, impact and provide clear solution based recommendations
  • Develops and maintains productive client, staff, and management relationships through individual contacts and group meetings
  • Develop an annual budget for the internal audit department
  • Track Internal Audit KPIs on a quarterly basis and define action plans for continuous improvement of the audit function
  • Develop professionals through meaningful performance appraisals to provide superior business advisory and control consulting services
  • Actively assist in transferring talented internal auditors out of the department into other challenging positions within the company
  • Manages the relationship of any/all external consulting resources that are engaged to assist in the performance of any/all internal control and auditing activities
  • Lead special projects as directed by Senior Management
  • 10 years of total work experience with at least 4 years’ experience in internal audit (preferably in public company, “Big Four” or Luxury Company)
  • Minimum of 3 years in a leadership/managerial role
  • Ability to travel approx. 40-50% of the time (within US and internationally)
  • Knowledge of foreign languages, particularly French, preferred but not required
4

Senior Director, Internal Audit Resume Examples & Samples

  • Advanced knowledge of internal control frameworks, including COSO and familiarity with COBIT
  • Advanced knowledge of SOX compliance requirements and experience with risk assurance, internal audit, proper testing, leading teams in test plans and remediation plans
  • Deep experience with one or more of the following is required: SAP, new technologies including cloud computing, data analytics, fraud prevention/detection, and or music/entertainment
  • Ability to speak persuasively and defend complex positions effectively
  • Strong understanding of GAAP, knowledge of Public Company Oversight Board (PCAOB) Auditing Standards, internal controls including financial, operational and/or IT controls and leading business practices
  • Demonstrated ability to thrive in a creative, dynamic, fast-paced environment and manage multiple projects/resources simultaneously
  • Strong knowledge and experience with Microsoft Sharepoint, Microsoft Office applications including Excel, Access, Word, Project, Visio and data analysis tools
  • Minimum of 12 years of experience overall in some combination of internal audit, Big Four public accounting, and/or a business operational role such as finance or IT
5

Director Internal Audit Technology Resume Examples & Samples

  • Develop and maintain a dynamic audit universe of technology related infrastructure and applications, keeping it evergreen by identification of new activities, divestitures, and significant changes to businesses
  • Develop relationships with key stakeholders and partner with Guggenheim’s Chief Technology Officer and his management team to provide risk-based auditing and consultative services
  • Create or enhance the technology risk assessment methodology and apply it to the audit universe
  • Develop, communicate, and execute the technology audit plan
  • Act as the point of contact for the audit team on all technology related risks, programs, and procedures; act as a center of excellence to all members of the Internal Audit team and educate on technology related risks as appropriate
  • Evaluate the control environment, identify control deficiencies, and communicate recommendations for corrective action
  • Attract and recruit talented professionals
  • Manage any co-sourcing services or other resources used to execute plans and projects
  • Determine compliance measures using established policies/ procedures and laws/ regulations relative to the technology infrastructure
  • Promote the department and its core mission and charter
  • Perform pre-implementation reviews of significant new systems and business activities to assist management in the design of an adequate controls environment
  • Work collaboratively with business and operational areas, respond effectively to management requests for special audit projects and investigations, and serve as an advisory resource in the area of technology-related processes and internal controls
  • Review, analyze, and recommend “best practices” appropriate for Guggenheim’s technology platform and strategic direction
  • Provide counsel to the Internal Audit management team on the appropriateness and efficiency of internal audit department software and workstation
  • Undergraduate degree, with solid financial management and auditing training; additional education including an MBA and a CISA, CISM, or CIA certification is preferred
  • At least 15 years of public and/or private experience auditing the technology environment of complex investment management, capital markets, and investment advisory businesses
  • Prior experience building or starting a new technology internal audit function
  • Proven ability to anticipate and provide solutions to complex problems
  • Strong work ethic and unquestionable integrity; excellent communication skills (oral and written), and ability to presenting a clear and compelling manner to senior and executive management
  • Collaborate with executives, peers, and subordinates in the furtherance of achieving mutually beneficial outcomes
  • Assess, evaluate, and recommend practices that mitigate risks; solid understanding of SSAE 16 (SAS 70), CobiT, and Val IT standards
  • Deploy creative problem solving
  • Analyze issues and develop and execute plans that contribute to significant improvements in financial and operational performance, asset management, and risk reductions
  • Own and improve existing processes
6

Senior Manager / Director Internal Audit Resume Examples & Samples

  • Global oversight and coordination of the company’s Sarbanes Oxley program
  • Execution of various key Internal Audit processes, including: creation of the annual audit plan, coordination of risk and fraud assessment activities, oversight of company-wide self-assessment, etc
  • Planning, execution, supervision and review of selected audit and special projects
  • Supervision of staff based in NY
  • Coordination with other Internal Audit offices and outsourced personnel
  • A bachelors degree in accounting, finance or equivalent
  • 8+ years of professional experience in public accounting, internal audit, and/or consulting and a strong financial background
  • Proven ability to interact with all levels of the organization
  • Strong communication, facilitation, and presentation skills
  • The ability to travel approximately 25%, internationally and domestic
7

Director, Internal Audit Resume Examples & Samples

  • Lead internal operational audit group including risk assessments, audit planning, audit testing, control evaluation, audit report drafting, and follow-up and verification of issue closure
  • Mentor audit staff members and monitor that their work product for conformity with department policies and Auditing Standards established by the Institute of Internal Audit
  • Ensure audit staff are conducting monthly follow-up and reporting of outstanding audit issues
  • Review various departmental standard and procedures
  • Develop and execute tests to identify control weaknesses, document inefficiencies, and provide strategic recommendations to enhance business operations. Ensure compliance with all legal and regulatory requirements
  • Maintain a comprehensive reporting system which includes dashboarding for Senior Level Management as well as detailed reporting for other stakeholders in the organization
  • Partner with Department heads to identify systemic issues and collaborate with Channel Heads, Underwriting, Credit Policy, IT, Capital Markets, and Compliance leadership to define processes to address/correct such issues
  • Work with Chief Risk Officer to effectively integrate Internal Audit efforts into the NPF Enterprise Risk Management System
  • Work together with NPF Training Director to implement specialized training as necessary to address systemic or process oriented issues
  • Provide leadership and professional development opportunities to Internal Audit staff
  • Participate as a member of the Sr. Risk Management Leadership Team
  • Working knowledge of Generally Accepted Auditing Standards
  • Effective team builder with strong leadership and communication skills
  • Ability to manage multiple priorities in an organized fashion with attention to details
  • Demonstrated ability to effectively manage complex or multi-functional audits
  • Demonstrated ability to have a positive interaction with management and work across departmental lines in order to effectively execute audits
  • A minimum of 10 years experience, of which at least 5 years should be related to internal audit reviews in the Mortgage Industry
8

Senior Director, Internal Audit Resume Examples & Samples

  • F&A manages, controls, and reports on the financial affairs of TIAA-CREF. F&A works in partnership with other business and support areas to develop budgets, implement control measures, and establish policies and procedures aimed at safeguarding and maximizing the value of the Firm's assets. F&A is structured into seven complementary organizations: Actuarial Services, Business Finance Officers, Corporate Controller, Corporate Financial Planning & Analysis, Corporate Tax, Investment Product Financial Services (Mutual Fund Administration and Real Estate Accounting), and Operations & Management Services (Accounting operations, business metrics, procurements)
  • A&O is comprised of the Law, Compliance, Government Relations, Corporate Secretary, and Corporate Governance. The A&O teams work to ensure sound and consistent governance and oversight practices are in place throughout the organization and to advocate the integrity of those practices to lawmakers, regulatory agencies and portfolio companies
  • Human Resources works in partnership with business and support functions across the Firm to support all aspects of talent acquisition, training and retention initiatives, HR policy, compensation and payroll, and diversity & inclusion
  • Marketing integrates the Firm’s marketing, brand management, advertising, customer insights, enterprise communications and digital strategy functions to ensure a consistent client experience, engage employees and help the company best position itself in the marketplace
  • Demonstrates excellent knowledge of Internal Audit Professional Practices, Risk Management and Internal Controls in the development and implementation of the annual risk-based audit plan and related scheduling and budgeting. Develops plans relative to the implementation of the internal audit function's overall goals and objectives
  • Strong understanding of audit department management and administration
  • As a member of the Internal Audit Leadership Team, develops and implements strategic and operational plans related to the implementation of the internal audit function's overall goals and objectives
  • Will have responsibility for providing internal audit support for a sizeable portion of the business operations of the organization or may provide functional leadership on a specific aspect of internal auditing or both
  • Uses research, professional experience, emerging risks, and past audit reports to determine areas of priority for internal audit review
  • Requires in-depth knowledge of Generally Accepted Accounting Principles (GAAP), International Professional Practices Framework (IPPF) of the Institution of Internal Auditors (IIA), Statutory Accounting Principles (SAP), Sarbanes-Oxley (SOX) requirements, controls frameworks, and financial services operations
  • Requires ability to develop and maintain Executive Level business relationships and consistently demonstrate a command of the business areas supported by this Audit Leader
  • Actuarial Internal Audit or Actuarial Business experience is a plus
  • Experience in performing IT integrated audits and knowledge in using data analytics to support audit engagements
  • Evaluates the effectiveness and efficiency of the internal controls and ensures compliance with regulatory guidelines firm-wide. Oversees audits and participates in key advisory projects
  • Minimum 12+ years of experience in public accounting and/or diversified financial services, including experience in an internal audit leadership role or a related field
  • Minimum of 6+ years of managerial experience required
  • Proven track record in managing high-performance; Bachelor's degree in Accounting, Finance or other related discipline
  • MBA preferred. Certified Internal Auditor (CIA) certificate a plus
9

Director, Internal Audit Resume Examples & Samples

  • Carry out administrative tasks and help manage department resources to ensure that they are effectively and efficiently utilized
  • Minimum of 10 years' auditing experience in some combination of internal audit and public accounting (with at least 3-5 years managing or supervising others)
  • Strong knowledge and experience using MS Office, Visio, and data analysis tools
10

Director, Internal Audit Resume Examples & Samples

  • Serves as an audit executive with ownership and responsibility for multiple business areas. Must be proficient in risk and control analysis and audit concepts for a full range of financial services products and specialized areas and must be skilled at analyzing root causes of problems and anticipating ‘horizon’ issues
  • As a member of the Internal Audit Leadership Team, develops and implements operational plans related to the implementation of the internal audit function's overall goals and objectives
  • Maintains responsibility for providing internal audit support for a sizeable portion of the business operations of the organization
  • Provides input into strategy setting and policy development impacting company-wide issues
  • Uses research, past audit reports, regulatory expectations and own risk-based judgment to determine areas of priority for internal audit review
  • Requires in-depth knowledge of Fiduciary and Banking products and services, and relevant regulatory guidance and expectations (OCC, FRB)
  • Requires strong knowledge of the Institute of Internal Auditor's (IIA) International Professional Practices Framework (IPPF) to which the Internal Audit Division's methodology is aligned
  • Develops strong written deliverables, including executive reports and dashboards containing business-relevant information. This will include audit committee reporting
  • Considerable knowledge of the Standards for the Professional Practice of Internal Auditing and the Code of Ethics developed by The Institute of Internal Auditors
  • Considerable knowledge of Trust Fiduciary services and banking products, area/industry program policies, procedures, regulations, and laws
  • Skill in analyzing complex data, evaluating information and systems, and drawing logical conclusions
  • Considerable ability in developing high performing teams and leadership traits across the organization
  • Considerable skill in negotiating issues and resolving problems within the division and the company, including issue identification, escalation and proposed solutions
  • Ability to establish and maintain effective working relationships with co-workers, staff and external contacts, and to work effectively in a professional team environment
  • Minimum 10+ years of experience in public accounting and/or diversified financial services, including experience in an internal audit leadership role or a related field
  • Minimum of 4+ years of managerial experience required
  • Undergraduate or graduate degree in accounting, finance or other business related field is required
  • A Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) certification is required
  • The individual must demonstrate a proven track record in managing high-performance teams
  • Strong working knowledge and experience with the Institute of Internal Auditor's (IIA) International Professional Practices Framework (IPPF)
11

Director, Internal Audit Resume Examples & Samples

  • Nteract with Audit project team members in working towards Departmental goals. Demonstrate ability to resolve team conflicts and bring group together to enhance project results through group planning, feedback and development skills
  • Maintain a strong knowledge of overall business issues. Understand Company structure and functional responsibility. Assess efficiency and effectiveness of a business unit (during a project) and align with Visa-wide strategy and objectives
  • Interact with the senior client leaders and the Audit Leadership Team to offer consultation and ensure quality control of Audit Department practices
  • Coordinate and lead the execution of selected complex projects in areas of specialization and expertise
  • Provide ongoing coaching to Audit professionals of various levels and experience
  • Prepare performance evaluations for auditors
  • Prepare/approve the audit scope, work program, and testing plan for each audit assignment
  • During each audit, provide day-to-day and on-site support to ensure quality of Audit services provided
  • Provide direction to auditors to ensure that audits are performed in accordance with department and professional standards
  • Review audit work papers
  • Review draft audit findings, and ensure issues are appropriately vetted and constructed given the circumstances
  • Provide reports to client managers on the effectiveness of their business unit's internal control structure along with recommendations that improve the effectiveness and/or efficiency of a control or process
  • Evaluate the adequacy and timeliness of management's response and the corrective action taken on all significant weaknesses noted in the reports
  • Coordinate with other risk management functions and Independent Public Accountants to minimize duplication of effort and to ensure that issues raised as a result of their reviews are appropriately addressed
  • 10+ years of internal audit experience, preferably with a large financial institution, or Big 4 assurance experience
  • CIA, CPA, CISA or other relevant professional certification highly desired
  • Demonstrated experience managing audits within a complex operational and regulatory environment
  • Experiencing in managing a staff of diverse professionals
  • Ability to travel globally, approximately 35%
12

