Senior Audit Manager Resume Samples

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ES
E Stokes
Ewell
Stokes
8354 Hand Dam
Chicago
IL
8354 Hand Dam
Chicago
IL
Experience Experience
02/2016 – present
Boston, MA
IA Senior Audit Manager
Boston, MA
IA Senior Audit Manager
02/2016 – present
Boston, MA
IA Senior Audit Manager
02/2016 – present
  • Working with the Lead Auditor, develop training on market risk to share with Internal Audit team
  • Recruits staff, develops talent, builds effective teams, and manages a budget
  • Develop and maintain effective relationships with key Risk managers and staff as well as local business and supporting contacts
  • Participates in major business initiatives and proactively advises and assists the business on change initiatives
  • Applies comprehensive expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams
  • Gain knowledge and keep abreast of industry developments, new laws, rules, products, technologies and applications and considers implications for the business and audit universe and plan
  • Proactively advances integrated auditing concepts and use of technology; closely follows latest trends in own field and adapts them for application within own job and the business
04/2012 – 01/2016
New York, NY
Gf-senior Audit Manager
New York, NY
Gf-senior Audit Manager
04/2012 – 01/2016
New York, NY
Gf-senior Audit Manager
04/2012 – 01/2016
  • Work under QA Director for Singapore and U.S. in partnering and relationship management building with the Chief Auditor for Singapore and U.S
  • Assist in the review and improvement of global Internal Audit methodology and practices through
  • Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
  • Taking the lead globally for monitoring, reviewing and challenging any transformation and /or development initiatives
  • Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
  • Leads the professional development of Internal Audit staff
  • Reviews and approves Business Monitoring Quarterly Summaries, Risk Assessments and Issue Validation work papers
01/2007 – 11/2011
Dallas, TX
Senior Audit Manager
Dallas, TX
Senior Audit Manager
01/2007 – 11/2011
Dallas, TX
Senior Audit Manager
01/2007 – 11/2011
  • Taking the lead globally for monitoring, reviewing and challenging any transformation and /or development initiatives across Risk CoE IA teams
  • Assisting in the development of tactical plans relative to the implementation of the internal audit function’s overall goals and objectives
  • Assisting in the development of tactical plans relative to the implementation of the internal audit function's overall goals and objectives
  • Developing, rolling and delivering out targeted methodology training
  • Preparing reports of audit findings for UBS senior management at local, global, functional and Group levels
  • Providing practical, innovative, and value-added solutions to issues identified
  • Providing day to day support and guidance to auditors on methodology-related matters
Education Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
University of Georgia
Bachelor’s Degree in Business
Skills Skills
  • Proven ability in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Strong analytical skills. Ability to analyze large amounts of data and turn it into usable information
  • Strong skills in maintaining great client service and strong time management skills
  • Strong knowledge of Global Markets lines of business and related Compliance, operational and financial controls
  • Good understanding of financial markets, treasury, asset & liability management, and / or risk control aspects, and important regulatory trends
  • Good working knowledge of Microsoft office packages (Word, Excel, PowerPoint)
  • Ability to interact with clients, prospects, all levels of staff, and colleagues in a professional fashion
  • Excellent analytical skills and proven ability to improve efficiency and effectiveness of processes and teams
  • Strong business knowledge, analytical and problem-solving skills
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1

Senior Audit Manager Resume Examples & Samples

  • Significant involvement in developing and delivering all services to clients
  • Demonstrate a thorough knowledge of current auditing techniques
  • Establish a strong network internally and externally and be regarded as having a strong impact and personally credible
  • Focus on Business Development by identifying and converting opportunities to sell work
  • Pro-active leader of teams, ensure team members are properly managed and motivated and ensure staff needs, including training and development, are identified and acted upon
  • Portray a clear sense of vision and direction and promotes the Firm's core values
  • Create a climate of high performance in the team take pride and produce outstanding effort and dedication
  • Build cooperation between teams by sorting out issues such as time, money, information flow, structure and competencies
  • Promote a good understanding of your team's goals and contribution, throughout the appropriate part of the organization, so that the team secures the necessary support from others
  • Counsel and work towards people development
  • Evidence of being pro-active in identifying and driving forward initiatives which have made a difference either internally and/or externally at clients
  • Extensive External Audit experience gained within a large professional services organisation
  • Excellent technicalskills and specialistindustry sector expertise preferred
  • Business development skills- able to identify opportunities to sell work
  • Demonstrate successful management of a number of major clients/projects (eg sizeable PLC's)
2

