Group Audit Resume Samples

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TG
T Grimes
Toby
Grimes
215 Mitchell Center
Los Angeles
CA
+1 (555) 246 9824
215 Mitchell Center
Los Angeles
CA
Phone
p +1 (555) 246 9824
Experience Experience
05/2015 present
Los Angeles, CA
VP, Credit Risk Reviewer, Group Audit
Los Angeles, CA
VP, Credit Risk Reviewer, Group Audit
05/2015 present
Los Angeles, CA
VP, Credit Risk Reviewer, Group Audit
05/2015 present
  • Lead and manage review Project Teams / Participate in the Business & Credit reviews of across all Wholesale/ Institutional Banking Group (IBG) in DBS and all credit quality audit & review aspects of Private Bank
  • Support the RAS & DRAS in this function for providing the Audit Committee, the Board of Directors and Senior Management an objective and independent assessment and monitoring of portfolio wide credit risk management processes, especially in the area of judgmental credit risk review processes in each of the Group’s branches and / or subsidiaries
  • Conduct judgemental aspects of Basel II Risk Rating validation, and Basel Readiness across the Wholesale/ IBG. You will also be responsible in auditing credit quality and standardized ratings aspects of the Private Bank
  • You will look at cross border aspects of the wholesale/ Institutional Banking Group including marketing, regulatory and accounting
  • The audit reviews will also cover process overlaps in CRR (credit risk reviews) including, but not limited to Trade Finance, Structured Trade and Treasury & Markets
  • Look at cross border aspects of the IBG business including marketing, regulatory & accounting
  • Conduct judgemental aspects of Basel II Risk Rating validation, and Basel Readiness for the Wholesale IBG (comprising all the IBG units globally including the Enterprise Bank) and the credit quality and standardized ratings aspects of the Private Bank
10/2011 01/2015
New York, NY
Group Audit Manager / Assistant Manager
New York, NY
Group Audit Manager / Assistant Manager
10/2011 01/2015
New York, NY
Group Audit Manager / Assistant Manager
10/2011 01/2015
  • Monitors the progress of the audit plan of all countries and works side by side auditors in country to make sure plans are completed in a collaborate manner that inspires
  • Assists in the design, development, and maintenance of comprehensive risk-based audit plans across all countries
  • Understands and implements the three-lines of defense risk management framework
  • Proactively monitors the completion of corrective audit actions and, as necessary, advises management of past due actions
  • Is innovative, open to change and seeks ways to continually improve
  • Assists with setting up the internal audit function in new countries
  • Establishes positive relationships with the business so that Internal Audit is the first to be called about control issues
04/2005 08/2011
Philadelphia, PA
Group Audit
Philadelphia, PA
Group Audit
04/2005 08/2011
Philadelphia, PA
Group Audit
04/2005 08/2011
  • Manage a team of direct reports in the APAC region: communicate GA strategy to the team, provide effective performance feedback to embed a strong performance culture, and motivate the team to drive positive change throughout the department. Act as a leadership role model for the APAC team and the wider GA department, creating an environment where people management and development is a key priority
  • Partners with other audit teams such as Credit, Finance and Group Technology & Operations during audit engagements to ensure comprehensive coverage and an integrated approach to front to back audits of GTB and associated support functions
  • Effectively manage and motivate the team, and performing timely review and providing honest and constructive feedback. Understand and manage change through leading by example
  • Evaluate the adequacy and effectiveness of internal controls relating to Human Resources and respective risks (e.g. on- / offboarding, talent management, payroll, compensation process, benefit schemes, hiring practices) in accordance with group audit methodology and the established risk assessment framework
  • Executes audit fieldwork in line with the agreed audit approach e.g. documenting Activity Flows, identification of key risks, testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with divisional standards
  • Drafts high quality audit reports for review by audit management, facilitates issue tracking, validates the closure of issues and approves closure of Important issues
  • Design, implement and execute an effective program of continuous business monitoring for the Global Markets areas, including keeping abreast of pertinent industry, regulatory and business practices
Education Education
Bachelor’s Degree in Computer Science
Bachelor’s Degree in Computer Science
Harvard University
Bachelor’s Degree in Computer Science
Skills Skills
  • Be capable of carrying out planning, preparation, coordination and execution of audits, including those in international vendor locations, and be able to facilitate issue tracking and validate closure of issues
  • Demonstrate competency to evaluate the adequacy and effectiveness of controls in the relevant business areas in accordance with Group Audit methodology and the established risk assessment framework
  • Experience of auditing IT applications supporting corporate finance and trade finance processes, global and domestic payment processes, trust and agency business and core banking systems
  • Take responsibility for their own skill development, sharing expertise to help develop the capability of their colleagues, and contributing to the ongoing development of the global Sourcing team and GA in general
  • Flexible, pro-active and self sufficient with strong organisational skills to take ownership of agreed targets to enable efficient completion of audit projects. Natural role model and reference point for their peer group
  • Solid understanding of especially Wealth Management business and products ideally gained through experience in a major investment bank or a big 4 accounting firm coupled with banking experience
  • The candidate will have knowledge of the regulatory environment in Singapore and Hong Kong. Knowledge of other APAC regulators e.g. India, Japan will be an asset
  • Significant, demonstrable experience of IT auditing (e.g. audits of automated business controls and of the implementation of new banking systems). Experience of audits of IT general controls is a pre-requisite and CISA certification an advantage
  • The candidate should be flexible, pro-active, self sufficient and innovative with strong organisational skills to take ownership and responsibility of agreed targets and meet them within budget to enable a timely and efficient completion of audit projects. They will be a natural role model and reference point for their peer group
  • Previous exposure to Chief Operating Office (COO) Technology and CIB stakeholders and a robust knowledge of IT processes and as well as general understanding of CIB business
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12 Group Audit resume templates