Associate Director, Internal Audit Resume Examples & Samples

  • Financial, operational and compliance controls, with a focus on both IT and business areas
  • Management information and governance processes
  • Developing and maintaining a thorough understanding of the relevant business divisions
  • Establishing and maintaining effective, constructive, forward looking and professional relationships with Senior Management
  • Over-seeing Internal Audit assignments in accordance with the Macquarie Internal Audit Methodology
  • Sourcing, managing, developing, training and coaching four-five members of the IAD team (including co-sourced resources, as appropriate) in the skills required to perform assignments and ensure they are delivering to a high standard of quality in accordance with Macquarie's methodology and professional standards
  • Demonstrably and consistently contribute to an IAD workplace culture whereby all staff feel
  • 10 years plus relevant experience (i.e. must have Internal/External/Audit experience)
  • CA/CPA preferred
  • Superlative oral and written communication including negotiation and influence at a senior level. Strong empathy and ability to engage effectively
  • Expert at Risk and Control assessment, inc. analytical skills
  • Exemplary self and team management skills – set deadlines and stick to them, ability to organise/motivate others, strong focus on team success
13

Functional Director, Internal Audit Resume Examples & Samples

  • Acts as a driver of continuous improvement and innovation in the audit process
  • Uses direct experience, external benchmarking and knowledge of regulatory expectations to support the management’s stated goal of maintaining a strong industry leading audit function based on IIA and regulatory standards
  • Facilitate for the function interface with external auditors and regulatory examiners
  • Coordinates and participates in all risk and management meetings for the Internal Audit leadership team
  • Manages and executes the quality assurance program for the Internal Audit function
  • Maintains Internal Audit Policies and Procedures
  • Manages the functions Continuous Improvement Program
  • Manages and reports on the financials aspects of the Internal Audit function
  • Coordinates and prepares Audit Committee presentations
  • Coordinates and prepares the annual Audit Plan and Annual Results reporting to the Audit Committee
  • Coordinates the annual skills assessment activity and training development plans
  • Develops, maintains and measures audit performance metrics
  • Acts as primary interface with GRC system
  • Acts as primary owner of Auto Audit workpaper system
  • Maintains and reports issue tracking for audit issues and regulatory matters requiring attention
  • Adheres to compliance procedures and internal/operational risk controls in accordance with any and all applicable regulatory standards, requirements, and policies
  • Supports staff to develop and maintain their skills at the highest standards. Fosters, through mentoring and leadership, critical and independent thinking skills and behaviors
  • 5-8 years relevant experience preferred, including supervisory experience
  • 10% travel expected
  • Superior interpersonal skills to interact effectively with an ever changing mix of internal employees and management as well as external regulatory personnel. Able to successfully influence outcomes to key issues
  • Superior written, verbal and presentation skills necessary
  • Theoretical and practical expertise of OCC, FFIEC and FRB regulatory requirements and examination procedures. Comprehensive understanding of corporate goals, risks, controls, auditing standards and practices
  • Practical knowledge of risk, control and regulatory requirements over banking products and services
  • Proven ability to recognize and focus on critical issues, balance and respond to competing issues within the organization
  • Proven ability to analyze, evaluate and quantify the regulatory, security or operational impact of the issues involved
  • Ability to provide feedback in a manner that supports team and employee development
14

Director, Internal Audit / SOX Resume Examples & Samples

  • Highly visible role working across multiple functions and levels of the company to oversee all Sarbanes-Oxley (SOX) Section 302 and 404 compliance activities
  • Lead and manage the SOX Program Management Office (SOX PMO)
  • Evaluate and evolve the company's SOX compliance processes/infrastructure and develop and publish related SOX policies and procedures
  • Proactively lead and liaise with Internal and External Auditors to ensure testing is efficient and effective
  • Manage the quarterly/annual SOX Section 302 and 404 certification processes, including the quarterly account certification process; ensure that all external audit requirements are met
  • Perform internal audit engagements in accordance with the International Standards for the Professional Practice of Internal Auditing
  • Mange team(s) of audit personnel, including both internal and co-sourced contract professionals, in accomplishing audit plan objectives
  • Assist in the annual risk assessment process and in developing annual resource forecasts
  • Recruit, develop and mentor a talented team of accounting and finance professionals with the highest standards in ethics, quality, commitment, focus, and customer service
  • 15+ years of progressive accounting / finance experience in public accounting and/or a large publicly traded company
  • Extensive experience with SOX compliance activities, including managing a SOX-compliant environment
  • Working knowledge of US GAAP and related financial reporting requirements
  • Advanced internal control and audit skills
  • Thorough knowledge of operational and financial processes
  • Strong oral and written communication and organizational skills
  • Positive attitude and strong team player, excellent customer service, ability to develop strong partnerships and influence people
  • Ability to work with ambiguity where analysis of situation requires evaluation of various factors
  • Bachelors’ degree in Accounting or Finance. Bachelors’ degree in a business-related program will be considered if experience requirements are met
  • MBA, CPA, or CIA preferred
  • Retail, supply chain and global operating experience preferred
15

Director, Internal Audit Business Manager Resume Examples & Samples

  • We will be known as a great place to work
  • We will be recognized as an exceptional developer of people
  • We will be known as business experts
  • Build and manage an end to end talent development pipeline from intern to senior leader
  • Evaluate existing and develop new programs to meaningfully impact the Division (against quantifiable measures) to meet the three-year strategic People priorities
  • Assist the Chief Auditor in the development, measurement and reporting of key measures of success against each of the three-year strategic People priorities
  • Manage, design and implement new learning tools and solutions for all employees in partnership with business leaders, professional practices group, HRBP and Talent Management, specifically focused on enhancing business acumen across the Internal Audit team related to TIAA-CREF products and services
  • Drive the development and execution of onboarding processes that ensure a consistent and industry-leading experience for new hires including interns and associate auditors
  • Design, develop and implement an Internal Audit Development program targeted for entry level employees (including interns)
  • Develop, manage, track and measure Internal Audit Development program participants as they assume roles as part of the Internal Audit rotational programs with business units, both the existing Internal Audit Rotational Program as well as developing a formal business unit rotational program with key partners (i.e. a rotation through two – three business units for six months each)
  • Administration and coordination of the Internal Audit Mentoring Program and Rewards & Recognition program
  • Assist in the Development of People Management skillsets across all People managers and emerging People managers within the organization
  • Manage projects and ensures all deliverables are completed on time
  • Strong support and involvement in culture team activities, volunteer activities, Division and All-Hands Meetings
  • Note: Position is anticipated to be a rotational position, with timeframe of 2 -3 years in role before moving into a role on the Internal Audit leadership team or a newly defined role
  • Note: 20-25% travel required across Internal Audit’s footprint
  • Minimum 10 years of Internal Audit management experience or experience supporting an Audit function is required
  • Undergraduate or graduate degree in accounting, finance, a business related field or Human Resources field required
  • Professional experience in designing and managing talent management, learning and leadership development processes and programs (i.e. pipeline development programs, curriculum design, engagement strategies etc.)
  • Must have strong facilitation and project management skills over the course of past professional career
  • HR concentration in Talent Management/Organizational Design and Development is desired
  • Strong knowledge of the internal audit professional practices
  • Strong business acumen and understanding of TIAA’s products and services
  • Adaptability and flexibility to a fast paced environment
  • Must maintain a strong working relationship with Internal Audit’s HRBP, HR Talent Acquisition and HR Talent Management
  • Must develop strong working relationships with all Internal Audit leadership members and staff
  • Must be active in Internal Audit profession (IIA or ISACA) and be an ambassador for TIAA Internal Audit
  • Must be self-sufficient and drive strategic change and focus on People as Internal Audit’s #1 asset
16

Director, Internal Audit Resume Examples & Samples

  • Advanced knowledge of SOX compliance requirements, control testing, and leading teams
  • Ability to evaluate risks and controls within business processes and identify leading practices
  • Intellectually curious, highly motivated self-starter that is solutions-oriented and innovative with a desire to continuously improve the business, the control environment and processes
  • Proven ability to effectively mentor, coach and develop teams in an international environment
  • Up to 25% travel
  • Minimum of 8 years of experience overall in some combination of internal audit, public accounting, and/or a business operational role such as finance or IT
17

Senior Manager / Director Internal Audit Resume Examples & Samples

  • At least 10 years of full-time experience in internal auditing, operations, accounting, business analysis, or program evaluation, including at least 5 years in a management or project management position
  • A graduate degree in business administration, public administration, or a related field or a second certification/degree in a specialty field (e.g., IT auditing, fraud auditing, or HR, law, engineering or accounting) is a plus
  • Extensive knowledge of and skill in applying internal auditing, management principles, preferred business practices, and/or accounting principles and practices
  • Considerable knowledge of the Standards and Code of Ethics
  • Knowledge of contemporary risk management and control techniques and working knowledge of contemporary control frameworks
  • Working knowledge of control and risk self-assessment facilitation techniques
  • Knowledge of management information systems terminology, concepts, and practices, including but not limited to applicable reporting, disclosure, financial reporting and accounting principles and practices
  • Considerable knowledge of industry program policies, procedures, regulations, and laws
  • Extensive skill in planning and project management, and in maintaining composure under pressure while meeting multiple deadlines
  • Considerable skill in negotiating issues and resolving problems
  • Computer skills, including word processing, spreadsheet, systems documentation, audit packages, and other business software to prepare workpapers, reports, memos, summaries, and analyses
  • Considerable skill in effective verbal and written communications, including active listening skills and skill in presenting findings and recommendations for improvement
  • Ability to establish and maintain harmonious working relationships with customers, co-workers, staff, and external contacts, and work effectively in a professional team environment
18

Director, Internal Audit Resume Examples & Samples

  • Undergraduate degree with accounting and systems certifications preferred
  • Must have 10 or more years’ progressive accounting, audit and/or FP&A experience, as well as working knowledge of the complexities of a global company and ability to operate within a matrix environment
  • Must have strong technical financial skills and a comprehensive understanding of manufacturing, cost accounting, public accounting, internal auditing, GAAP, PCAOB standards, Sarbanes-Oxley, COSO
  • Semiconductor, technology or related industry experience a plus
  • Solid project management skills. Demonstrated track record of attention to detail, time management and prioritization skills
  • Ability to provide sound business judgment, strategic thinking, and broad financial and business perspective across the organization
  • Proven talent to correct and resolve issues in a sustainable manner, holding internal audit team members and other managers throughout the Company accountable for such corrections/resolutions
  • Identification of issues and application of relevant experience is not sufficient
  • Strong and engaging presence, inspiring a spirit of cooperation and a sense of purpose
  • Positive can-do attitude with understanding of real limitations and the ability to push back when necessary
  • Strong communication skills and executive presence as demonstrated through crisp writing, speaking and thinking and proven experience interacting with senior management
19

Senior Director, Internal Audit Resume Examples & Samples

  • Builds a reputation as a trusted and valued partner to the TGRA and TAM Executive leadership
  • Participate in executive and senior management committees, providing a proactive risk view into strategic decision making while maintaining independence
  • Provides input to policy development to manage risk and exposure for the company
  • Strong understanding of audit department management and administration is required, including Executive relationship development and management as well as effective working relationships with Audit Committees
  • Prepares and makes presentations to executive management regarding key issues and matters of significance to the organization
  • Play a central role in TGRA related M&A activity and assist TGRA senior management in assessing associated strategic and operational risks
  • Key role in the strategic direction, leadership, and management of the TGRA Internal Audit function
  • Responsible for the development, execution and delivery of all aspects of the TGRA Audit plan, including scheduling and budgeting
  • Conducts reviews of operations with an emphasis on internal controls, operating efficiencies and compliance with policies and regulatory expectations
  • Strong written and verbal communication skills to deliver high quality, actionable feedback to client management on control issues and potential solutions to close gaps, with relevant reporting to the Audit Committees
  • Responsible for assisting in the recruiting of IAD personnel and ensures that adequate staff and other resources are trained, available and assigned to meet objectives
  • Periodically reviews and assesses overall performance, staffing, and development needs of the IAD
  • Completes performance appraisals and development plans for direct reports during the annual and interim performance evaluation process
  • Directly provides guidance and develops leaders for the Internal Audit Department
  • Oversee the Operations and Administration function of the IAD and provides direction and leadership to the Internal Audit team and in performing internal audit activity across the organization. Provides continuous process improvement leadership to the business, resulting in decisions and actions that have high impact to the organization. Regularly interacts with executives, peers, external auditors, and key regulators (e.g. Federal Reserve, SEC, FCA, etc.).Requires strong working knowledge and experience with the Institute of Internal Auditor's (IIA) International Professional Practices Framework (IPPF) as well as the Federal Reserve’s Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing SR13-01
  • Minimum 15 years of experience in public accounting and/or diversified financial services, including experience in an internal audit executive role or a related field within a leading, performance oriented diversified financial services company
  • Minimum of 10 years of managerial experience required, with 5+ years managing audit engagements and staff
  • Financial services sector experience, from either the public accounting or industry, is required, preferably in real estate, real assets, and alternatives, within an international Fortune 500 diversified asset management company
  • Strong background in real asset operational and investment due diligence, middle and back-office (including pricing, valuations, and financial reporting), Information Technology (IT), fraud and forensic assessments, risk management, and compliance
  • Strong working knowledge and experience with the Institute of Internal Auditor's (IIA) International Professional Practices Framework (IPPF) as well as the Federal Reserve’s Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing SR13-01
  • Experience should include direct interaction with regulators such as the Federal Reserve, FCA, FSA, OCC, SEC, and FINRA
  • CPA or CIA is required, MBA, CFA, and/or CAIA preferred
20

Director Internal Audit Resume Examples & Samples

  • Directing the activities and administrative responsibilities of the core internal audit function
  • Supervise IT and designated audits in efficient execution of the internal audit plan and Internal Audit Value Charter responsibilities
  • Monitor internal audit resource schedule and monetary budget, ensure internal audit training program is established and executed, and oversee execution of internal Quality Assurance Program
  • Assist VP in developing and implementing a comprehensive risk based audit plan for the evaluation of the adequacy and effectiveness of the risk management, and internal control
  • Facilitate and support the processes and execute a program to follow up on internal audit recommendations and findings
  • Prepare periodic reporting to management and the Audit Committee on outstanding or overdue action plans
  • Bachelors and Masters degrees
  • Minimum of eight years Managing and Leading Teams, Accounting, Governance, Risk Assurance, IT Systems, Internal Controls, Retail Processes, and Project Management
  • In-depth knowledge of the audit profession and auditing standards, policies and procedures
  • Strong coaching, facilitation, and conflict resolution skills
  • Proven ability to manage multiple projects and work-streams concurrently to successful conclusion
21