Senior Audit Manager Resume Examples & Samples

  • Involvement in primarily assisting and leading Investment Products and Services audits including; scope determination, audit planning memos, development of Process, Risk & Control Matrix, execution of fieldwork, managing junior level staff, drafting observations, audit report preparation, and escalation of issues to Senior Management
  • Prepare and execute rolling 12 month risk-based audit plans to provide appropriate coverage of Wealth Management activities
  • Track, update and verify issues and related actions to ensure proper resolution and perform adequate closure verification processes
  • Provide timely and effective feedback to junior level staff and identify strengths and areas of development
  • Participate in audit/departmental-wide initiatives to increase operating model efficiencies
  • Prior experience of Broker Dealer and/or Investment Advisory processes inclusive of: Client Services; Product and Services Design, Approval and Implementation; Trading Activities; Operations; Third Party Oversight; Transaction Process Management; Marketing; and Policies and Procedures
  • Eight-ten years of audit management, related broker dealer, investment advisor business, or financial services, including related regulatory experience
  • Previous audit experience with a complex or medium size bank, investment advisor or broker dealer that focused on retail brokerage and advisory products
  • A strong technical understanding of the regulatory environment with respect to IAA, FINRA, SEC, NFA rules or other regulators such as the OCC, Federal Reserve
  • Proficient understanding of the internal audit process including risk assessments, planning, scheduling, and reporting
  • A B.S. degree in business including Economics, Finance, Accounting, etc
  • CPA or CIA a plus
  • ACAMS Certification a Plus
  • Prior experience communicating with regulators a plus
  • Experience with local, state and federal securities law a plus
3

Senior Audit Manager Resume Examples & Samples

  • Finance risks are accurately, consistently and timely assessed for all relevant auditable entities
  • The audit plan includes adequate coverage of key Finance risks by product, function, region and/or individual country
  • Finance related audit work is consistently completed
  • The IA Finance CoE team provides the product audit teams with appropriate training, testing strategies and guidance
  • The guardian and communicator of key financial information and controls for Citi, serving a variety of internal and external “clients”
  • The driver of franchise and legal entity decisions on capital planning, liquidity, budgeting, tax, strategic direction and policy management
  • A critical business partner to each Global Product, Region and Function, providing the data and analysis to enable Citi's leaders to make sound decisions in support of the business' objectives
  • The developer of a quality organization through recruiting, mentoring, mobility, performance assessment, training and developmental assignments, setting the standard for leadership
  • QA partner to the Finance CoE Chief Auditor, Audit Directors and their teams. Principal QA Partner contact for all Finance matters
  • All scorecard work streams in QA as part of the QA product set and where opportunities allow, lead a Scorecard round
  • Support and input to the maintenance and update of the scorecard strategy for IA
  • Where required complete thematic analysis, best practice papers etc to be prepared for the Chief Auditor Strategy, QA, Methodology and Communications and the C15 QA Director for Global Consumer Banking and Finance
  • Assisting in the review and improvement of Global Internal Audit methodology and practices through
  • Drafting and presenting methodology documents, guidance notes and practice guides
  • Supporting the provision of targeted methodology training
  • Providing day to day support and guidance to auditors on methodology-related matters
  • Ensure the workflow within the toolkit supports key methodology requirements
  • Share industry best practice for Finance, common pitfalls with teams globally
  • QA of the Finance CoE audit team’s completed risk assessments, Quarterly Refresh as part of Quarterly Business Monitoring. Take the lead on this for the C15 QA Director for Global Consumer Banking and Finance
  • QA review of auditable entities. Review and challenge the Finance CoE team over their level of involvement, challenge and review of Finance Risk
  • Drivers for auditable entities maintained by the various product and function audit teams as well as themselves
  • Support and participate in QA Thematic Reviews as part of the Annual QA Plan
  • QA of Finance Internal Audit presentations for Audit Committees, Management Committees and stakeholder meetings including BRCC, CCO reporting
  • Conduct pro-active “hot reviews”, Internal Audit location reviews (site reviews), an efficient and effective scorecard evaluation and reporting mechanism, a continuous improvement program and other solutions to drive a best in class quality assurance function for a leading global financial services group
  • Working with the QA team to develop a methodology to provide a valued interactive program of support and assurance to subsidiary boards and audit committees, as appropriate, on issues, trends, root causes and impacts to the respective business activities and the group
  • Working with the QA team to develop a methodology to provide a valued interactive program of support and assurance to senior management on issues, trends, root causes and impacts in respect of assurance activity and results concerning Compliance
  • Working with the QA team to develop a methodology to provide a valued interactive program of support and assurance in accordance with requirements and appropriate expectations to regulators and supervisors on issues, trends, root causes and impacts relating to governance, risk management and internal control issues
  • Monitor and support the reporting formats for managing the plan, budget, management information and headcount. Update the C15 QA Director for Global Consumer Banking and Finance on the Finance CoE delivery against audit plan
  • Develop an approach, methodology and tool kits including reporting formats for monitoring compliance with IA methodology and IA’s adherence to regulation in the respective jurisdictions in which Citi and IA operate
  • Promote knowledge sharing and promulgation of best practices across IA and Citigroup
  • Candidates should have at least 10 - 12 years of diversified financial management experience including significant experience and exposure to working in and/or auditing large complex Finance departments in large financial services institutions
  • Must have extensive experience of working at top tier complex Financial Institutions/Investment Banking / Capital Markets (products and customers) and must have first-hand experience of Internal Audit
  • He/She should have a thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies. H/She must be proficient in risk and control analysis and audit concepts for Finance. Experience of auditing taxation, regulatory reporting and/or product control processes is a plus
  • Skilled at analyzing root causes of problems and anticipating ‘horizon’ issues. Related certifications (ACA, CPA, CFA, MBA, CIA) are a plus
  • The Quality Assurance Senior Audit Manager will be a strong, energetic individual with a proven track record in managing high-performance teams
  • This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style. Must have effective persuasion skills, the ability to work effectively at the highest levels of the organization, and display highly effective networking and influencing skills. This person will be comfortable acting as an agent for positive change with agility and flexibility
  • Reports to the C15 QA Director for Global Consumer Banking and Finance
4