1

Group Audit Manager / Assistant Manager Resume Examples & Samples

  • Establishes positive relationships with the business so that Internal Audit is the first to be called about control issues
  • Assists with setting up the internal audit function in new countries
  • Maintains and enhances the audit methodology, guidance and training initiatives
  • Prepares informative reports for Group Exco and Group audit committees
  • Assists in the design, development, and maintenance of comprehensive risk-based audit plans across all countries
  • Monitors the progress of the audit plan of all countries and works side by side auditors in country to make sure plans are completed in a collaborate manner that inspires
  • Proactively monitors the completion of corrective audit actions and, as necessary, advises management of past due actions
  • Coordinates and supports local country internal audit staff on field audits, as and when necessary
  • Understands and implements the three-lines of defense risk management framework
  • Job Requirements
  • Bachelor degree in accounting or finance, additional degree related to IT a plus
  • Work experience of 4-7 years, some Big 4 accounting experience preferred
  • Proficiency in both spoken and written English, another Asian language a plus
  • Is innovative, open to change and seeks ways to continually improve
2

Group Audit Resume Examples & Samples

  • Evaluate the adequacy and effectiveness of internal controls relating to Human Resources and respective risks (e.g. on- / offboarding, talent management, payroll, compensation process, benefit schemes, hiring practices) in accordance with group audit methodology and the established risk assessment framework
  • Contribute to risk assessment / business monitoring and the overall implementation of group audit methodology
  • Undertake audit assignments, draft audit issues for review by audit management, facilitate issue tracking and validate closure of issues
  • Occasional travel in APAC may be required
3

Group Audit Resume Examples & Samples

  • Evaluate the adequacy and effectiveness of internal controls relating to AFC risks in accordance with Group Audit methodology and the established risk assessment framework
  • Conduct an AFC risk assessment for the APAC region and contribute to risk assessment / business monitoring conducted at the country level by country heads and divisional auditors
  • When required assist in training other GA staff on AFC and oversee execution of the AFC audit program
  • Travel will be required to conduct reviews in the non-hub locations
4

Group Audit Resume Examples & Samples

  • Demonstrate competency to evaluate the adequacy and effectiveness of controls in the relevant business areas in accordance with Group Audit methodology and the established risk assessment framework
  • Proven track record of leading complex audits, including those incorporating vendors in scope, and delivering to a high standard on time and on budget
  • Take responsibility for their own skill development, sharing expertise to help develop the capability of their colleagues, and contributing to the ongoing development of the global Sourcing team and GA in general
5

Group Audit Resume Examples & Samples

  • Support the Principal Audit Manager (PAM) by providing proactive management and delivery of a complex and dynamic risk based audit plan. This will require conducting Continuous Audit Assessments (CAAs) and risk assessments, audit planning, identifying and assessing key risks and designing testing to assess the design and operating effectiveness of the key controls in place to mitigate risk, participating in exit meetings, drafting high quality audit reports for review the PAM, facilitating issue tracking and validating the closure of issues in GFMS
  • Close liaison and coordination with other GA teams, in Singapore and elsewhere, to facilitate effective coverage of Global Markets audits across the GA audit universe and to ensure the timely completion of audit fieldwork and delivery of the audit plan
  • The PA may also be required to lead, or participate in, ad hoc projects and Special Investigations. The PA works in an integrated manner with subject matter experts and other teams from across the function to provide ‘front-to-back’ audit coverage
  • Proactively develop and maintain professional consultative working relationships with internal stakeholders and respective support areas, and should use a range of approaches to promote and win active support and commitment to a course of action
  • Develops and maintains broad financial services experience and Bank product knowledge. Keeps abreast of business/industry changes and their affect on the DB plan/approach
  • Apprise PAM of business information, regulatory requirements and possible effect on audit planning
  • Be willing to take accountability, and has an unquestionable personal integrity and ethics
  • Have excellent written/verbal communication skills and be able to communicate effectively at all levels. Composed and articulate when delivering difficult messages
  • Build contacts and relationships with clients and colleagues through effective teamwork and innovative thinking. Partner with clients to evaluate, test and report on the adequacy and effectiveness of management controls
  • Design, implement and execute an effective program of continuous business monitoring for the Global Markets areas, including keeping abreast of pertinent industry, regulatory and business practices
  • Be a multi-task manager who is resilient under pressure: Plan, lead and execute program of audit coverage with limited supervision
  • Effectively manage and motivate the team, and performing timely review and providing honest and constructive feedback. Understand and manage change through leading by example
  • Have a clear passion to perform
  • Bachelors degree (or equivalent) from an accredited college or university (or equivalent) or equivalent work experience
  • Professional/industry recognised qualifications, e.g. CA, ACA or equivalent
  • 7+ years audit experience in a major investment bank with Markets Debt / Equity business experience. Prior experience in Big 4 accounting firm is an important asset
6