Associate Director, Internal Audit Resume Examples & Samples

  • To over-see Internal Audit assignments in accordance with the Macquarie Internal Audit Methodology. Assurance is to be delivered in a way that
  • Senior Executives and Departmental Managers of selected divisions
  • RMG colleagues – Compliance, Credit Risk, Market Risk, Operational Risk
  • Business Operational Risk Managers (BORM's)
  • Business Project Managers
22

Director Internal Audit Resume Examples & Samples

  • Directs the organization and performance of certain functional areas and the activities of senior managers. Provides staff direction with an understanding and following of established company policies and procedures
  • Oversees business activities to ensure a high standard of professional excellence is maintained among staff members
  • Establishes and implements short- and long-term strategies to deliver services to customers within reasonable schedules and budgets
  • Establishes and communicates goals and objectives, defines methodologies, tasks, and activities, and clearly describes roles and responsibilities for performing to personnel. Communicates broadly to help ensure overall coordination for cross-functional teams
  • Master's degree or equivalent combination of education and experience
  • Master's degree in related field preferred
  • Nine or more years of experience in a supervisory or management capacity included
  • Experience working with the past and present CSC business environment
  • Experience working with concepts, practices, and procedures in areas of responsibility
  • Experience working with the management implications of various forms of financial data
  • Strong communication skills needed to interface with high-level customer representatives
  • Strong strategic management and planning skills
  • Ability to publicly represent company with internal and external clients
  • Ability to use own judgment and initiative in problem resolution
23

Director, Internal Audit Resume Examples & Samples

  • Report to the TIAA-CREF Internal Audit Senior Director
  • Build a reputation as a trusted and valued partner to senior management
  • Participate in management committees, providing a proactive risk view into strategic decision making while maintaining independence
  • Provide input to policy development to manage risk and exposure for the company
  • Strong understanding of audit department management and administration is required, including relationship development and management
  • Prepare and make presentations regarding key issues and matters of significance to the organization
  • Assist in the development and implementation of the annual risk-based audit plan and related scheduling and budgeting
  • Responsible for assisting the Senior Director with the development, execution and delivery of all aspects of the audit plan
  • Conduct reviews of operations with an emphasis on internal controls, operating efficiencies and compliance with policies and regulatory expectations
  • Responsible for assisting with recruiting of IAD personnel and ensuring that staff and other resources are adequately trained, available and assigned to meet objectives
  • Complete performance appraisals and development plans for direct reports during the annual and interim performance evaluation process
  • Responsible for improving efficiency, effectiveness and productivity of the Internal Audit function
  • Directly provide guidance and develop leaders for the Internal Audit Department
  • Provide continuous process improvement leadership to the business, resulting in decisions and actions that have high impact to the organization
  • Regularly interacts with management, peers, external auditors and regulators (Federal Reserve, SEC, FINRA, etc.)
  • Requires strong working knowledge and experience with the Institute of Internal Auditor's (IIA) International Professional Practices Framework (IPPF) as well as the Federal Reserve’s Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing SR13-01
  • Minimum 10+ years of experience in public accounting and/or diversified financial services, including experience in an internal audit executive role or a related field within a leading, performance oriented diversified financial services company
  • Minimum of 4+ years of managerial experience required, managing audit engagements and staff
  • MBA preferred. A CIA or CPA is required
  • Experience should include leading large components of an Internal Audit organization, evaluating risk management procedures, leveraging Risk-Based Internal Audit methodologies
  • Financial services sector experience, either from the public accounting or industry, is required, preferably within a Fortune 500 diversified, bank holding company
  • Experience leading significant components of an Internal Audit function at a Federal Reserve regulated organization is highly desirable
  • Experience should include interaction with regulators such as the Federal Reserve, OCC, SEC, FINRA, or state Insurance Departments
24

Director Internal Audit Resume Examples & Samples

  • Bachelor’s degree in accounting, finance, business administration or related field
  • Professional certification and/or licensing (e.g., CPA, CIA, CFE, or CISA; or Series 7, 24, 27, 99, or other relevant license) required
  • 10+ years of internal audit or public accounting experience
  • At least 5 years financial industry experience (banking or brokerage firm, or serving large financial clients in a professional services firm)
  • At least 5 years in a leadership capacity with superior team building skills
25

Director, Internal Audit Resume Examples & Samples

  • Direct the planning and execution of financial, regulatory, compliance and operational reviews/audits
  • Bring a systematic, disciplined approach to evaluating and improving the effectiveness of risk management, internal controls and governance processes
  • Inform Audit Committee and Executive management of effectiveness of internal control and risk management systems as well as control remediation plans
  • Prepare annual risk-based audit plan focusing on key business risks and processes with input from relevant stakeholders and obtain approval from Audit Committee
  • Implement best practice audit standards and testing
  • Work in partnership with the company's external auditors to plan and implement a comprehensive audit of the company's interim, year-end and Sarbanes-Oxley assessments
  • Develop process for reporting all audit findings which clearly articulate the risks and include recommendations which are documented and tracked for accountability
  • Evaluate the adequacy of action taken by management to correct reported deficient conditions, accepting adequate corrective action and continuing reviews with appropriate management on action considered inadequate until satisfactory resolution
  • Assist in testing the design and operating effectiveness of internal control over financial reporting
  • Administration of the Enterprise Risk Management process. Administation includes the independent oversight to risk owner mitigation plans and formalized reporting to Leadership and Board
  • Maintain relationships with all levels of management, staff and external auditors
  • Establish department strategy, objectives and standards of performance and monitor accomplishments while maintaining continuous process improvement
  • Proven leadership and motivational skills
  • PC proficiency, including Word, Excel & PowerPoint
  • Minimum 10+ years of experience in public accounting or combination of public and private accounting including increasing management responsibility for audit functions
  • Internal Audit experience in retail industry
  • MBA
  • Previous retail experience highly preferred
26

Senior Director, Internal Audit Resume Examples & Samples

  • Play a central role in TGRA related M&ampA activity and assist TGRA senior management in assessing associated strategic and operational risks
  • Oversee the Operations and Administration function of the IAD and provides direction and leadership to the Internal Audit team and in performing internal audit activity across the organization. Provides continuous process improvement leadership to the business, resulting in decisions and actions that have high impact to the organization. Regularly interacts with executives, peers, external auditors, and key regulators (e.g. Federal Reserve, SEC, FCA, etc.).Requires strong working knowledge and experience with the Institute of Internal Auditor’s (IIA) International Professional Practices Framework (IPPF) as well as the Federal Reserve’s Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing SR13-01
  • Strong working knowledge and experience with the Institute of Internal Auditor’s (IIA) International Professional Practices Framework (IPPF) as well as the Federal Reserve’s Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing SR13-01
27

Director Internal Audit IT Resume Examples & Samples

  • Taking a leadership role in the following
  • Developing and fostering strong professional relationships within company
  • Maintaining the department’s standing and credibility throughout the organization
  • A bachelors degree in accounting, finance, systems or equivalent
  • A CPA, MBA, or CISA
  • 10+ years of professional experience in public accounting, internal audit, and/or consulting and a strong financial background
  • Working knowledge of various technologies, applications, operating systems, and databases including SAP ERP / GRC, Windows, Unix / Linux, Oracle databases, Active Directory, web services, firewalls, etc
  • Proven ability to interact with all levels of the organization and strong communication, facilitation, and presentation skills
  • The ability to travel approximately 35%, internationally and domestic
28

Director Internal Audit Resume Examples & Samples

  • Execute and at times manage execution of audit work
  • Perform continuous monitoring of relevant areas in Barclaycard
  • Monitor, follow-up on and assess the resolution of audit issues
29

Director, Internal Audit Resume Examples & Samples

  • Bachelor’s Degree(s) in Finance or Accounting AND
  • Eight (8) years of Internal Audit Experience OR
  • Equivalent combination of education and experience
  • Microsoft Office Outlook, Word, Excel, and PowerPoint; Web proficiency
  • Ability to travel 25% of the time
  • CIA or CPA designation
  • Ability to interact effectively with executives and staff across various departments and outside advisors
  • Leadership ability – a strong influencer, who can coach
  • Strong oral and written communication skills for presentation to management and board members
  • Excellent project management, organizing and planning skills
30

Director, Internal Audit Resume Examples & Samples

  • Manage and oversee audit and risk management activities in accordance with IIA auditing standards, the Internal / External Audit Policy and the Charter of the Audit Committee
  • Develop an annual audit plan using an appropriate risk-based methodology, including any risks or control concerns identified by management and the Audit Committee, and submit that plan to the Chief Audit Executive
  • Coordinate and monitor status of third party audits including the annual external audit as directed by the Chief Audit Executive
  • Participate in the planning, design, development and implementation of major business processes and computer-based systems to determine whether adequate controls are incorporated in the systems / processes, thorough testing is performed at appropriate stages, documentation is complete and accurate, and the needs of the organization are met
  • Design audit and reporting processes that clearly identify audit scope, audit findings, management response and corrective actions taken to resolve identified business control weaknesses
  • Maintain effective communications with all levels of management that foster a collaborative atmosphere
  • Understand the business implications of audit findings and coordinate with the appropriate management to develop practical and actionable business solutions in a timely, cost-effective manner
  • Design internal reporting systems to measure, monitor, and track progress toward corporate goals and department objectives
  • Provide leadership, vision, and direction for assigned teams
  • Accountable for all decisions within the group
  • Determine team priorities to reflect the organization’s core values and deliverables
  • Develop, coach and motivate others to take actions that support and reflect the core values and desired future state
  • Develop and manage departmental budgets including forecasting and variance analyses
  • Lead / participate on special projects undertaken by the department and / or the Company
  • Drive segment risk strategy leading to determination of audit priorities
  • Determine staffing strategy for segment, including co-source engagement, collaboration and partnership
  • 10+ years of relevant business experience, including internal audit, public accounting or consulting experience
  • Excellent strategic skills and proven ability to lead change is required
  • Management, planning, organization, analytical and problem-solving skills
  • Strong leadership, interpersonal, communications skills and proven team commitment
  • 7+ years supervisory experience
  • Demonstrated ability to collaborate with and build effective business partnerships at senior levels of the organization
  • Demonstrated creativity and initiative in enabling business solutions
  • Relevant assurance certification (CPA, CFE, CIA or CISA)
31

Director, Internal Audit Services Resume Examples & Samples

  • Design, manage and execute a risk-based Audit Plan that provides assurance to management, the Board of Directors, external auditors and ECL that the Company’s operations (including regulatory activities, information technology, environment/health & safety and other pharmaceutical related activities), financial statements and reports comply with company policy, as well as GAAP. Track, follow-up, and report on open audit issues
  • Manage, oversee J-SOX Testing and facilitate Control Self- Assessment (CSA) activities, including development and implementation of web-based risk assessment tools and facilitation of CSA sessions
  • Plan and execute the annual audit plan using an internal and co-sourced audit team and a risk-based approach to risk
  • Meet regularly with senior management, ECL IA and the Board of Directors to review and report results of Audit activities
  • Partner with functional leadership and their staff in developing strong, professional and independent relationships to ensure a comprehensive understanding of the business to enable value added recommendations that improve efficiency and effectiveness
  • Set clear, well defined, desired outcomes for Audit activities and oversee the execution of other tasks or special projects when required by management, such as ABAC related reviews or pre-implementation activities
  • Stay abreast of changes in the Pharma industry to identify new internal audit risks and to proactively shape Internal Audit practices and procedures. Maintain a dialogue with other industry colleagues from professional audit organizations and commercial enterprises
  • Communicate clearly, effectively and professionally with senior executives, management and Audit resources (internal and external) in oral and written communications. Lead the preparation of comprehensive written reports
32

Director Internal Audit Resume Examples & Samples

  • Gather and analyze data as necessary to accomplish audit objectives in a timely manner
  • Perform internal risk assessment, recommend and develop the internal annual audit plan. Upon receipt of Audit Committee approval, the Internal Audit Director will execute and perform the actions necessary to achieve the internal audit objectives and scope
  • Advise the Audit Committee and executive management on industry directions and external benchmarking best practices
  • Prepare reports and communicate status of any/all internal investigations and the results of all internal audits to the CFO and the Audit Committee. Provide regular reporting to executive management and the audit committee
  • Minimum of 8 to 10 years audit experience, including time working in a management capacity for a corporate Internal Audit function of a U.S. Public company. International experience is a plus
  • Experience with Sarbanes Oxley section 404 compliance
  • The candidate will be an experienced, hands-on manager with strong business acumen, analytical skills, project management skills, and in-depth knowledge of US GAAP
  • Strong communication skills are needed as the person will interact with numerous people throughout the Company, including senior management and the Audit Committee of the Board of Directors
  • Proficiency with Excel, Word and PowerPoint
  • Demonstrated ability to lead people and get results through others. Able to influence and pull teams together to meet project goals
  • Ability to balance multiple competing projects and to communicate project status, issues and requirements at all levels within the business
  • Ability to skillfully manage potentially contentious interactions
  • Must work well in a team-oriented environment as well as independently
33

Director, Internal Audit Services Resume Examples & Samples

  • Assist the VP to develop, direct, plan and evaluate the internal audit plan
  • Direct the planning, fieldwork, and reporting for operational audits to ensure compliance with established company policies and procedures
  • General understanding of accounting practices, reporting rules and regulations, accounting, and financial statement requirements
  • Ability to interact positively and communicate with all levels of staff and management
  • Ability to act as a department leader to develop team members, assign work, and monitor responsibilities
  • Ability to use personal computer and software applications (i.e. word processing, spreadsheet, etc)
34

Director, Internal Audit Resume Examples & Samples

  • Develop and lead audit programs, working papers, and internal audit reports
  • Lead and mentor project teams focused on advisory projects and assist engagement management to successfully complete engagement objectives
  • Help identify performance improvement opportunities for clients and lead client presentations
  • Ten years of experience performing internal or external audits within financial services compliance and experience in supervising staff
  • Extensive knowledge and experience with auditing tools and other software such as IDEA, Audit Control Language, MS Access, MS Word, MS Excel, PowerPoint and Visio
  • Demonstrated track record of leading project teams, developing new business, and development of proposals for financial services clients
35