IA Senior Audit Manager Resume Examples & Samples

  • Develops and executes a robust audit plan, by reviewable entity, for assigned businesses in accordance with internal audit standards, relevant government statutes, regulations and Citigroup and Citibank policies
  • Delivers high quality audit reports on time, internal audit and regulatory issue validation where appropriate, branch examinations, as well as business monitoring and governance committee reporting
  • Manages a complex and critical unit within internal audit, including a medium sized team of internal audit professionals
  • Possesses a broad and comprehensive understanding of different internal audit standards, policies and local regulations
  • Applies a broad and comprehensive knowledge of high risk areas including consumer or investment banking, technology management, project/program management, regulatory compliance or supplier management
  • Analyzes reporting findings; recommends appropriate interventions where needed
  • Proposes creative and pragmatic solutions for risk and control problems; partners with directors and managing directors to develop approaches for addressing broader corporate emerging issues
  • Reviews and approves business monitoring quarterly summaries
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of fraud, financial crimes, security and relevant control functions
  • Demonstrates experience in managing teams and managing integrated internal audit and assures delivery within a matrix reporting environment
  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views; this individual must be an articulate and effective communicator, both oral and in writing, with an energetic, charismatic and approachable style
5

Senior Audit Manager Resume Examples & Samples

  • Operate independently to assist the QA Director across Risk
  • Work closely with the QA Director for ICG & Risk in fostering a strong QA partnership with the Chief Auditor for Risk and the product Chief Auditors across the Risk Centre of Excellence (CoE)
  • Take the lead and be able to work unsupervised in partnering and relationship management building with the Chief Auditors and Directors in Risk CoE including monthly 1:1s
  • Independently perform a variety of QA reviews across Risk
  • Facilitate pro-active interactions, including communication and clearance with Audit Owners and Chief Auditors during QA reviews, with minimal support from the QA Director for ICG & Risk
  • Taking the lead globally for monitoring, reviewing and challenging any transformation and /or development initiatives across Risk CoE IA teams
  • Conduct and at times lead regular scorecard reviews, share best practice and common pitfalls with relevant teams outside of Risk and support with the provision of focused training as and when needed
  • Produce effective communication tools – briefing notes, newsletters, QA & Methodology updates
  • Complete reviews of Risk Assessments, Quarterly Plan Refresh papers, and Quarterly Business Monitoring outputs for Risk. Present results to the QA Director ICG & Risk and the Chief Auditors in Risk and identify key thematic issues and findings for use globally
  • Share methodology best practice and common pitfalls with Risk and at Risk Town Halls where required
  • Pro-actively identify development areas, training needs and develop and deliver required training sessions for Risk CoE teams and where invited, business stakeholders
  • As required take the lead in developing the key topics for QA Wide Monthly Forums and host at least three North America QA Open forum conference calls per annum
  • Providing thought leadership on areas where the methodology could be improved, clarified in response to results of QA reviews and partnering activities
  • Developing, rolling and delivering out targeted methodology training
  • Share industry best practice, and lessons learnt both with the QA team and the audit delivery teams and Chief Auditors and Directors for Risk globally
  • Participate in and on occasion lead QA Thematic Reviews, conducting review, analysis and assessment work and drafting reports
  • Lead on pro-active “hot reviews”, audit report reviews, Internal Audit location reviews (site reviews), an efficient and effective scorecard evaluation and reporting mechanisms and other solutions to drive a best in class quality assurance function for a leading global financial services group
  • Perform the QA reviews of Risk presentations for Audit Committees, Management Committees and stakeholder meetings
  • Where required attend and present at the Risk Chief Auditor and Director meetings and attend any other forums where invited
  • Promote knowledge sharing and endorsement of best practices across IA and Citigroup
  • Consult on and review responses proposed to Regulators by Risk including but not limited to the OCC and FRB
  • Must have first-hand audit experience of risk management in a top tier investment bank covering credit, market and operational risk management
  • Experience of working with international teams and of people management/development
  • Must have a thorough knowledge of operations and control systems as well as an understanding of best-in-class audit methodologies
  • Candidates must have effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation, relationship management and partnering skills are essential
  • English language skills essential and any other regional language skills advantageous
6