Group Audit Resume Examples & Samples

  • Plan and deliver comprehensive audit coverage of the Regulation, Compliance & CEO divisions
  • Liaise closely with other PAMs in ‘Front-to-Back’ audit teams to deliver holistic risk-focused coverage of the APAC region
  • Appropriately assess and escalate audits that result in Critical Findings and ‘Unsatisfactory’ grades
  • Appropriately validate the closure of Critical Findings
  • Oversee the Continuous Audit Assessment process for Regulation, Compliance & CEO in the APAC region
  • Escalate key emerging risks to senior management through the appropriate forums – such as ad hoc communications, monthly/quarterly control reports, and management meetings
  • Partner with relevant Regional Heads to provide effective audit coverage and reporting regarding the Compliance matters affecting their regions
  • Keep abreast of regulatory and audit related developments in the industry, and deliver effective training and communications to enhance Compliance regulatory knowledge throughout the wider GA team
  • Build strategic relationships internally and externally to enhance GA’s performance and maximize stakeholder support for the department
  • Liaise directly with external regulators to provide assurance of DB’s audit coverage relating to the Regulation, Compliance & CEO divisions
  • Manage a team of direct reports in the APAC region: communicate GA strategy to the team, provide effective performance feedback to embed a strong performance culture, and motivate the team to drive positive change throughout the department. Act as a leadership role model for the APAC team and the wider GA department, creating an environment where people management and development is a key priority
  • A minimum of 8 years’ experience of working in an audit function within the financial services industry, with strong experience of leading an audit team within a fast-paced business environment
  • In-depth knowledge of Compliance regulatory requirements, and a thorough understanding of the Compliance risk and control environment within the financial services industry
  • Strong experience of dealing directly with external regulators on matters relating to Compliance
  • A proven role model with excellent leadership capabilities and personal integrity, able to build and sustain a strong team, and demonstrating the highest professional and ethical standards in all aspects of their work
  • An excellent collaborator and communicator, able to establish strong relationships with internal and external stakeholders
  • An excellent planner and project manager, able to design & deliver an effective risk-based audit plan for the Regulation, Compliance & CEO portfolio
  • A strong analytical thinker, with strong capacity for independent judgment and critical thinking – able to design and implement improvements to GA’s strategy and processes
  • Confident and engaged, with strong influencing skills, able to challenge senior stakeholders - and be challenged themselves - to ensure that GA maintains the highest levels of professional practice
  • Strongly self-motivated, with the personal drive and pro-active attitude needed to deliver positive change in the department
7

VP, Credit Risk Reviewer, Group Audit Resume Examples & Samples

  • Lead and manage review Project Teams / Participate in the Business & Credit reviews of across all Wholesale/ Institutional Banking Group (IBG) in DBS and all credit quality audit & review aspects of Private Bank
  • Conduct judgemental aspects of Basel II Risk Rating validation, and Basel Readiness across the Wholesale/ IBG. You will also be responsible in auditing credit quality and standardized ratings aspects of the Private Bank
  • You will look at cross border aspects of the wholesale/ Institutional Banking Group including marketing, regulatory and accounting
  • The audit reviews will also cover process overlaps in CRR (credit risk reviews) including, but not limited to Trade Finance, Structured Trade and Treasury & Markets
  • Help foster a high quality credit risk management culture Bank-wide
  • Help to maintain a high standard for credit risk process management and controls within the Bank
  • To do well, you will need to have a strong understanding in the allocated countries and industries to faciliate continous monitoring of businesses and portfolios
  • You will also need to work closely with the rest of the relevant audit teams, eg Global Transaction Services Audit team to ensure thorough end to end audit
  • Support the RAS & DRAS in this function for providing the Audit Committee, the Board of Directors and Senior Management an objective and independent assessment and monitoring of portfolio wide credit risk management processes, especially in the area of judgmental credit risk review processes in each of the Group’s branches and / or subsidiaries
8

Group Audit Resume Examples & Samples

  • Define and execute audit coverage strategy for CF in APAC
  • Group Audit relationship manager for relevant CF management, and to liaise with regional regulators and external auditors when requested by Country Heads; maintain strong, responsive working relationships
  • Be the Primary Owner and driver of Asia Pacific audit coverage of Corporate Finance and maintain relationships with other PAMs globally to support integrated, efficient and comprehensive coverage of key risks across the global audit plan. Be the Primary owner of APAC audits covering Corporate Finance and other audits as required by the Chief Auditor
  • Identify and escalates audit findings, fostering a constructive tone in audit reports. Reviews all audit findings, drafts audit reports and communicates results to senior client management
  • Monitor risk profiles, regulatory requirements and industry developments; updating the audit plan and resource allocation as required. Managing the audit plan and available resources to deliver audits to time and budget
  • Participate in local management committees and prepare periodic reports for the Regional Head and CA and those management committees, informing them of key areas of control risk as they arise
  • Ensure the CIB audit teams are resourced with appropriately skilled personnel; counsel staff and support staff appraisal process; establish smart and measurable objectives for the team and implement measures to achieve objectives
  • Be the Senior Group Audit representative in the respective Corporate Finance Committees and other committees as required
  • Supervise audit personnel and provide guidance on quality standards and ensure adequate assignment scheduling
  • ACA,CPA, IIA, CISA or equivalent qualification and/or a Bachelors Degree
  • Be a ‘risk manager’, take personal accountability and be commercially pragmatic
  • Have a clear understanding of differences between independent oversight, supervision and execution responsibilities
  • Have excellent written/verbal communication skills and be able to communicate effectively at all levels. Composed and articulate when delivering difficult messages. Excellent command of English is required, further language skills are generally useful
  • Work in a coordinated manner with fellow APAC Group Audit Senior Management, building contacts and relationships with clients and colleagues through effective teamwork and innovative thinking
  • Be a multi-task manager who is resilient under pressure. Plan, lead and execute the program of audit coverage with limited supervision
  • Effectively manage teams, performing timely review and providing honest and constructive feedback
  • Understand and manage change through leading by example
  • Have an innovative mindset and develops ideas, which are implemented and have a positive impact. Design and disseminate best practice and lessons learned to colleagues and clients
  • Be involved with significant development efforts or projects
  • Be a natural role model and reference point for peer groups
  • The position will require some travel
9