Director, Internal Audit Resume Examples & Samples

  • Performing planning, fieldwork and reporting phases of internal control assessments to comply with SOX 404 requirements (including a review of work papers)
  • Performing planning, fieldwork and reporting phases of audit projects (including a review of work papers)
  • Engaging with peers and some senior management levels to discuss business issues and audit recommendations
  • Managing a team of professionals and individual contributors including providing guidance to audit team on technical and business issues and career guidance
  • Coordinate working with external auditors. Perform procedures to support the external auditors
  • Perform consulting/audit work to support the corporate accounting organization in the their responsibility to complete the public reporting requirements
36

Senior Director, Internal Audit Resume Examples & Samples

  • Directs the Internal Audit department and the work of the internal audit staff
  • Evaluates business processes to determine if they are performing in compliance with management’s policies, procedures, goals and objectives
  • Reviews the reliability and integrity of financial information and the means used to identify measure, classify and report such information
  • Determines that corrective actions taken are appropriate for the circumstances or initiates further discussions with appropriate management and staff
  • Reviews and verifies the existence of company assets and assures that proper safeguards are maintained to protect them from losses of all kinds
  • Maintains audit files by documenting the audit procedures used and each of the audit reports completed
  • Oversees preparation of audit findings and reports generated by the Audit team which may include presentation to the Audit Committee
  • Assists with investigations related to forgeries, embezzlements, fraud and any type of losses and works with the Legal Compliance team as appropriate
  • Lead integration of various acquisitions from an audit perspective including ensuring compliance with quarter and year-end closing process (e.g., account reconciliations, footnote disclosure requirements, etc.), annual audit requirements and policy compliance
  • Provide risk-objective, reasonable assurance on the effectiveness of the organization’s internal control environment to key stakeholders
  • Conduct and oversee operational audits globally across the company
  • Conduct and oversee Sarbanes-Oxley (“SOX”) compliance audit and manage day-to-day interactions with the external auditors
  • Provide direct assistance to external auditors for financial statement and SOX 404 audits
  • Provide consulting services as requested
  • Perform duties in accordance with the Professional Practice Framework Standards under the direction of the VP, Internal Audit
  • Establish Quality Assurance and Improvement Program and facilitate internal and external quality assessments
  • Adhere to the IIA Professional Practices Framework Standards, Public Committee Accounting Oversight Board Standards (“PCAOB”), Generally Accepted Auditing Standards (“GAAS”), Generally Accepted Accounting Principles (“GAAP”), Association of Fraud Examiners Standards and other Internal Auditing standards applicable to WFS
  • Bachelor’s Degree in Accounting or Finance (Master’s Degree preferred)
  • At least 15 years of experience in risk/value-based auditing and/or financial management is required with a combination of Public Accounting (Big 4) and Internal Audit department experience with a Fortune 500 company with multinational operations
  • Other direct non audit experience in other business areas such as Business Finance, Corporate Finance, Financial Planning and Analysis, Commercial Business, etc
  • CPA a plus but not a must
  • Work performed will include coverage of functional and operating units as well as compliance functions, focusing on financial, IT and operational processes
  • Strong verbal and written communication skills, to effectively present to peers and management
  • Exhibit the leadership skills needed to sell ideas and obtain management buy-in for constructive change
  • Understanding of internal auditing standards, COSO Internal Control Framework and risk assessment practices
  • #LI-CM1
37

Director, Internal Audit Resume Examples & Samples

  • Simultaneously plan, direct and manage the execution and completion of multiple audits/projects of the Company's operations, financial and compliance applications in accordance with the department's annual risk based audit plan, including ensuring that necessary Sarbanes Oxley control testing, when designated, is performed and that the final control ratings are appropriate and supported by the audit work
  • Work with the "Auditor-in-Charge" to plan, execute, and close audits/special projects within budgeted time and expense
  • Participate in the annual Risk Assessment Process to assist in developing the Annual Audit plan; develop and update risk based audit approaches and programs in a dynamic and changing environment
  • Develop audit reports which clearly articulate risk, noted exceptions, impact on the company's internal controls and provide clear solution based recommendations
  • Lead audit closing meetings and coordinate the presentation of audit findings to senior management
  • Coordinate receipt, review and finalization of management action plans in response to audit findings, as well as assist in follow up and review of completion of such plans
  • Review, prepare (as necessary) and ensure delivery of interim performance evaluations for assigned audit teams
  • As part of the department Mentoring Program, provide overall developmental feedback throughout the year and prepare annual summary of performance for internal audit staff assigned
  • Along with the SVP of Internal Audit, VPs and other Directors, serve as the point of contact for internal control inquiries from internal parties
  • Assist in communicating and sharing best practices to management
  • Travel required is approximately 30%
  • Bachelor's Degree in related field of study (e.g., Business, Accounting, Finance) required
  • CIA or CPA certification and 10+ years of relevant professional experience with a combination of public company, specific audit experience in a related industry or public accounting is required
  • Minimum of 5 years in a leadership/managerial role required. MBA or related advance degree is preferred
  • Must have above average mathematical skills, including the ability to compute rates, ratios, and percentages, and the ability to work with mathematical concepts such as probability and statistical inference
  • Must be able to work independently with minimal supervision
  • Ability to maintain increasing levels of responsibility and supervision
  • Ability to effectively communicate with all levels of the company, including senior management, is required
  • Ability to demonstrate sound judgment, professional skepticism, and a strong learning aptitude to understand the company's business processes and systems
  • Strong negotiating skills combined with the ability to act as a client business partner and control subject matter expert is required
  • Strong technical, analytic and problem-solving skills, with the ability to review and evaluate a function's overall control environment
38

Director, Internal Audit, Core Operations Resume Examples & Samples

  • Drafts plan of internal audit activity based on significant strategic, financial, compliance and operational risks
  • Progressive experience managing varied internal audit and reporting projects or clients with a large public accounting firm, or internal audit experience at a large global company (5 years)
  • Ability to apply sound business principles and practices to project management and change management processes
39

Director, Internal Audit Resume Examples & Samples

  • Mentor staff and management level professionals
  • Seven years of experience performing internal or external audits within financial services compliance
  • Working knowledge of business processes and key risks and controls in the investment banking and broker dealer industries including front, middle, and back-office capital markets activities
  • Ten years of related experience with experience in supervising staff
  • Master’s degree from an accredited college/university in a related field preferred
40

Director, Internal Audit Resume Examples & Samples

  • A minimum of nine years of related audit experience, preferably gained in both public accounting and private industry, including at least one year in an internal audit management position
  • Ability to build strong working relationships with operations and financial personnel and assist in enhancing the profitability and productivity of their operations through operational audits
  • Management and leadership skills necessary to manage, train and motivate a highly qualified professional staff; including the overall execution of specialized audits in the consumer products industry (e.g. Purchasing, Manufacturing, Inventory Management, Supply Chain, Advertising)
  • The ability to work independently and to consistently meet stringent deadlines
  • Ability to identify problems, reccommend effective solutions, and ensure that those solutions are implemented on a timely basis
  • Familiarity with IT applications as they relate to conducting internal operational audits as well as ensuring that internal controls are adequate
  • Well developed communication and presentation skills indicative of an ability to effectively make presentations to and influence senior management, and communicate with all levels of management in a decentralized environment
41

Director, Internal Audit Resume Examples & Samples

  • Collaborate with senior management to develop a comprehensive and flexible audit plan using an appropriate risk-based methodology and present to the Audit Committee
  • Implement and execute the audit plan, including, as appropriate, any special tasks or projects requested by management or the Audit Committee
  • Issue reports to management on the results of the audits and drive actions to remediate identified defects and mitigate identified risks
  • Issue periodic reports to the Audit Committee summarizing results of audits and significant findings
  • Coordinate activities with external auditors to ensure proper audit coverage, elimination of duplicative efforts and improvement in the efficiency and effectiveness of audit activities
  • Proactively interact with management to ensure audit and business risks are addressed effectively
  • Manage the Enterprise Risk Management framework
  • Develop management processes and tools to support the identification and assessment of existing and emerging risks
  • Manage the annual ERM risk identification program to identify the risks for the company
  • Coordinate the ERM program, including developing quarterly risk management reporting for the Steering Committee and updates to the Audit Committee
  • Validate the execution of associated projects to reduce or remediate ERM risks
  • Lead the SOX program, including initial 404 compliance
  • Develop a new SOX framework reflecting the separation from the former parent company and implementation of new systems
  • Continually assess and improve the existing SOX program, controls and process
  • Ensure the effective implementation and execution of control activities and related monitoring / reporting
  • Partner with management to remediate ineffective controls
  • Manage third party staff under a co-source agreement to execute audit and SOX work
  • Opine on and as appropriate draft policies and procedures for the company
  • Execute a robust fraud management program
  • Promote high levels of ethical awareness and conduct within the Company
  • Undergraduate degree preferably in Accounting, Finance or IT
  • Knowledge of MS Dynamics AX and / or SOXHUB a plus
  • Audit experience with a retail focus
  • Previous experience within a major accounting firm
  • Experience leading cultural and organizational change within an audit function
  • Previous experience interacting with an Audit Committee of a public company
  • Effective interpersonal skills; relates well to all levels of management
  • Positive and self-motivated individual with strong leadership qualities
  • Strong analytical/quantitative skills
  • Strategic and logical thinker
  • Ability to thrive in an environment of change and to be a change agent
  • Unquestionable ethics and integrity
42

Director Internal Audit Resume Examples & Samples

  • Bachelor's Degree in an Accounting/Finance, Business Management, Engineering/Math or related field of study
  • Master’s/MBA preferred
  • 12 years of relevant work experience
  • CPA, CIA, and/or Master Black Belt or equivalent required
  • Expertise in continuous improvement methodologies (i.e. Six Sigma, Lean) with proven ability to deliver improvements to business performance
  • Strong technical knowledge and experience surrounding complex business analysis including mathematical concepts, data modeling, synthesizing complex and unstructured data and identifying exposures and opportunities
  • Successful history of problem solving to drive changes to business process and practices that provides significant improvement to operating performance
  • Demonstrated ability to communicate, negotiate and influence executives and leaders
  • Proven leadership and management skills with the ability to direct, develop and oversee the work of others
43

Director, Internal Audit Resume Examples & Samples

  • Directs the performance of Financial, Operational, Compliance and Information Technology audits to ensure controls are adequate, business risks are identified and assures adherence with applicable laws and regulations such as the Sarbanes Oxley Act, Company policies and procedures, Generally Accepted Accounting Principles, and generally accepted internal control standards such as COSO and COBIT. Manages a variety of concurrent audit and administrative projects, and makes scope and timing adjustments as necessary to increase the overall audit effectiveness
  • Consults in the development of new business or system processes. Provides management with recommendations for reducing operating costs, managing risks and improving productivity
  • Establishes project teams, assigns responsibilities, and facilitates meetings to ensure timely goal attainment
  • Mentors, coaches, and develops employees through orientation, training, establishment of objectives, communication of policies and rules, and constructive discipline; builds morale and motivation
  • Directs an annual audit plan based on an evaluation of risks within the Company, as well as the objectives established by the Audit Committee of the Board of Directors. Reviews internal audits in to determine the effectiveness of internal controls, efficiency of operations and compliance with corporate policies and procedures including, as appropriate, any special projects (consulting engagements) requested by management
  • Understands and applies advanced audit techniques (e.g., risk assessments, analytical review procedures, statistical sampling, and data analysis tools) to the audit process; develops approaches to test process effectiveness and efficiency; applies prior audit/business experience to current audit situations; provides subject matter expertise in key audit functional areas; identifies and quantifies opportunities for business improvement; and delegate work appropriately
  • Maintains executive contacts and establishes relationships with business unit management to encourage an exchange of information and open dialogue on business processes and control issues, as well as enhance the image and perceived value of the Internal Audit department
  • Presents audit findings effectively to Business Unit management and Senior Management. Assists and mentors audit teams with verbal and written communications. Monitors and reports to the Audit Committee and Senior Management the disposition of the audit results (findings and recommendations); evaluates whether the corrective action taken by management is sufficient to resolve the issues that have been raised
  • Partners with other areas within Accounting to ensure the proper recording of business transactions
  • Actively participates in VCS organization planning and development activities
  • Bachelor’s Degree and at least 8 years of experience in an analytical role in finance, accounting, business management, or audit or High School Diploma/GED and at least 11 years of experience in an analytical role in finance, accounting, business management, or audit
  • Experience applying internal control concepts (COSO and/or COBIT)
  • Experience in analyzing and assessing risk in business or system processes, evaluating internal controls and developing recommendations
  • Experience developing and delivering presentations to various audience levels within an organization
  • Experience with MS Office Suite
  • At least 4 years of experience planning, developing, and managing departmental expense and capital budgets
  • At least 4 years of experience directly managing people, including hiring, developing, motivating, and directing people as they work
  • Willing to travel up to 15% of the time for business purposes (within state and out of state). May also include international travel
  • Bachelor's Degree in Accounting, Finance, Business Administration, Economics, Computer Science or MIS
  • Professional designation: Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), or Certified Information Systems Auditor (CISA)
  • Advanced level skill in Microsoft Excel (using multiple sheets and workbooks, logical Operators ("AND" and "OR"), creating charts, and pivot tables)
  • Expertise with fraud investigations
44

Director, Internal Audit Resume Examples & Samples

  • Minimum of five years experience in a leadership role within an Internal Audit function
  • Degree in Business, Finance, Accounting, or other relevant discipline
  • Certified Internal Auditor (CIA) designation held
  • Professional Designation such as CPA, CFA, or equivalent preferred
  • Ability to understand investment processes and their risk implications, analyze situations, reach appropriate conclusions and make value-added and practical recommendations
  • Comprehensive knowledge of control environment within the investment and asset management industries
  • Excellent knowledge of audit methodologies, project management and risk management practices preferably in the investment management or related financial services areas
  • Superior communication skills (written and oral) with the ability to take concepts or events and present them simply, concisely and effectively
  • Proven ability to build and foster professional relationships and influence others effectively at the management and staff levels
  • Ability to adapt to rapidly changing business needs and priorities
  • Appreciate and demonstrate diversity of thought and opinions
  • Self motivated and able to work independently and as part of a team having a “hands on” approach
  • Strong attention to detail with proven consistency
  • Strong organizational/project management skills, the ability to efficiently progress multiple assignments
  • A continuous learner who stays on top of investment business and professional trends
  • Exemplify our Guiding Principles of integrity, high performance and partnership
45