IA Senior Audit Manager Resume Examples & Samples

  • Applies recognized expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams
  • Manages a complex and critical unit within internal audit, including a small to medium sized team of internal audit professionals
  • Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: consumer or investment banking, technology management; project/program management; regulatory compliance or supplier management
  • Partners with directors and managing directors to develop approaches for addressing broader corporate emerging issues
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of treasury and liquidity products, especially those associated with the treasury business
7

Senior Audit Manager Resume Examples & Samples

  • Board and Senior Management Monitoring
  • Regulatory Reporting of results and supporting documentation
  • Model validation and model risk governance
  • Deliver on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting
  • Apply comprehensive expertise in one or more of the corporation's businesses and leverage this knowledge into a leadership role in one or more teams
  • Develop effective senior line management relationships and has a strong understanding of the businesses
  • Serve as lead reviewer/controller for all types of reviews, including the most complex reviews
  • Develop continuous data validation and control framework for the FRB stress test and report submissions
  • Review work done for the activities of the CCAR work streams to ensure the functions are organized, efficient, and produce accurate financial actuals
  • Provide systemic and thematic issues and raise cross-functional topics as a result of audits related to CCAR/DFAST sections of Capital Planning
  • Work closely with Risk, Finance and Technology Centre of Excellence (COE) Audit Team Members
  • Solid knowledge of general banking and broker-dealer regulations
8

Senior Audit Manager Resume Examples & Samples

  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of multiple products, especially those associated with ICG and GCG businesses
  • Outstanding analytical skills and critical thinking
  • 10 years of experience in the banking/financial industry
9

Senior Audit Manager Resume Examples & Samples

  • Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: KAMLS for Consumer or Investment Banking Businesses, technology management; project/program management; regulatory compliance or supplier management
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyzes reporting findings
  • Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
  • BA/BS or equivalent, preferably with a degree related to mathematics or statistics. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus, while a CAMS certification is a strong plus
  • Specific subject matter expertise regarding AML, with emphasis in transaction monitoring disciplines, such as scenario development, alert analysis, optimization and segmentation, AML investigations and SAR decisions, plus KYC, AML, Risk Assessment and Sanctions
  • Senior level experience in a related role with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Greater than 10 years of experience in areas related to banking regulations, AML programs, local standards, and internal policies
10

Senior Audit Manager Resume Examples & Samples

  • Reviewing remediation actions submitted by the business for closure to assess whether these have addressed the relevant original risks
  • Building and maintaining strong relationship with key stakeholder and being "an agent of change", particularly in relation to the issue assurance framework
  • Engaging with internal and external stakeholders on issues related to individual items as well as remediation themes identified in different areas
  • Performing reviews to confirm that previously taken remediation actions have been sustained by management
  • Encouraging and facilitating our "One GIA" approach, including cross-functional / cross divisional cooperation, such as applying best practice in integrated audits and eliminating any form of silo mentality
  • Contributing proactively towards developing detailed procedures, guidance and FAQs for the issue assurance process as well as identifying, assessing and prioritizing process improvements / system enhancements
11