Group Audit Resume Examples & Samples

  • Execute day-to-day operational audit work and contribute to the delivery of audits (including Risk Assessment Profiles and Continuous Audit Assessment process)
  • Lead a team on individual assignments and assist in the scheduling and staffing of audit engagements
  • Plan audits e.g. documenting activity flows of the processes to be reviewed, identifying risks and the key actual controls in place to mitigate the identified risks and leading meetings with internal stakeholders as and when required
  • Complete all assigned work in line with agreed budgets, including ad hoc projects and special investigations
  • Partner with other divisional and regional teams during audit engagement to guarantee an integrated approach
  • Present complex and sensitive messages (such as audit Findings) comprehensively and professionally
  • Lead / participate in stakeholder meetings and internal audit tollgates, draft high quality audit reports for review by audit management, facilitate Finding tracking & closure validation and approve closure of Important Findings
10

Group Audit Resume Examples & Samples

  • The candidate will be required to complete all work assigned to them promptly. This may also include ad-hoc projects and special investigations
  • The candidate will be required to proactively develop and maintain professional working relationships with colleagues, the business and respective support areas. They will work in an integrated manner with fellow team members both locally and globally
  • Whilst the majority of the audit work is based in Hong Kong, the team is also responsible for coverage in certain overseas locations. Some travel may therefore be required
11

Group Audit Resume Examples & Samples

  • Risk identification and assessment: Providing subject matter expertise to identify and assess credit risks throughout DB APAC, providing key input into quarterly analysis to GA management and the product-aligned teams to inform them on evolution of key credit risk developments and conducting periodic reviews on the assessment of these risks in the Risk Assessment Profiles. This requires ongoing business monitoring with key CRM stakeholders as well as keeping abreast of pertinent industry, regulatory and business practices including through industry networks
  • Audit coverage design: Constantly reinforce the design of the coverage approach for Credit Risk regionally and globally including clarity of minimum testing to be conducted in Risk-led and business-led reviews. Able to coordinate with Business-aligned teams as well as regional PAMs and their Principal Auditors is required to drive a comprehensive coverage of key risks in the audit plan for areas under responsibility. He/ She is also responsible for recommending plan adjustments based on identification of emerging risks through ongoing risk monitoring
  • Audit plan execution: Contributing to the delivery of Risk led reviews in area of expertise and for the oversight of adequate coverage of key risks under responsibility as advised by PAM in business-aligned reviews including adequate support of SME team members as per coverage model and audit plan. Strong ability to execute audit testing independently, while working on a number of assignments at the same time
  • Global SME team interaction: Contribute to a high-performing global Risk SME team through delivery on own objectives aligned with team delivery objectives and strong communication with, and contribution to Global Credit Risk SME team
  • Stakeholder relationship management: Acting as GA’s relationship manager and primary point of contact for regional CRM stakeholders, maintaining excellent and value-add working relationships with management, regulators and external auditors
12

SVP / VP Credit Risk Reviewer, Group Audit Resume Examples & Samples

  • Lead and manage review Project Teams / Participate in the Business & Credit reviews of DBS IBG 1 to 5 and all credit quality audit & review aspects of Private Bank, Islamic Bank
  • Conduct periodic risk ratings assessment and on-going business monitoring
  • Link in the CRR reviews with specific aspects of trade finance, particularly structured trade & treasury and markets
  • Develop a good understanding of allocated countries & industries to facilitate continuous monitoring of businesses & portfolios
  • Work closely with the process & GTS audit teams to ensure thorough end to end audits
  • Participate in scheduled Business & Credit Risk Reviews
13

Group Audit Resume Examples & Samples

  • Solid understanding of especially Wealth Management business and products ideally gained through experience in a major investment bank or a big 4 accounting firm coupled with banking experience
  • The candidate should have excellent written/verbal communication skills and be able to communicate effectively at all levels within Group Audit and with the client. Must have excellent excel and power-point skills
  • The candidate will have knowledge of the regulatory environment in Singapore and Hong Kong. Knowledge of other APAC regulators e.g. India, Japan will be an asset
  • Audit professional that is a self starter and able to operate at senior levels of the company
  • The candidate will be able to demonstrate that they have an innovative mindset and can develop ideas, which are implemented and have a positive impact
  • He/she will be able to multi-task assignments and prioritize their workload with limited supervision and be resilient under pressure and be able to deliver to deadlines
  • Experience working in a front office, operations, compliance or risk role in relation to Wealth Management would be advantage
  • Knowledge of Credit, Market, IT, Finance and Legal / Compliance processes and risks in relation to Wealth Management is also expected
14