Director Internal Audit Resume Examples & Samples

  • Represent CF A within Siemens, solidifying CF A as a trusted business partner and help manage risks for the company
  • Act as a formal client relationship manager between CF A and Healthineers senior management
  • Conceptualize, design, plan, and execute audit engagements on a wide variety of Healthcare-relevant topics including but not limited to FDA Regulatory Compliance, New Products, Sales and Operations, and Business Performance
  • Review your team’s findings, providing feedback to ensure accurate reporting to the client
  • Lead closing meetings with management, presenting findings, conclusions and recommended improvements
  • Provide constructive performance feedback to all team members after the engagement
  • Live the CF A People Strategy; lead your team by example, be a career coach and mentor
  • Contribute to recruiting activities; identify top talent and participate in interviews
  • At least 10 years of experience in an operations, engineering, quality management and/or regulatory affairs role within the medical device or pharmaceutical industry
  • Strong working knowledge of worldwide cGMPs, regulatory requirements, standards, and quality management systems for medical devices
46

Director, Internal Audit Resume Examples & Samples

  • Identify primary controls, key metrics and best practices
  • Assist senior management with special investigations, financial analysis and other projects
  • Identify issues/concerns and communicate such items with CFO & Controller
  • Conduct testing, document findings and develop written recommendations
  • Work collaboratively with outsourced internal audit team to ensure issues and recommendations are resolved timely
  • Assist with the design and implementation of changes to policies and processes
  • Assist in supporting and evaluating existing or new systems/programs
  • Exhibit strong analytical ability and diligently perform assigned tasks with the highest degree of professionalism and integrity
  • Experience with non-standard automobile insurance operations is a plus
  • Team player with a strong collaborative orientation; ability to build strong relationships across an organization
  • Excellent interpersonal skills including strong verbal and written communication skills and ease in interacting with associates
  • Ability to multi-task in a fast-paced environment while meeting critical deadlines
  • Creative problem solving and critical thinking/decision making skills
  • Organized, detail oriented and a self-starter
  • A minimum of five years of audit, process improvement, project management, analytics and/or quality assurance
47

Director, Internal Audit Resume Examples & Samples

  • Recruiting, developing and leading the Internal Audit team members based in the US
  • Participating in development of the annual audit plan
  • Contributing to further develop the Internal Audit function in The Priceline Group
  • Building relationships with senior management across The Priceline Group and acting as an ambassador for the Internal Audit function
  • Providing added value to the business by identifying opportunities to improve and drive positive change in governance, risk management and internal controls
  • Managing the SOX compliance testing for the US brands
  • Taking the lead in the risk management process in the US
  • Preparing, scoping, planning, managing and executing internal audit activities
  • Communicating audit results to management, external auditors and Audit Committee
  • Up to 10% travel
  • Bachelors Degree, preferably in Accounting or Finance
  • CA/CPA or equivalent designation highly desirable
  • Certified Internal Auditor (CIA) designation highly desirable
  • Minimum of 10 years of relevant experience working in a Big 4 accounting firm and/or Internal Audit functions at listed companies
  • Experience with US GAAP, PCAOB, SOX and SEC requirements
  • Strong communication skills, ability to communicate at all levels of the business
  • Hands on, result oriented team player
  • Affinity and experience with corporate governance in a ‘high exposure environment&#8217
  • Excellent audit report writing and oral communication skills
  • Strong skills in negotiating, relationship building, problem solving, and timely problem escalation
  • Embrace rapid change and displays a high degree of flexibility
  • Good understanding of IT environments and related risks
  • Detail oriented but able to quickly grasp the bigger picture
48

Director, Internal Audit Resume Examples & Samples

  • Bachelor’s degree in Accounting, Finance, Information Technology, Information Systems, or related preferred
  • CIA, CISA, and/or CPA highly preferred
  • 10+ years of Internal Audit, Compliance, Risk Management or related experience
  • Experience evaluating the design and effectiveness of processes and controls over change management, access, data integrity/accuracy/completeness, systems development, and applications development
  • Knowledge of COSO, ISO27001, ISO27002, NIST Cybersecurity, COBIT, PCI or related frameworks
  • Ability to work on multiple projects simultaneously and prioritize accordingly
  • Excellent analytical, verbal and written communication, exceptional interpersonal, and relationship building skills
  • Comfortable collaborating with business stakeholders and identifying and addressing business needs through building solid relationships
  • Demonstrate a balance of internal audit skills with common-sense and an excellent ability to communicate verbally with business partners
49

Director Internal Audit Resume Examples & Samples

  • Leads the implementation and operations of audit procedures throughout the organization, including coordination with outsourced providers (Supervalu and our co-source provider, collectively the “Providers”)
  • Leads the preparation of audit plans and understands the specific issues to be evaluated
  • Directs and participates in activities to ensure the department and Providers maintain a thorough understanding of business activities and objectives and associated risks
  • Conducts company-wide risk assessments and develops a risk-based annual audit plan to cover financial, operational, and compliance risks and controls across the Company; work to include the development of a fraud risk assessment
  • Meets with Executive and senior management of the general office, distribution centers, and reginal management to gain an understanding of internal control environments, current and upcoming changes, business risks, and project review requirements
  • Develops quarterly work plans, schedules, staff assignments, and annual financial budgets for the internal audit function. Ensure that function status reports, work summaries, time estimates, and financial budget to actual comparisons are prepared accurately and in a timely manner. All of this inclusive of the function, inclusive of internal staff and the Providers
  • Directs, supervises and participates in planning and performing projects on a concurrent basis in various operating, financial, and information technology areas
  • Communicates risks, control weaknesses, and recommendations to executive and senior management
  • Oversees development of project reports including recommendations to correct internal control weaknesses. Directs providing assistance to company management in developing action plans to mitigate deficiencies
  • Coordinates with the Providers to ensure quality, timeliness and cost are appropriately maintained
  • Coordinates with external auditors in audit planning and direct assistance work to support the audit of the Company’s financial statements
  • Ensures that work of staff is reviewed at an appropriate level and that procedures performed are appropriate and aligned with internal control and service objectives
  • Ensures that findings and recommendations are communicated to and implemented by management within a reasonable timeframe
  • Oversees and directs the development of training programs related to internal controls and accounting and information systems to enhance and further the professional development of the internal audit team and the business, as appropriate
  • Provides independent evaluation and testing of the companies Sarbanes-Oxley compliance activities
  • Provides direction and oversight to the store audit activities, including Provider selection and scope of work, ensuring the store audit program supports both internal control and management’s operational objectives
  • Develops and maintains a system for managing control documentation and coordinates periodic updates of control documentation for changes in systems, processes, personnel and best practices
  • Regular presentation to the Audit Committee on progress in completing the annual audit plan and noteworthy results; participation in additional Audit Committee sessions, as required
  • Participate as a core team member of the Whistleblower Hotline Monitoring program
  • In addition to one internal staff, this role will direct the efforts of SuperValu Internal Audit staff (through the Professional Services Agreement) and our co-source provider
50

Associate Director, Internal Audit Resume Examples & Samples

  • Financial, operational and compliance controls, with a focus on market operations
  • Sourcing, managing, developing, training and coaching members of the IAD team (including co-sourced resources, as appropriate) in the skills required to perform assignments and ensure they are delivering to a high standard of quality in accordance with Macquarie's methodology and professional standards
  • Relevant qualifications in Accounting/Finance or equivalent field
  • Relevant Internal Audit Qualification
  • 10 years plus relevant experience, in Internal / External Audit
  • 3-4 years in Senior manager / leadership role
  • Experience in front/back office operations and credit risk highly regarded
  • Strong communication skills including negotiation and influence at a senior level. Strong empathy and ability to engage effectively
  • Exemplary self and team management skills - strong focus on team success
  • Refined negotiation and influencing skills
  • A hard-working and flexible attitude and the desire to succeed in a fast-paced and team-oriented environment
51

Assistant Director, Internal Audit Resume Examples & Samples

  • Master’s degree or training and work experience at a level that equates to a master’s degree
  • Demonstrated strong ability to lead small, high-performing teams, including setting clear, aligned goals; coaching and supporting for superior performance; and providing feedback for talent development and continuous improvement, preferably in a professional services firm, higher education, or decentralized corporate environment providing risk-based audit programs, risk-based auditing services and/or risk advisory services (at least five years of experience is strongly desired)
  • Demonstrated strong ability to audit business processes, programs and operations which often span organizational departments (at least 10 years of experience is strongly desired)
  • Knowledge of relevant auditing and risk management standards and principles, such as the IIA’s Standards for the Professional Practice of Internal Auditing; U.S. Generally Accepted Accounting Principles; COBIT (Control Objectives for Information and Related Technology); and existing federal, state and industry legislation and regulation governing the operations of higher educational institutions
  • Knowledge and demonstrated ability to audit, or supervise audits of, large-scale IT business environments, user-developed applications and environments, networks, application controls, information security, and related control frameworks
  • Sound ability to identify and assess enterprise-wide risks, including those related to enterprise-level innovation, ventures and change activities; and provide sound recommendations to achieve business/educational goals
  • Superior skills in the areas of communication, relationship-building, collaboration and problem-solving; and strong ability to communicate and collaborate with executive and operational management and auditors, including business-focused auditors and IT specialist auditors
  • Highest levels of integrity; strong initiative and professionalism with a results-oriented work style; and ability to drive professional culture enhancements
  • Strong analytical skills, with ability to identify and assess risks and exposures across a wide variety of processes, diverse operations, and complex technology environments; and
  • Demonstrated continuous improvement focus with a strong customer-centric mindset
  • Familiarity with Ellucian Banner systems
52

Director, Internal Audit Resume Examples & Samples

  • Designs a systematic risk assessment framework to identify and rank risk areas including all business units and processes
  • Define and prioritize audit projects and programs based on a risk based annual plan that will evaluate the existence of internal controls, as well as the adequacy, effectiveness and compliance with existing controls and the protection of Company’s assets
  • Responsible for planning and execution of Internal Audit’s financial, operational and compliance reviews and special projects
  • Develops formal process for conducting Internal Audit engagements according to International Professional Practices Framework (IIA Standards)
  • Advise senior management regarding risk and control issues and provide practical recommendations to ensure risks are appropriately managed and operational efficiencies are identified
  • Develop a strong working relationship with business unit leaders and other control groups (Compliance) to enable effective communication of risk and control issues
  • Assists with other projects, as needed
  • 10 + years of relevant work experience (i.e. external audit, internal audit, SOX compliance, etc.) including 3 years of leadership in managing a professional staff. Experience from Big 4 is a plus
  • Experience evaluating SOX requirements; identifying controls, control gap analysis, and evaluating testing effectiveness
  • Demonstrated ability to apply IIA Standards and current knowledge of generally accepted accounting principles
  • Strong organizational, interpersonal, and management skills and excellent written, communication and presentation skills
  • CPA and or CIA required and other professional certifications (CISA/CFE) are a plus
  • Industry experience and or knowledge a plus
53

Director, Internal Audit Resume Examples & Samples

  • Oversee Internal Audit activities in North America inclusive of risk assessment, annual planning, risk-based operational audits, Sarbanes-Oxley, and audit issue management
  • Lead the execution of operational audits in customer facing functions such as Sales, Sales Operations, Partners, Services, Revenue, Marketing, and Commissions
  • Act as a business partner to key stakeholders in the customer facing functions to advise on process, risk, control, and compliance related challenges
  • Partner with the audit leader in standardizing audit approach and methodology, and ensuring consistency in quality and execution of internal audits
  • Advise on the implementation of ServiceNow’s GRC product in support of the company’s NOW on NOW initiative to demonstrate GRC leading practices
  • Lead and mentor of team of managers, senior analysts, and analysts to ensure proper training, consistent execution, and audit skill development
  • Support the audit leader in the management of the companies Enterprise Risk Management Program
  • Minimum Education Required: Bachelor's degree in Accounting, Finance or related discipline from a four year university
  • Minimum Experience Required: 12+ years of work experience in Internal Audit or related areas, previous Big 4 experience preferred, previous experience working in an internal audit function required, 6+ years in leading audit teams with demonstrated progression of responsibilities required. Previous experience in the Software, Cloud industries strongly preferred
  • Licenses/Certifications Required/Preferred: CPA or CIA
  • Deep understand of business objectives and risks associated with a Software and Cloud company, and demonstrated execution of operational audits in customer facing business processes
  • Previous experience in performing Internal Audit’s annual risk assessment and management’s ERM program, and demonstrated knowledge of leading risk management practices including a companies Enterprise Risk Management program
  • Advanced understanding of business process and internal control and the demonstrated ability to evaluate and determine the adequacy of process and controls by considering relevant risks
  • Demonstrated ability to seamlessly manage a team of 6+ individual, and project manage multiple audit engagements at one time
54

Director, Internal Audit Resume Examples & Samples

  • Oversee internal audit functions across all Garmin Ltd. entities
  • Manage global Internal Audit team including development of staff
  • Coordinate plans to document, execute and review all internal controls of all Garmin Ltd. subsidiaries including any distributors and other entities that are created
  • Work closely with external financial auditors and tax advisors to ensure all Sarbanes-Oxley (SOX) requirements are being met
  • Present each quarter to the Garmin Ltd. Audit Committee the status of the internal controls processes, including any findings that may arise during the year
  • Make recommendations to executive management on processes that can be improved, opportunities for cost savings, expense reduction initiatives and other strategic changes needed within the Company
  • Provide financial reporting to executive management including financial trends within the business
  • Report to CFO on financial issues that arise in normal day-to-day operations
  • Follow-up for CFO on action items generated during monthly staff meetings and quarterly Controller teleconferences
  • Must possess a minimum of 8 years experience in Accounting/Finance field performing a role substantially similar to this role’s essential functions
  • Must possess CPA certification
  • Demonstrated knowledge of international financial consolidations
  • Demonstrated strong and effective verbal, written, and interpersonal communication skills
  • Must possess demonstrated effective presentation skills and public speaking ability
  • Must demonstrate strong leadership, management skills and ability to exercise sound independent judgment
  • Must be detail-oriented and have the ability to work proactively and effectively with minimal supervision
  • Ability to prioritize and multi-task in a flexible, fast paced and challenging environment
55

Director / Internal Audit Resume Examples & Samples

  • Ensure audit results are communicated clearly, accurately, unbiased, and timely to senior management and other partners
  • Meet with the Audit Committee regularly to discuss audit plans, reports on audits completed, staffing, department budget and expenses, and other pertinent information
  • Ensure department compliance with the Internal Audit Charter, IIA Standards, and Company Policies and Procedures
  • Manage, recruit, mentor, and develop a professional audit staff with sufficient knowledge, skills, and experience to meet the Company’s audit requirements
  • Monitor balanced scorecard measures and other performance related factors
  • Develop, motivate and lead audit staff as well as coordinating organization development and other team building activities to promote staff coordination and synergies
  • Perform strategic planning, strategic relationship building, and promotional activities to ensure the department is acting as a strategic business partner throughout the Company
  • Development of the annual risk assessment and audit plan, and determine the nature and extent of audits
  • Participate, as requested, in various committees, task forces, and special projects geared to policy/procedure development and operational improvements
  • Cultivate relationships and communicate with senior management and stimulate positive change throughout the Company
  • Collaborate with external auditors to promote efficiencies in the audit process
  • Identify engagement and consulting opportunities
  • Develop and modify the strategic plan as necessary
  • Encourage the use of technology to enhance the audit process
  • Mastery of accounting and auditing standards
  • Perform related duties and responsibilities as assigned
  • Regular and predictable attendance is a condition of employment and is an essential function of the job
  • Organization and time management skills
  • Proven leadership and presentation skills
  • Ability to communicate clearly and effectively in both speech and writing
  • Certified Public Accountant, Certified Internal Auditor, or other relevant certification required
  • Strong interpersonal skills and ability to work collaboratively with staff and clients
  • Ability to adapt to change and manage multiple assignments
  • Proficiency with Microsoft Office tools
  • ACL and TeamMate experience preferred
  • Travel four to six weeks annually, depending on business requirements
56

Director, Internal Audit Resume Examples & Samples

  • MBA from a top-Tier Business School
  • Three or more years of strategy consulting experience with a top-tier firm preferred
  • Relevant experience in operational decision-making preferred
57

Director Internal Audit & Controls Resume Examples & Samples

  • Given upcoming critical demands on the VP Internal Audit, the Director role is responsible for increased interactions with business and finance leadership in sharing status of key projects and initiatives, best practices and industry/company trends, value-added advisory services, etc. This includes delivering presentations at leadership meetings on key topics and results of audit and internal controls work
  • Assist the VP Internal Audit in managing the Internal Audit co-source arrangement with one of the Big 4 Accounting firms. Ensure appropriate strategic guidance, approach and methodology is provided to the co-source partner as well as enforce quality assurance process and procedure. Also, continuously monitor performance of the co-source partner including managing fees as agreed by statement of work
  • Proactively help manage the relationship with Deloitte, the organization’s external audit provider. Ensure alignment between WME/IMG Internal Audit conclusions and those of Deloitte. Facilitate documentation requests from Deloitte and propose reasonable, value-added solutions where necessary
  • As part of the Director role, responsible for providing internal control guidance in conjunction with the SAP upgrade including business processes, internal controls, security, segregation of duties, etc. A key aspect of the Director role includes bridging the gap between business process and system design documents and internal control requirements. Key activities include drafting required documentation such as business process flows and risk and controls matrices through leading facilitated workshops with key members of the business and financial leadership teams
  • Responsible for assisting in the Company’s initial global Internal Audit Risk Assessment and annual audit plan including identifying areas of significant risk, management focus and strategic direction
  • Other specific areas of internal audit focus for the Director of Internal Audit include the Company’s establishment of an effective internal and operating control environment; SEC financial reporting and consolidation processes; SAP upgrade/implementation requirements; addressing risk-based opportunities for system, control and process enhancements; and the overall stand-up of the control and compliance infrastructure for organization
  • Professional designations-CPA, CFE, CRMA, CIA
  • Eight to ten years of business/accounting, auditing, finance experience with a dynamic and progressive organization, a mix of Public and Private Industry experience preferred
  • Experience in SEC financial reporting. Strong understanding of regulatory requirements and the ability to independently develop auditing approach to internal controls and financial reporting audits
  • Can identify risks of non-compliance and risks to key strategies and can translate into audit and risk
58

Director Internal Audit Resume Examples & Samples

  • Provide overall leadership and direction for the development and supervision of a comprehensive risk-based internal audit program to ensure the organization is adhering to prudent financial and operational controls, managing significant risks, safeguarding assets, and complying with laws and regulations
  • Propose strategic direction, technical consultation, and thought leadership to enhance processes, systems, procedures, methods, and controls throughout the company and its business units, with the emphasis on reducing risk and minimizing liability while ensuring operational controls run efficiently
  • Understand the needs of the organization and add value in delivering high quality and consistent department results to help the company accomplish its objectives
  • Provide assurance to management over the company’s global internal control environment through the execution of assessments addressing key business and financial risks
  • Report findings and recommendations from audits to process owners, and QVC senior management. Communicate with management to ensure that audit findings are resolved on a timely basis
  • Drive department quality standards to ensure adherence to the International Professional Practices Framework as promulgated by the Institute of Internal Auditors
  • Build the Internal Audit brand throughout the organization by creating trusting consultative relationships and acting as an expert regarding the overall system of the internal controls
  • Establish standard audit practices and methodology ensuring quality and consistency with professional standards
  • Form a high performing team through relevant, timely balanced feedback; coaching and teaching, encouraging mentoring relationships; and using recognition and rewards to reinforce desirable behaviors
  • Assists in planning, monitoring and/or managing budget for functional area of department-Defining scope and negotiate contracts with third party vendors
  • Bachelor’s Degree or Higher in Accounting, Finance, or Related Field
  • 10+ years’ experience in Public Accounting, Internal Auditing, Finance and Accounting and /or related fields including significant experience with financial and accounting applications as well as financial, operational and information technology controls
  • CPA (Certified Public Accountant), CIA (Certified Internal Auditor) and/or CISA (Certified Information Systems Auditor) required
  • 5+ years of proven leadership in managing a relatively large number of professional staff and reporting at an executive management level
  • Advanced knowledge of GAAP, GAAS, COSO, COBIT, SOX compliance requirements and IIA International Standards for the Professional Practice of Internal Auditing
  • Relationship builder who is solutions-oriented and can effectively link the interests of multiple stakeholders
  • Team leader who can establish priorities and ensure optimal allocation of resources
  • Change management and process reengineering capabilities- so as to advise the business on how to interpret and practically implement change
  • Strong leadership and talent development capabilities so as to develop talent within the organization
  • Exceptional written and oral communication skills with ability to formulate insights around complex business problems
  • Good balance of consulting and assurance approaches
59

Director Internal Audit Resume Examples & Samples

  • Provide high quality, professional day-to-day execution of internal audit engagements and projects in line with the firm risk management practices for the financial services practice
  • Assist in preparing risk assessments and annual audit plans for financial services clients
  • Participate in firm go-to-market activities, identify new business opportunities, and contribute to the development of proposals specific to the financial services practice
  • Bachelor’s degree from an accredited college/university in an appropriate field; Master’s degree from an accredited college/university in an appropriate field with CPA, CIA or CISA preferred
  • Working knowledge of business processes, financial instruments, and derivative products and an understanding of associated key risks and controls in the investment banking and broker dealer industries including front, middle, and back-office capital markets activities
  • Strong understanding of key asset management business processes including portfolio management, trading, settlement, valuation, and other middle and back office operations
60

Director Internal Audit, EME Resume Examples & Samples

  • Provide key input into the corporate and regional audit plan
  • Provide key input into the corporate and regional risk assessment
  • Pro-actively advise all EME Senior Staff, including the SVP and VP of Finance, on key risks and control issues, as well as provide potential mitigation plans and strategies for their operations
  • Assist in the design and implementation of mitigation plans or development of new business processes or operations
  • Manage all internal or co sourced audit resources, up to 20 individuals
  • Work with the Global Director of Internal Audit or development of the Global IA Plan and Strategy, Global Enterprise Risk Assessment and execution of selected Global Audits
  • Development and training of internal staff both within EME and other regions when other regional staff are assigned to their audits
  • Ability to evidence extensive Audit experience is essential
  • Degree in Accounting, Finance or Auditing; MBA desirable
  • CPA, CIA or CISA (or non US equivalents) is essential
  • Experience with Data Analytics is desirable
  • ‘Big 4’ Auditing experience is essential
  • Excellent knowledge of Sarbanes Oxley, Internal Controls, Risk Evaluation and Senior Management communications is essential
  • International business experience is essential
61

Director, Internal Audit Resume Examples & Samples

  • Develop audit plans for domestic and international operations
  • Direct, conduct and supervise the planned internal audits for the divisions and facilities
  • Develop, enforce and update internal audit programs and standards on a regular basis
  • Coordinate and team with the Group’s Internal Compliance Group
  • Evaluate the validity of automated financial systems and controls, and develop techniques for auditing through the computer and software reviews
  • Coordinate with the finance and accounting teams and independent auditors to ensure the maximum return from the audit resource
  • Follow up on management action plans originated from recommendations made by both the internal and independent auditors to ensure corrective action plans have been implemented
  • Conduct special projects as assigned by the Chief Financial Officer
  • A minimum of five years of related audit experience. Prefer at least one year in an internal audit position
  • Strong technical accounting and auditing skills, including strong knowledge of IFRS and US GAAP
  • Highly professional with a strong work ethic
  • Ability to evaluate and enhance internal controls
  • Well-developed communication and presentation skills indicative of an ability to effectively make presentations to and influence senior management, and communicate with all levels of management in a decentralized environment
  • BA. in Accounting, Finance, Business or related field (C.P.A., C.I.A. and / or MBA are preferred)
  • Must be willing to travel 50% (both domestic and international travel)
  • Prefer to be proficient in SAP, Windows and Office software applications ((Excel, Word, Powerpoint, Access)
62

Director, Internal Audit Resume Examples & Samples

  • Effectively monitor the performance of self and teammates to ensure set deadlines are met
  • Plan, design, budget and lead a risk-based audit plan for all activities of the company, specifically for Sarbanes-Oxley compliance
  • Work with control owners and management throughout the company on documentation that supports compliance with Sarbanes-Oxley regulatory requirements
  • Perform, review and monitor tasks for completion of the Sarbanes-Oxley compliance program, including the testing of internal controls
  • Perform, review and monitor tasks for completion of operational audits, including analysis and testing of internal controls
  • Plan, develop, budget and lead all audits in accordance with the audit plan and with the Standards for the Professional Practice of Internal Auditing of The Institute of Internal Auditors (IAA)
  • Provide reporting of results of internal audit activities and tracking of open audit issues
  • Ensure the sufficiency of supporting information for audit reports, including action plans to achieve visible improvements to internal controls, risk management, and processes
  • Stay current with the professional standards of internal auditing (e.g., legal and compliance requirements)
  • Candidate must professional certification required such as Certified Public Accountant (CPA) or Certified Internal Auditor (CIA)
  • Previous external and/or internal audit experience of 8 years is required. Prior position as Director required
  • Excellent oral and written English skills
  • Highly developed planning, time management, and organizational skills. Must be able to multi-task and manage many simultaneous projects. Must be able to properly track simultaneous projects and report status as appropriate to the Senior Vice President
  • Flexibility to work in a growth environment
  • Ability to travel for a possible 2 to 3 weeks per year
63

Director, Internal Audit Resume Examples & Samples

  • Lead the internal audit function, including evolution of the group to a valued business partner in the consulting space as well as meeting the compliance activities associated with Sarbanes Oxley
  • Project management of the company’s Sarbanes Oxley 404 compliance program, including scoping, project administration, evaluation and testing of design and operating effectiveness of internal controls
  • Directing and overseeing the internal audit team of 13 and all activities and responsibilities of the IA function, including the timely and quality completion of assigned portions of annual IA Work Plan
  • Creating the annual risk assessment and audit plan
  • Training, mentoring, and development of the internal audit team
  • Lead role in performing special examinations, investigations, or other reviews as requested by management or the Board of Directors
  • Yes, directly supervises other employees, including some combination of senior auditors and auditors
  • Bachelor’s degree in Accounting, Finance, or a business-related field required
  • Professional certification (e.g., CPA, CIA, CFE, CISA or other relevant certification) highly preferred
  • Attainment of (or striving to attain) MBA degree desirable
  • A minimum of 8 years of public company accounting and/or audit experience required, including supervisory experience
  • “Big Four” accounting firm experience preferred
  • Knowledge of internal audit and accounting principles and standards of professional audit practice
  • Demonstrated ability to communicate effectively across a matrix organization, with various management levels, executives, and Board of Directors
  • Demonstrates strong leadership and ability to manage multiple audit arrangements simultaneously across multiple business operations, and assures effective and efficient completion of audits assigned
  • Outstanding motivational and mentoring skills; proactive in nature; high emotional intelligence to influence without authority and provide change management and build bridges as needed to add value and meet strategic objectives
  • A solid understanding of business practices and knowledge of gas utility industry highly desirable
  • Familiarity with the COSO Internal Control Framework, the Sarbanes-Oxley Act of 2002, the IIA’s IPPF’s and PCAOB auditing standards
  • Knowledge of, or ability to learn, the Missouri Public Service Commission’s guidelines for the Company’s accounting, operational and reporting processes highly desirable
  • Outstanding written and verbal communications skills, specifically listening and persuasive skills, with ability to effectively and concisely convey complex ideas
  • Effective analytical and problem solving abilities
  • Knowledge of personal computer applications and ability to work with Microsoft Office software; knowledge of Oracle and Hyperion financial applications highly desirable
  • Ability to independently perform research and analyze and evaluate data, policies, procedures, processes and applicable laws and regulations
64