Group Audit Resume Examples & Samples

  • Very good understanding of the technology regulatory requirements in Singapore and other APAC locations
  • Discovering and assessing risks and then communicating them to the responsible Management team
  • Planning, preparing, coordinating and executing audits to evaluate the adequacy and effectiveness of controls within the CISO and IT departments
  • Support the PAM in finding validations be it regulatory or internal audit findings
  • Contributing to business monitoring / continuous audit assessment and the overall implementation of Group Audit methodology
  • Undertaking audit assignments, drafting and consolidating audit reports for review by Audit Management and facilitating finding, tracking and validating the closure of findings
  • Completing all work assignments on a timely basis, including ad hoc projects and special enquiries
  • Developing relationships across the Bank and communicating the results of the work to clients at all levels
  • Pro-actively developing and maintaining professional working relationships with colleagues, the Business and respective support areas
  • Demonstrable experience in either CISO(more specifically Cyber and related areas ), IT infrastructure, IT production, IT operations
  • Experience in IT Audit, IT Risk Management, IT Compliance Management, Information Security and SOX Compliance
  • A good understanding of IT security control processes (e.g. security monitoring, vulnerability scanning or penetration testing), information security such as data leakage prevention controls and ISMS processes, and regulatory requirements in the Banking sector
  • A fundamental understanding of audit disciplines and audit concepts. Experience in auditing controls in outsourced environments, project management as well as CIS Top 20 Critical Security Controls
  • Experience of analysing and articulating cyber security risks from current threat vectors, combined with technical and process skills in an enterprise environment
  • Excellent written / verbal communication skills and the ability to communicate effectively in conflicts and at all management levels
  • Adaptable, pro-active, self-sufficient and innovative with strong organisational skills to take ownership and responsibility of agreed targets, meeting them within budget to enable a timely and efficient completion of audit projects
  • The ability to multi-task assignments, prioritise workload with limited supervision and be resilient under pressure whilst delivering to deadlines
  • Educated to Bachelors degree level with a concentration in Computer Science (or equivalent qualification / work experience required)
  • Certification in IT Audit or IT Systems Security
  • Experienced in an International Banking environment
15

Group Audit Resume Examples & Samples

  • Assists in the coordination of Group Audits response to regulatory requests
  • Completes all assigned work in line with agreed budgets, including ad hoc projects and special investigations
  • Partners with other audit teams such as Risk, Finance and Group Technology and Operations during audit engagements to ensure comprehensive coverage and an integrated approach to front to back audits of Corporate Banking and Securities and its associated support functions
  • Keeps abreast of pertinent industry, regulatory and business practices
16

Group Audit Resume Examples & Samples

  • Have a strong appreciation of IT risks, regulatory requirements and IT controls in the third party vendor outsourcing and service delivery environment. The individual will keep themselves well informed of relevant risk and technical developments both within the Bank and the industry, and proactively share knowledge and insight, so helping to drive forward their colleagues risk expertise. SME experience of working directly with vendors (e.g. audit reviews of vendor locations), vendor governance, and relevant specialist IT skills (such as data leakage scenarios, asset segregation, client connectivity etc) or in a vendor delivery environment supporting clients is an advantage
  • A creative, tenacious and delivery oriented “self starter”, the candidate will also need to demonstrate
  • Notable (at least 5 years) experience in the disciplines outlined above is a pre-requisite
  • Expertise gained in the Banking environment is beneficial, but not critical
  • The role will require a high level of travel both regionally and globally
17

Group Audit Resume Examples & Samples

  • Executes day-to-day operational audit work on the basis of DB Group Audit Methodologies (conducts business monitoring and risk assessments, designs tests to assess control effectiveness for key risks, drafts audit findings and reports)
  • Key Legal / Data Protections and Global Governance areas of focus include Legal Risk Management, Litigation and Regulatory Enforcement Management, Legal Advisory, Negotiation of Agreements, and Development of Templates. In addition the definitions of the Bank’s data protection framework to ensure compliance with global, regional and local data privacy regulations / laws and the development and implementation of a Governance Framework for DB Group globally supporting efficient decision-making and aligning risk and accountability on the basis of clear and consistent roles and responsibilities are risk areas of audit coverage. Finally the management of all outsourced processes and respective vendors is considered a key risk
  • Discuss exceptions found during fieldwork with Principal Audit Manager and participate in exit meetings, draft findings and audit reports for review by audit management and facilitate finding tracking and validate closure of findings
  • Leading a team on individual assignments and implement dynamic planning through continuous monitoring of the business and successfully implement risk based audits locally, regionally and globally
  • The position offers you the opportunity to develop relationships across the Deutsche Bank franchise and to communicate verbally and in writing the results of your work to management of audited areas
  • You will be required to pro-actively develop and maintain professional working relationships with colleagues, the business and respective support areas and work in an integrated manner with fellow team members both locally and globally
  • You will understand client challenges, respond to expectations and will continue to develop technical expertise relevant to the industry
  • Develop and maintain broad financial services experience and Bank knowledge. Keeps abreast of business/industry changes and their affect on the DB respectively audit plan / approach
  • Participates in internal projects and if required support investigations
  • Communicates with Principal Audit Manager regarding audit progress and escalates problems / delays
  • Act as a Subject Matter Expert (SME) for Legal, Data Protection and Global Governance topics across the global Group Audit function
  • Substantial part of the work will be completed locally although from time to time, be required to travel and work abroad
  • The candidate will typically have Investment banking experience and significant knowledge of audit execution and methodology
  • Thorough understanding of global banking control environment and compliance issues in the banking/finance industry
  • Strong knowledge in at least two of the areas of Legal, Data Protection, Governance topics and related core processes and the ability to identify and evaluate risks associated with these processes
  • Strong communication skills, communicating with clarity, both orally and in writing, in a logical order and structured approach. Fluent in English (written and verbal)
  • In addition, significant (5-7years) audit experience in a major investment bank or Big 4 accounting firm
  • The ability to demonstrate an innovative mindset and to develop ideas having a positive impact
  • The ability to multi-task assignments and prioritise your workload with limited supervision and be resilient under pressure and be able to deliver to deadlines
  • Knowledge/Experience of locally applicable key regulations of financial services industry
  • A Master Degree or Bachelor respectively Qualified Lawyer, Solicitor from an accredited college or university (or equivalent) or equivalent work experience
  • Occupational certifications are considered a plus
18

Group Audit Resume Examples & Samples

  • Evaluate the adequacy and effectiveness of internal controls relating to Compliance & Regulatory risks in accordance with Group Audit methodology and the established risk assessment framework
  • When required, assist in training other Group Audit staff on Compliance & Regulatory topics
  • Develop and maintain broad regulatory knowledge & experience. Stay abreast of business/industry changes and their effect on the team’s audit plan, audit methodology and risk assessments
  • Strong experience of covering Compliance & Regulatory topics in an Internal Audit role within the financial services sector
  • A proven record of excellent written & verbal communication skills, with the ability to communicate effectively at all levels within Group Audit and with Stakeholders
  • Flexible, pro-active, self-sufficient and innovative, with strong organizational and multi-tasking skills,
19

Manager to Internal Control Enterprise Risk Services Group Audit Department Resume Examples & Samples

  • Delivering engagements, identifying financial and business risks, analysing business processes and controls, developing and implementing controls testing of work programmes to provide assurance over the design and operating effectiveness of controls, drafting reports and agreeing the draft findings as well as improvement recommendations with client management
  • Performing integrated audits in accordance with the Public Company Accounting Oversight Board (PCAOB) standards (related to internal controls over financial reporting) and providing advisory services related to design, implementation and assistance to management in testing internal controls over financial reporting in compliance with Sarbanes-Oxley Act of 2002
  • Testing internal controls and following a rigorous approach using Deloitte's own methodology and relevant industry guidance, including that of the Institute of Internal Auditors, where relevant
  • Working with colleagues in other specialist areas of the team to ensure that our key clients and relationships receive broader ERS propositions
  • Demonstrating specific service area/competency and/or industry expertise that provides tangible value to our clients
  • Meeting client expectations and delivering engagement objectives as a project manager
  • Anticipating client needs based on a strong understanding of the client and its industry; and
  • Actively participating in business and practice development initiatives
20

VP, Credit Risk Reviewer, Group Audit Resume Examples & Samples

  • Participate business & credit reviews of our institutional banking (IBG) business, as well as credit quality audit and review aspects of Private Bank & Islamic Bank
  • Conduct judgemental aspects of Basel II Risk Rating validation, and Basel Readiness for the Wholesale IBG (comprising all the IBG units globally including the Enterprise Bank) and the credit quality and standardized ratings aspects of the Private Bank
  • Look at cross border aspects of the IBG business including marketing, regulatory & accounting
  • Link in the CRR reviews with specific aspects of Trade Finance, particularly Structured Trade and Treasury & Markets
21

Group Audit Resume Examples & Samples

  • Evaluate the adequacy and effectiveness of internal controls relating to Sanctions & Embargoes risks in accordance with group audit methodology and the established risk assessment framework
  • Conduct Sanctions & Embargoes risk assessment for the APAC region and contribute to risk assessment/business monitoring conducted at the country level by country Audit Heads
  • Proven record of excellent written & verbal communication skills, with the ability to communicate effectively at all levels within Group Audit and with Stakeholders
22

Group Audit Resume Examples & Samples

  • Assist in conducting Sanctions & Embargoes risks assessment for the APAC region and contribute to risk assessment/business monitoring conducted at the country level by country Audit Heads
  • Undertake audit assignments, assist in drafting audit issues for review by audit management, conduct issue tracking and validate closure of issues. Participate in meetings with business auditors and provide input for business-led audits
  • Working knowledge of Sanctions & Embargoes system requirements, understanding of algorithms and scenarios, experience with validating data integrity, mapping fields from source systems to Sanctions software, etc
  • Thorough understanding of the banking risk and control environment, and knowledge of the regulatory environment specific to Sanctions & Embargoes
  • Professional credentials, including degree level education and relevant professional qualifications
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Group Audit Resume Examples & Samples