Director, Internal Audit Resume Examples & Samples

  • Direct the evaluation of risk by developing and executing an internal audit plan for CommunityAmerica Credit Union, CommunityAmerica Financial Solutions, CUSO One, LLC, TruHome Solutions, LLC, TruHome Title and other majority or wholly owned entities. The audit plans will be risk-based and ensure each entity has the appropriate internal controls, effective and efficient processes, and good business practices. The plan will evaluate the effectiveness of the controls in place to manage significant risk exposures, ensure the integrity and reliability of information and financial reporting, safeguard company assets, and support compliance with laws and regulations
  • Create and change the audit plans as needed with prior approval to maximize its effectiveness and stay current with operational or other business changes
  • Successfully build and maintain rapport, respect, credibility, and effective working relationships with Board members and management teams from each respective entity
  • Report audit findings, risk assessments results, and status updates on corrective action plans to each entity’s respective executive management team, the CommunityAmerica Credit Union Supervisory Committee, and Boards of Directors for subsidiary entities. Additionally, report to senior management and, as appropriate, to the Supervisory Committee, on significant issues related to internal controls processes and risk management to ensure that these processes are appropriate for the current and evolving business environment and to provide information concerning such issues through resolution
  • Lead annual process to obtain approval of the internal audit charter from the Board of Directors or Supervisory Committees at each legal entity for which audit services are provided
  • Maintain working knowledge of regulatory & compliance issues at the Credit Union and all subsidiary entities
  • Evaluate department’s compliance with the International Professional Practices Framework’s (IPPF) standards for the professional practice of internal auditing
  • Ensure the credit union complies with standards of Generally Accepted Accounting Principles (GAAP), National Credit Union Administration (NCUA) federal regulations, certain applicable state regulations and any other applicable laws, regulations and guidance
  • Conduct special reviews or investigations at the request of management, the Supervisory Committee, or subsidiary Boards of Directors. Participate in other special projects or strategic initiatives at the direction of the executive management team
  • Coordinate the external audit and regulatory examination process. Work with external auditors and examiners to ensure an effective and efficient process during onsite visits. Communicate with auditors and examiners throughout the year to discuss best practices, emerging areas of risk or concern, and to inquire on technical questions as needed
  • Lead the external audit ‘request for proposal’ process as directed by the Supervisory Committee and Chief Executive Officer. Negotiate fees with selected firm as needed
  • Develop and motivate Internal Audit staff, championing continuous audit process improvement in accordance with professional auditing standards
  • Coach, mentor, and provide development opportunities for staff. Provide frequent feedback regarding performance and progress on established goals and objectives
  • Adjust the Internal Audit team’s skill mix and diversity according to the organization’s objectives and risks
  • Establish and maintain a quality assurance and improvement program for internal audits
  • Maintain an external network of contacts to permit selective and continuous benchmarking of the credit union’s internal control and audit practices. Utilize other benchmarking research to support decisions and key messages
  • Identify and communicate relevant trends, developments and key performance drivers relevant to the financial services industry
  • Promote honest and open communication throughout the credit union. Uphold the IIA code of ethics. Support a culture of fraud risk awareness
  • Demonstrate behaviors that are consistent with the credit union’s values, philosophies, and leadership characteristics
  • Collaborate with other credit union departments to ensure the workflow or process is providing the best service to the members. Champion change, continuous improvement
  • Excellent interpersonal skills with the ability to quickly establish strong working relationships with the senior management teams and Boards of Directors at each legal entity
  • Resourceful, strategic and possesses excellent analytical abilities
  • Energetic, entrepreneurial, possessing solid business judgment
  • High personal and professional ethics with a commitment to excellence. Maintains objectivity in appearance and fact
  • Experience managing and setting priorities for others
  • Possesses managerial courage to confront difficult issues with the appropriate response and communicate in a timely manner with all stakeholders
  • Thorough understanding of GAAP and Institute of Internal Auditors (IIA) Standards, the Committee of Sponsoring Organizations (COSO) Framework, Statements on Auditing Standards (SAS) and relevant regulatory requirements
  • Understands competencies required for effective internal audit delivery and is able to build a team that exemplifies these competencies
  • Ability to maintain confidentiality in all aspects of the job
  • Must be able to be bonded
  • Four-year degree in accounting, finance, or business
  • Fifteen (15) years corporate experience in accounting or internal audit, including at least Five (5) years supervisory experience
  • Experience in the financial services industry is strongly preferred, ideally in a multi-entity environment
  • Advanced degree in finance, accounting, or business, or a professional certification (CPA, CIA, CISA or similar certification) is required
65

Director Internal Audit Resume Examples & Samples

  • Facilitation of the enterprise risk assessment
  • Project planning, administration, and execution
  • Management of essential resources
  • Communication with key stakeholders
  • Determines critical business needs for Internal Audit services to inform the Internal Audit service plan, and to advise management on opportunities identified to grow shareholder value
  • Meets regularly key business partners to discuss significant risks and key strategic initiatives Provides oversight and program management for testing activities related to the Company's Sarbanes-Oxley (SOX) section 404 compliance requirements in coordination with the Chief Accounting Officer and finance team
  • Assist in developing and facilitating an enterprise risk assessment with the Board or Directors, Executive Committee and other key business and functional leaders to identify and provide insights on key risks as well as identify emerging trends and risks to the Company's strategy
  • Plan, scope, schedule, and execute assurance and advisory projects including budget preparation, assignment of staff, review of work product, communication with management, report writing, and follow-up procedures where necessary
  • Procures and manages external resources, evaluating business needs, and selecting external service providers
  • Fosters awareness of risks and controls through effective business partnering
  • 10-15 years' experience in a corporate audit, finance, accounting, and/or project management role
  • Demonstrated knowledge and understanding of GAAP requirements, Sarbanes-Oxley section 404 requirements, and execution of business process improvement initiatives
  • Ability to work independently, and make decisions appropriate for level of responsibility and creates organizational value
  • Demonstrated strong analytical and creative problem-solving skills
  • Demonstrated strong verbal and written communication and interpersonal skills; proven ability to effectively manage time, prioritize, delegate, and handle multiple tasks
  • Ability to build and foster relationships with internal partners
  • Demonstrated knowledge of Microsoft Office
66

Senior Director, Internal Audit Resume Examples & Samples

  • Develop and execute a comprehensive, risk-based financial, operational, and IT systems audit plan, with a goal of both maximizing the Company’s performance and controls, while minimizing risk through assurance and consultative projects
  • Support the Company’s Section 404 compliance efforts, including control definition, self-assessment and testing. Also, coordinate testing plans and results with the Company’s external auditors
  • Assess the current internal audit team and lead the succession planning, recruitment, and development of department employees. Build a function that is viewed as providing superb future leaders of the Company
  • Respond effectively to senior executives or Audit Committee’s requests for specific and/or special audit projects
  • Ensure that departments, functions and businesses are operating consistently in accordance with the Company’s policies, procedures and code of ethics
  • Develop strong relationships throughout the Company, educating individuals on how to think about identifying and mitigating risks in their environment
  • Participation in investigation of hotline complaints, internal investigations and other matters
  • A significant contributor and partner to the risk and compliance management program
67

Executive Director, Internal Audit Resume Examples & Samples

  • Lead the Global Internal Audit function of the Company and coordinate internal audit work with internal and external stakeholders. Report to the Chief Financial Officer and Head of the Audit Committee. Maintain independence and objectivity while bringing knowledge and expertise in the requirements of risk management, internal controls, and the principles of effective and efficient assurance
  • Implement and maintain procedures designed to provide reasonable assurance to management, the Audit Committee and external auditors that financial statements and reports comply with generally accepted accounting practices and SEC regulations, and that the system of internal control is compliant with Sarbanes Oxley legislation and Public Company Accounting Oversight Board standards
  • Develop and execute a flexible global annual internal audit plan using a risk based methodology and manage scheduling and resource allocation including outsourcing arrangements used by the company to supplement the in-house internal audit staff. Suggest areas of additional focus for internal audit
  • Communicate closely with the Audit Committee regarding compliance with laws, regulations, company policies and procedures and internal controls
  • Drive the use of the Internal Audit Department as a source for top financial and operational talent into the Company. Create an environment, via active collaboration with heads of other functional areas, where the audit staff is being recruited and developed to fill key positions throughout the Company
  • Report audit findings and make recommendations for financial corrective actions. Ensure that the function retains a comprehensive approach to audit that extends beyond the implementation of traditional controls to support the Company to proactively assess and manage risk. Ensure timely and adequate preparation of internal audit reports and track progress of corrective actions
  • Develop strong alignment with the external auditors, Coordinate Internal Audit activities with those of the external auditors to ensure proper audit coverage. Interface with the external auditor and the Board’s Audit Committee during Audit Committee meetings. Manage external audit fees on a global basis. Ensure all statutory audits are completed timely
  • Develop strong, professional and independent relationships with the senior leaders of the company’s member businesses. Regularly inform the Chief Financial Officer and Chief Executive Officer on the status and results of the annual risk and audit plan
  • Undertake other tasks or special projects as and when requested by management, such as due diligence reviews, compliance/fraud investigation, etc. Play an active role in the awareness and training of, and compliance with FCPA related matters
  • Promote high levels of ethical awareness and conduct discussions with the company via formal and informal dialogue with Company personnel. Notify management and the Audit Committee of the findings, as appropriate
  • Maintain a dialogue with other industry colleagues from professional audit organizations and commercial enterprises to keep abreast of industry issues and trends in audit proves and technique
  • Combined minimum of 15 years’ experience in audit and control functions. Undergraduate degree in Finance or Accounting or related discipline. CPA is a must
  • Must possess a thorough understanding of financial audit and business management principles, having successfully implemented those principles in a complex and global environment
  • Management skills: Must possess outstanding operational and people management skills, including: recruiting, retaining and developing talent to execute the responsibilities of the internal audit function and providing a pipeline of talent to the Company. Must be able to motivate and lead by example
  • Communication: Must possess excellent communication skills, both written and oral, and the ability to build relationships across the organization at all levels, particularly with senior management. Must be able to influence others and promote and/or negotiate in situations that involve recognizing and responding to underlying concerns where others may need to accept compromise solutions
  • Building Commitment: Demonstrated ability to develop a powerful sense of shared purpose in others and to motivate them to sign up for the challenges ahead. Experience working in a collaborative manner with key heads of finance, tax, compliance, legal, HR and business operations and other functions
  • Analysis and Judgment: Must possess an ability to analyze complex issues from a range of perspectives and form supportable judgments around actions to be taken; specifically, able to make crucial judgments about the cost/benefit balance of process/control improvement recommendations as well as wider cultural dilemmas to be managed between efficiency and innovation
  • Execute for Results: Must be able to drive results in the organization. Will be well versed in performance management and have the capability to be a strong business partner to the line leaders in the organization
  • Business Acumen: The ideal candidate will quickly grasp the key business drivers in the pharma/biotech industry and will be able to persuade others with fact-based judgments of the commercial arena. Must be able to pose questions that provoke thinking about the business and will quickly see hidden values in the business and how to leverage or unlock it
  • Thrives on Challenge: The successful candidate will have a track record of being attracted to first-time situations and stretch goals that put his/her abilities and those of the organization to the test
  • Integrity: The ideal candidate must have unquestionable professional and personal integrity including having the courage of his or her own convictions and adhering to strongly held principles or values – and hold others to the same standards. This person must be prepared to define their position on significant issues and drive change when necessary
68

Senior Director, Internal Audit Resume Examples & Samples

  • Conduct and oversee the operational audits globally across the company
  • Be responsible for planning, developing, recommending, and monitoring procedures and systems to be used within the internal audit function for the organization
  • Ensure an engaged approach to audits with particular attention to high-risk areas
  • Manage special projects to analyze and improve controls and streamline processes and procedures to align them with Red Hat’s mission and strategies
  • Create the annual audit plan based on annualized risk assessment, present it to the Audit Committee, and carry out the plan
  • Provide strategic direction throughout the organization, including designing and implementing the organization's internal auditing programs and controls in business systems and processes, financial and accounting systems, IT, investigations, contracts, and business risk assessments
  • Develop the internal audit organizational capability to ensure it properly scales with the rapid growth of the company
  • Evaluate the effectiveness and efficiency with which resources are deployed, financial reporting processes, and the integrity of financial records
  • Establish the appropriate management system to monitor and evaluate the effectiveness of the organization's risk management and governance processes
  • Oversee the preparation of audit findings and reports generated by the Audit team which may include presentation to the Audit Committee
  • Serve as the key point of contact with the external auditors
  • Lead integration for the various acquisitions from an audit perspective, including ensuring compliance with quarter and year-end closing processes (e.g., account reconciliations, footnote disclosure requirements, etc.), annual audit requirements, and policy compliance
  • Bachelor's degree, preferably in accounting, and 15+ years of experience in an accounting, finance, internal audit, or enterprise risk management position; master's degree is a plus
  • Certified Public Accountant (CPA) or Certified Internal Auditor (CIA) certification
  • Excellent analytical, technical, and auditing skills, including proficiency in U.S. GAAP standards
  • Excellent organizational and prioritization skills and ability to work as part of a team
  • Motivated with successful record in a fast-paced or rapidly changing environment
  • Excellent communication skills and ability to make presentations for executives and external regulators
  • Strategic management experience and skills in developing, coaching, and directing the performance of a team to achieve goals and objectives
  • Critical thinking skills and curiosity; ability to foster an environment of continual evaluation of how to best accomplish work and where to apply automation
  • Professional appearance and communication skills; demonstrated ability to work cross-functionally across a number of geographic locations and with senior management and board of directors
69

Director, Internal Audit Resume Examples & Samples

  • Manage the execution of the annual audit plan, department goals, including Sarbanes-Oxley
  • Manage the process for evaluating the company's internal control structure
  • Develop appropriate recommendations in conjunction with management for remediation of control deficiencies and process efficiencies
  • Draft audit reports for distribution
  • Manage the annual risk assessment process and audit plan creation. Assist in the ERM process
  • Manage, hire, coach, and train internal audit staff
  • Perform special projects as requested
  • 8+ years in corporate internal auditing and/or public accounting. 4+ years managerial experience required with demonstrated ability to lead, mentor, and develop staff
70

Associate Director, Internal Audit Resume Examples & Samples

  • Strong technical accounting background with 10 plus years of progressively responsible experience with Big 4 or regional public accounting firms, internal audit or government accounting with exposure to a manufacturing environment. Comparable UTC Finance and/or Accounting experience will also be considered
  • Extensive knowledge/experience in project management, strong analytical, problem solving, and organizational skills
  • Strong oral and written communication skills and proven presentation skills
  • Proactive and results/metrics driven
71