  • Implements dynamic planning through business monitoring
  • Executes audit fieldwork in line with the agreed audit approach e.g. documenting Activity Flows, identification of key risks, testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with divisional standards
  • Partners with other divisional/teams during audit engagement to guarantee an integrated approach
  • Completes all assigned audit work in line with agreed budgets, including ad hoc projects and special investigations
  • Establishes and maintains a client service/relationship approach with clients in order to understand their business needs. Interprets stakeholder feedback on key business developments/risks and understands the clients’ marketplace in order to address their needs and expectations while delivering ‘one voice’ to the client in all communications and correspondence
  • Acts as a role model for their own team and others
  • Manages functional reports, through empowering them to deliver on their objectives, providing coaching and support to enable them to be successful
  • Communicates the Bank/Division’s strategy, plans and values within their team, ensuring understanding and alignment
  • Cascades SMART business driven objectives at the beginning of the year and ensures every team member receives continuous performance feedback and has regular, constructive performance reviews
  • Recommends courses of action and reinforces a performance culture to ensure people performance is aligned with organization imperatives and needs. Addresses individual performance issues, where necessary, to support the drive for high performance
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Group Audit Resume Examples & Samples

  • Define and drive ownership and coverage of all Australia businesses and legal entities as part of the audit plan
  • Responsible for the delivery of audits (including the global audit plan and business monitoring process)
  • Contributes to functional planning of the audit plan related to own area of responsibility; adjusts the plan and advises any changes to the Chief Auditor
  • Delivers and sustains own and team performance against key objectives in the context of functional strategies
  • Provides input to the risk assessments, audit plan and approaches
  • Approves audit work papers and ensures that they meet the Audit methodology and quality standards
  • Determines team involvement and individual responsibilities for each audit
  • Responsible for issuing audit reports with “Satisfactory” grades. Reviews all other reports prior to review by the Chief Auditor
  • Approves closure of Significant and Important audit issues in line with GA methodology. Responsible for ensuring that testing conducted to assess design and operating effectiveness of controls at the time of issue closure validation is comprehensive and adequately documented
  • Partners with relevant Regional Heads on a timely and effective basis regarding matters affecting their region
  • Communicates the Banks/divisional strategy, plans and values within their teams and ensuring understanding and alignment
  • Conducts exit meetings for all FTE staff members that leave the team (internal GA transfers, internal bank transfers and bank leavers) - Key points raised during the exit meeting are documented and shared with relevant Chief Auditor
  • Manages a team of auditors and is actively engaged in managing other talent and resources (e.g. external support staff) including recruiting, training, career development and succession planning
  • Creates an environment where people management and development is a key priority
  • Creates and reinforces an environment where people management and development is a key priority and personally demonstrates their commitment to their immediate and the wider Function team
  • Manages direct reports, through empowering them to deliver on their objectives, providing coaching and support to enable them to be successful. Cascades SMART business driven objectives at the beginning of the year and ensures every team member receives continuous performance feedback and has regular constructive performance reviews
  • Acts as a management role model for their own team and others
  • Master Degree (or equivalent) from an accredited college or university (or equivalent) or equivalent work experience
  • Professional/industry recognised qualification e.g. Certified Public Accountant/Chartered Accountant or equivalent
  • Deep audit/business knowledge and experience and an understanding of the risks and regulatory requirements in Global Markets
  • Sound knowledge of auditing standards and concepts
  • Profound understanding of the regulatory developments and both the holistic risk environment and control best practice for their respective business areas and country
  • Outstanding operational and people management skills; must possess the ability to operate a diverse team, appraise individual potential, motivate teams
  • Experience leading a multi-national audit team within a best practices environment
  • Experience in building and managing effective teams and relationships
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Group Audit Resume Examples & Samples

  • Evaluate the adequacy and effectiveness of internal controls relating to GTB risks in accordance with group audit methodology and the established risk assessment framework
  • Executes day-to-day operational audit work and contributes to the delivery of audits (including the updating of Risk Assessment Profiles and the CAA process) Undertakes audit assignments, drafts audit reports for review by audit management, facilitates issue tracking and validates closure of issue
  • Executes audit fieldwork in line with the agreed audit approach e.g. documenting Activity Flows, identification of key risks and testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with GA standards
  • Partners with other audit teams such as Credit, Finance and Group Technology & Operations during audit engagements to ensure comprehensive coverage and an integrated approach to front to back audits of GTB and associated support functions
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Group Audit Resume Examples & Samples