Senior Director Internal Audit Resume Examples & Samples

  • Leadership of the company’s Global Audit, Risk, and Governance function
  • Collaborate cross-functionally with the company’s leadership and Board of Directors to identify and address areas of risk relative to Epiq DTI, its industry, clients, and vendors
  • Assess: Effectiveness and efficiency of operations, reliability of financial reporting, and compliance with applicable laws and regulations
  • Performance of Risk Assessments across various processes, applications, and business lines
  • Assist in the facilitation of client audits
  • Support Policy Management, through writing and coordinating with leadership and operational stakeholders. Review and monitor adherence to company policies and procedures
  • Conduct and track training on a variety of compliance, technical and procedural requirements
  • Plan and execute the Audit Committee’s internal audit agenda
  • Identify root causes to problems, analyze options and impacts, propose solutions and support the implementation of remediation and monitoring
  • Cultivate a strong and transparent working relationship with the executive leadership and ensure open communication about key issues of risk management and compliance requirements
  • Provide inspirational leadership and promote the company’s Vision/Mission/Values to all within your area of influence
  • Ensure the delivery of a world-class team and high-performing work culture that facilitates the delivery of business objectives
  • Support implementation and maintenance of controls and processes in compliance with recognized control frameworks (i.e. NIST, COBIT, ITIL, etc.), to include related process design, documentation, and training
  • Contribute to other risk management activities and other special projects, as needed
  • Analysis of new and changing regulatory requirements and associated business impacts
  • Proven successful track record of leading Risk & Compliance teams of 15 professionals or more
  • Comprehensive understanding of technical infrastructure and architecture of computer systems and related security considerations
  • Accomplished data analysis, writing and communication skills
  • Experience with common compliance frameworks (i.e. COSO, ISO, NIST, ITIL, COBIT, etc.)
  • Minimum 7-10 years Big 4/Professional Services/Consulting experience
  • Certification or advanced skill in the information security, compliance, regulatory and related domains (CISSP, CRISC, CISA, CISM, etc.) is preferred
72

Director, Internal Audit Data Analytics Resume Examples & Samples

  • Demonstrate strong leadership by building the compliance analytics team/function, ensuring the appropriate blend of skills and experience to delivery analytics and innovation for Internal Audit and Compliance
  • Develop processes with Internal Audit and Compliance leaders to identify the highest priority needs for data-driven solutions, information required to improve Internal Audit and Compliance performance and provide risk and control insights
  • Identify, prepare, and provide analytics and data to the Internal Audit and Compliance teams and help to operationalize data (inform daily actions and decisions) throughout the department
  • Identify and solve for data integrity challenges by working with Information Technology and analytics teams to confirm and address these information gaps
  • Lead and manage the transformation of key analytics activities within Internal Audit, balancing learning and innovation with efficiency and automation. This includes solving audit and compliance issues through data, creativity and human-insights. This also includes cultivating and growing the Internal Audit analytics team, enhance the analytics capabilities of Internal Audit team members, and build effective relationships with various key stakeholders
  • Implement technology solutions for Internal Audit and Compliance that enable continuous monitoring of critical risks. This includes achievement of strong assurance for compliance risks as well as monitoring of processes where fraud, waste, and abuse are common concerns
  • Implement technology solutions that enhance the existing control environment. This may include solutions that assist the first and second line of defense by enabling monitoring of risks and that support effective, automated controls. This includes working with partners such as Compliance, Finance, Information Technology, Operations and Analytics to identify high-priority risk mitigation opportunities
  • Interact/liase with Internal Audit and Compliance leaders to stay engaged on current and upcoming Compliance-related initiatives, regulatory matters, regulatory inquiries, and corrective action plans. Assess the data-related needs against current capabilities and confirm prioritized analytics opportunites
  • Interact/liase with the Chief Data Analytics officer and Information Technology and analytics teams throughout the organization to ensure that the Compliance analytics tools and technologies remain aligned with the broader analytics organization. Ensure that Internal Audit fully leverages existing analytics capabilities
  • Interact effectively with various teams throughout the organization to identify and align compliance analytics data with their 1 st and 2nd line of defense control activities. Co-develop and maintain a record of 1 st and 2 nd line of defense metrics that enable Internal Audit and Compliance to achieve clarity with management regarding metrics supporting the effective operation of key controls throughout the organization
  • Develop and maintain a Compliance data dictionary and related data analytics process and procedure documentation that enable personnel throughout the organization to review, understand, and make use of Compliance data. Enable self-service adoption and use of Compliance data for basic and intermediate tasks, enabling Internal Audit, Compliance, and other resources to effectively leverage the Compliance data
  • Participate in enterprise-wide Legal/Compliance Risk Assessments to identify proactively assessing various business units and functions for compliance with laws and regulations. Identifies and communicates gaps, drives proactive remediation, and tracks/reports on progress through closure. Critical role to ensure any gaps are identified internally and remediated effectively and in a timely manner in order reduce regulatory fines, penalties, settlement agreements, and/or reputational damage
73

Director Internal Audit Resume Examples & Samples

  • Proactively develops, implements and maintains the Internal Audit program, including the audit plan, which identifies and addresses key business and risks across the entire organization. Conducts enterprise and project level risk assessments for their areas of responsibility
  • Execution and reporting of annual and quarterly enterprise risk assessments
  • Develops significant senior line management relationships within the business (business partner status)
  • Proactively manages the relationships with regulatory agencies, external consultants and other internal risk management groups as assigned by the VP of Internal Audit
  • Provides ongoing input and periodic updates to the VP of Internal Audit and/or Chief Audit Officer
  • Directs complex audit activities for a component of a product line, function or legal entity
  • Serves as the Subject Matter Expert in their respective areas of responsibilities
  • Applies comprehensive expertise in one or more of the company businesses
  • Applies an in-depth understanding of the interrelationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach
  • Proactively develops and executes a robust Audit Plan for assigned businesses in accordance with Internal Audit standards, applying critical thinking and exercising judgment in performing audit services
  • Oversees planning, progress and completion of multiple audits simultaneously
  • Analyzes effectiveness and efficiency of control environment; identifies control gaps and makes recommendations on any necessary process improvement, corrective actions, or remediation
  • Evaluates audit results/findings and leads discussions providing knowledgeable and objective counsel to effectively influence organizational leaders
  • Owns and reviews the documentation of the results of audit work in accordance with regulatory standards
  • Prepares and presents reports that identify key business risks and assesses the adequacy of current processes and controls
  • Delivers on time high quality audit reports, Internal Audit, regulatory issue validation and governance committee reporting
  • Accurate tracking/reporting; timely and adequate follow-up and validation of open/closed audit observations, MRAs and Consent Orders
  • Management of ongoing audit recommendation tracking and validation activities (e.g., sampling methodology, documentation requirements, quality etc.)
  • Assists with managing a team of audit professionals and develops team members by providing feedback on strength and growth areas, providing an environment that supports learning and development, and regularly discussing progress towards goals with direct reports
  • Participates in the various committees across the organization
  • Stays abreast of changes to regulatory requirements and SCUSA compliance policies and procedures
  • Represents team interests at internal meetings, committees and working groups and external functions as needed, including coordinating and/or contributing to SCUSA reporting to external parties
  • Coordinate the development of a continuous auditing program on the different areas of the organization to provide insight of business and risk trends and comparisons with the industry
  • Execution and reporting of ongoing continuous monitoring and continuous auditing activities
  • Develops and Reviews the Business Monitoring Quarterly reports
  • Extended working hours may be required as dictated by management and business needs
  • Travel to multiple facilities may be required (10% or less)
  • May be required to lift, push, or pull materials weighing up to twenty (20) pounds
  • May be required to sit and review information on a computer screen for long periods of time
  • May require repetitive motions of the hands and wrist related to writing and typing at an electronic keyboard
  • Corporate role
74

Senior Director, Internal Audit Resume Examples & Samples

  • Manage projects within time budget constraints while maintaining quality standards satisfactory to the Audit Committee and to Newegg’s independent auditors
  • Implement an annual audit plan: collect, analyze and document the results of internal audits and investigations, communicate observations and recommendations to senior management for remediation and for improving business, financial and information technology processes
  • Work with top management to develop tools and techniques to strengthen risk management and internal controls
  • Prepare formal written reports backed by adequate evidence to support independent auditor’s opinion on the adequacy and effectiveness of systems of internal control
  • Participate in company wide risk assessments, evaluate coverage levels, and control weaknesses
  • Perform special analyses and reviews upon request, including system implementations and/or corporate compliance investigations
  • Approve audit programs and testing procedures to ensure appropriateness for the areas in scope and that audit/other projects are executed in accordance with Company and professional standards
  • Oversee the quality of work performed by the audit staff to ensure compliance with company auditing standards and that conclusions are adequately supported
  • Communicate effectively with management to discuss audit observations and recommendations and complete audit reports
  • Keep management informed of emerging trends and successful practices in auditing and controls testing,
  • Execute detailed audit procedures, including reviewing transactions, documents, records, reports and policies and procedures for accuracy and effectiveness
  • Advocate and maintain the highest standard of ethics, discipline and professionalism
  • Instruct, supervise, direct, mentor and counsel audit staff
  • Monitor and promptly respond to Whistleblower Hotline reports, and be primarily responsible for maintaining a robust and effective Whistleblower Policy
  • Other duties and/or projects as assigned by the Board, the Audit Committee and top management
  • Frequent travel, domestically and internationally
  • Regular use of company email and telephone for company communication
  • No heavy lifting is required
  • Extended periods of sitting and/or standing, computer work, and interactions with other employees
75

Director Internal Audit Resume Examples & Samples

  • Evaluates organizational business risks; performs annual and mid-year risk assessments and develops and communicates the annual Internal Audit Plan to Sr. Management and the Audit Committee
  • Prepares Internal Audit updates and presents to the Audit Committee on a quarterly basis
  • Coordinates/monitors/reviews the execution of audit procedures including those in support of management's assessment of internal controls over financial reporting in accordance with the COSO Framework and Sarbanes-Oxley Act
  • Oversees the performance of value-added financial, operational, and compliance audits
  • Communicates findings to senior management and the Audit Committee, issues comprehensive reports of audit results; makes recommendations on improvements and corrective actions
  • Reviews and logs internal and external hotline complaints and coordinates with Human Resources to perform investigations
  • Coordinates internal control reliance activities with the External Auditors
  • Maintains relationship and works closely with External Auditors, business owners and Senior Management to ensure communication of critical issues in a timely manner
  • Performs internal self-assessment against Internal Audit Standards on an annual basis and obtains External Quality Assessment every 5 years as required by IIA Standards
  • Stays current of technological innovations and trends in the internal auditing, accounting and distribution industries
  • Performs all duties inherent of an MSC Director as defined by the code of conduct, including hiring, termination, review and development of associates
  • Fosters the MSC Culture in the department and throughout the company to ensure fulfillment of MSC’s vision and unity of purpose
  • Participation in special projects and performs additional duties as required
  • Bachelor’s Degree in Finance, Accounting, Audit or related field. Master’s degree preferred
  • Minimum of ten years Internal Audit or public accounting experience required
  • Minimum of five years managing associates is required
  • Experience in distribution or retail is preferred
  • Certified Internal Auditor (CIA) or CPA is preferred
  • Excellent verbal and written communications skills required
  • Excellent interpersonal skills required
  • Excellent PC skills required (Microsoft products)
  • Excellent organizational skills, ability to prioritize multiple priorities and strong attention to detail required
  • Knowledge of IIA principles and standards required
76

District Director Internal Audit Resume Examples & Samples

  • Identify and evaluate risk areas for the development of the annual audit plan via an annual risk assessment. Develop and execute an annual report which includes a summary of audit activity
  • Direct and oversee performance, operational, financial, and compliance audit projects. Perform analysis of business processes that include identifying and defining issues and recommendations, developing criteria, reviewing and analyzing relevant information, evaluating evidence, documenting business processes and procedures, and completing audit documentation
  • Communicate the results of audits via written reports and oral presentations to management, the District President, and the Board Finance and Audit Committee
  • Provide technical assistance to College employees on matters related to internal audits and controls
  • Serve as a resource to external auditors and assist with federal, state, and other audits, and reviews by outside agencies
  • Conduct periodic workshops to promote awareness of risk management and internal controls throughout the college
  • Ensure compliance with the Code of Ethics, the International Standards for the Professional Practice of Internal Auditing, and as applicable, the Practice Advisories as promulgated by the Institution of Internal Auditors
  • Ensure an external assessment of the Internal Audit’s quality assurance programs at least once every five years in accordance with the Standards
  • Manage the Internal Audit department’s budget and any assigned personnel
  • Perform all duties in accordance with college policies, procedures, and Core Values
  • Keep abreast of higher education practices, rules, and regulations related to the internal auditing profession
  • Maintain personal proficiency by obtaining an adequate amount of continuing education
  • Knowledge of accounting and auditing standards and principles applicable to higher education
  • Knowledge of budgeting, purchasing, and operations of large organizations
  • Knowledge of ERP systems (e.g. Banner, PeopleSoft, SAP, etc.) as a part of the audit process. Preference given to candidates with Ellucian/Banner experience
  • Knowledge of fraud investigation and detection criteria and strategies
  • Demonstrated proficiency in using appropriate office software applications, including spreadsheets and databases
  • Skills to handle multiple projects and meet deadlines
  • Proficiency with one or more audit software tools, such as IDEA and Teammate
  • Ability to exercise critical human relations skills in establishing and maintaining effective working relations with District employees, Board of Trustees, and the public
  • Demonstrated ability to apply sound reasoning and exercise a high degree of initiative and decision-making with brief general direction
  • Ability to maintain confidentiality of information and materials
  • Ability to see information in print and/or electronically
  • Ability to plan and meet budgets
  • Must possess and maintain a valid Texas drivers’ license and must be insurable through Collin College’s insurers, as travel to other locations is required
77

Associate Director, Internal Audit Resume Examples & Samples

  • Developing and maintaining a thorough understanding of BFS processes and operations
  • Sourcing, managing, developing, training and coaching members of the Internal Audit team (including co-sourced resources, as appropriate) in the skills required to perform assignments and ensure they are delivering to a high standard of quality in accordance with Macquarie's methodology and professional standards
  • Demonstrably and consistently contribute to an Internal Audit workplace culture whereby all staff feel
  • O challenged