  • Active interaction and partnership with the methodology, quality assurance and staff development teams to ensure all queries are answered in line with current methodology and all guidance is consistent
  • All helpdesk staff will be actively involved in the Group Audit continuous improvement program to further enhance the framework for an effective internal audit function
  • Proactively take ownership for their career management and work to create and reinforce an environment where people management and development is a key priority and personally demonstrate commitment to their immediate team and the wider function
  • Provide help and support for new employees to facilitate early integration and assimilation of the new environment
  • Excellent working knowledge of international risk based internal auditing standards
  • Knowledge of business risks and best market control practices in some, but not necessarily all of Deutsche Bank’s core products (which include Global Markets, Corporate and Investment Banking and Asset Management)
  • Proven track record of operating in a wholesale banking internal audit environment and is now seeking to apply these skills to provide inspirational learning experiences and training on the practical implementation of the Group Audit methodology and practical risk and control challenges faced by a risk-based function in this arena
  • Practical experience of building and running training courses in this field is preferable but not essential
  • Experience of multitasking, prioritizing and being responsive to ad-hoc requests. He/she will need to demonstrate self-motivation and innovation, be able to work flexibly and effectively as part of a team as well as the ability to interact effectively with all levels of the Group Audit function
  • Excellent communication skills, communicating with clarity, both orally and in writing, in a logical order and structured approach
  • Confidence, drive and enthusiasm with strong strategic / analytical thinking
  • A positive attitude with the capacity to develop and drive positive change
  • Excellent relationship management, analytical, problem solving and influencing skills
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Group Audit Resume Examples & Samples

  • University degree in computer science, mathematics, engineering or a related scientific degree. Certifications as CISA, CISM, CISSP or equivalent qualification in the areas of information security, project management or process-/quality management would be an advantage
  • Experience in one or more of the following technical disciplines is a pre-requisite: IT infrastructure, IT production, IT operation such as system administrator, database administrator, operator in a data centre or software development for IT infrastructure applications. Expertise gained in the Banking environment is beneficial, but not critical
  • Experience in IT Audit, IT risk management or information security
  • A good understanding of the following IT disciplines: IT security, IT production controls (e.g. change-/ problem- management), information security, operating systems, databases and regulatory requirements in the banking sector
  • A fundamental understanding of the following Audit disciplines: audit concepts (e.g. pre-/post implementation audits), controls in outsourced environments (e.g. for managed services), auditing project management and auditing IT service- and quality management
  • Very good written/verbal communication skills and the ability to communicate effectively in conflicts and at all management levels
  • Experiences in analyzing and articulating IT Infrastructure risks combined with a good understanding of IT services and IT processes in an enterprise environment
  • Flexibility, pro-active, self sufficient and innovative with strong organisational skills to take ownership and responsibility of agreed targets and meet them within budget to enable a timely and efficient completion of audit projects
  • Ability to multi-task assignments and prioritise the workload with limited supervision and be resilient under pressure and the ability to deliver to deadlines
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Group Audit Resume Examples & Samples

  • Implementation of the Group Audit risk-based methodology including; performing coverage of automated business processes and the respective technology environment and supporting Continuous Audit Assessment
  • Lead and successfully deliver Technology audits, or participate in integrated Business and Technology audits, both locally and globally
  • Work on Front to Back Audits along with the CIB operational audit team and cover the IT application and related infrastructure controls of the global and regional CIB application landscape
  • Generate impactful draft audit reports for review by senior Group Audit management and to facilitate issue tracking and validate closure of issues
  • Proactively develop and maintain professional working relationships with colleagues, the business and respective support areas. They will work in an integrated manner with fellow team members both locally and globally
  • Understand CIB’s business needs and expectations for Technology support and will continue to develop technical expertise relevant to the industry
  • Travel will be required to other offices to provide audit coverage at these locations (20%)
  • Self starter and able to interact effectively at senior levels within the Bank
  • Previous exposure to Chief Operating Office (COO) Technology and CIB stakeholders and a robust knowledge of IT processes and as well as general understanding of CIB business
  • Significant, demonstrable experience of IT auditing (e.g. audits of automated business controls and of the implementation of new banking systems). Experience of audits of IT general controls is a pre-requisite and CISA certification an advantage
  • Familiarity with risk based auditing and should clearly understand the relationship between IT risk and underlying business risk
  • Flexible, pro-active and self sufficient with strong organisational skills to take ownership of agreed targets to enable efficient completion of audit projects. Natural role model and reference point for their peer group
  • Demonstrate an innovative mindset and can develop ideas, which are implemented and have a positive impact
  • Multi-task assignments and prioritise their workload with limited supervision and be resilient under pressure and be able to deliver to deadlines
  • Excellent written/verbal communication skills and be able to communicate effectively at all levels within Group Audit and with senior clients
  • Experience of auditing IT applications supporting corporate finance and trade finance processes, global and domestic payment processes, trust and agency business and core banking systems
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Internship Within Group Audit Resume Examples & Samples

  • Building a foundational understanding of Group Audit standards and methodology
  • Assisting the Portfolio Manager / Auditor in Charge in tasks related to planning and determination of the audit scope for relevant engagements, as per guidance received and on reaching an agreement on the risk analysis
  • Operating with supervision on smaller/less complex assignments, with sufficient guidance and subsequent review, especially assisting the enablement / operational support team of Group Audit and any other tasks such as e.g. summarizing results of customers surveys, tracking of certifications, event organization, support for executives, and files transfers for analytics activities
  • Performing tasks assigned during audit work where applicable
  • Supporting the Portfolio Manager / Auditor in charge in obtaining agreement on corrective actions
  • Tracking the implementation of agreed audit actions
  • Bachelor’s degree or equivalent with focus on Accounting, would be preferred
  • Knowledge of audit standards, principles of internal controls, processes, assessment and design of compliance testing
  • Knowledge of industry audit practices, plans and Trends