Senior Audit Manager Ib Equities Resume Examples & Samples

  • Analyzing and assessing risks applicable to the Equities business regionally (market, credit, operational, legal and compliance) assumed by the Equities business
  • Monitoring the results, risk profile and developments within Equities and providing input for planning sessions and Equities Auditable Entity updates on a continuous basis
  • Developing key stakeholder relationships in Equities across the region and communicating the results of discussions with the Investment Bank Audit teams in Hong Kong, Singapore, Australia and Japan
  • Leading the continuous risk assessment and macro risk assessment process in the Equities space regionally and providing input for the quarterly Anticipatory Auditing process and governance reports
  • Coordinating issue assurance for the Equities portfolio and monitoring development of assigned MLSIs
  • Representing the Hong Kong IB Equities Audit team in functional operating, risk and governance committees
  • Tracking changes in key gloal change projects impacting the Equities business regionally
  • Working as the responsible auditor for high-risk audits and executing fieldwork for high-risk areas as required
12

Gia-ib Senior Audit Manager Japan Resume Examples & Samples

  • Analyzing and assessing risks (market, credit, operational, legal and compliance) assumed by the Investment Bank business
  • Monitoring the results, risk profile and developments within the Investment Bank and providing input for planning sessions and Auditable Entity updates on a continuous basis
  • Developing key stakeholder relationships in Japan and Korea along with other GIA members in Singapore, Australia and Hong Kong to update risk profiles and obtain / share relevant business information
  • Actively participating in the firm's Anticipatory Auditing process and identifying potential candidates for unplanned audit work
13

Senior Audit Manager Wealth Management Resume Examples & Samples

  • Analyzing and assessing key risks within UK domestic and international wealth management businesses (including client and product suitability, money laundering, KYC, cross-border and other key regulatory risks). This will include leading teams of up to 4 auditors to deliver risk-focused audits within budget
  • Identifying, evaluating and reporting on the effectiveness of management's controls designed to address those risks
  • Helping management to develop practical, risk-focused solutions to sustainably remediate issues identified
  • Continuously monitoring the risk profile and developments within WM UK and Jersey and provide relevant input to the annual audit plan to keep it relevant and focused on the highest risk areas
14

Senior Audit Manager, IB FRC Resume Examples & Samples

  • Analyzing and assessing risks applicable to the FRC business regionally (market, credit, operational, legal and compliance) assumed by the FRC business
  • Monitoring the results, risk profile and developments within the FRC business area and provide input for planning sessions and update to FRC Auditable Entities on a continuous basis
  • Developing key stakeholder relationships in FRC across the region and communicate the results of discussions with each Investment Bank Audit Team in Hong Kong, Singapore, Australia and Japan
  • Leading the continuous risk assessment and macro risk assessment process in the FRC space regionally and provide input into the quarterly anticipatory audit process and governance reports
  • Coordinating issue assurance for the FRC portfolio and monitor development of assigned MLSI's
  • Representing the IB FRC Audit team in functional operating, risk and governance committees
  • Tracking changes in key global change projects impacting the FRC business regionally
  • Working as the responsible auditor for high-risk audits and execute fieldwork for high-risk areas as required
  • Degree graduate with 8-10 years of strong experience in audit, compliance or internal control areas within the financial industry
  • You have an excellent understanding of the financial market, specifically within the FRC space of operational aspects, as well as, process flows within and between banks / counterparts, and a good knowledge of local regulatory requirements across the region
  • You are a flexible and committed team player willing to travel to other UBS locations in the region for audit assignments
  • You have a strong and tested ability to communicate effectively and challenge the status quo in a constructive manner
15

Senior Audit Manager, IB Resume Examples & Samples

  • A good knowledge of fixed income products and experience in executing Front to Back audits is favourable
  • Monitoring the results, risk profile and developments within the Investment Bank and provide input for planning sessions and update to Auditable Entities on a continuous basis
  • Actively participate in the firms Continuous Risk Monitoring process and identify potential candidates for unplanned audit work
  • Help in regulatory requests and special assignments both locally and regionally as they arise
  • You have gained strong experience (8 – 10+ years) in audit, compliance, business or internal control areas within the financial industry
  • You have a good understanding of the financial market, of operational aspects, as well as, process flows within and between banks / counterparts, and a thorough knowledge of local regulatory requirements
  • You are a flexible and committed team player willing to travel occasionally to other UBS locations for audit assignments
  • You have a strong and tested ability to challenge the status quo
16

Senior Audit Manager Resume Examples & Samples

  • Leading IT audits or acting as team member on business and IT audits
  • Analyzing and assessing technology risks assumed by the business and operational risks assumed by IT
  • Preparing reports of audit findings for UBS senior management at local, global, functional and Group levels
  • Monitoring the results, risk profile and developments within Wealth Management and Retail & Corporate IT and provide input for planning sessions
17

Senior Audit Manager Resume Examples & Samples

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  • You have gained strong experience (6 – 8 years) in operations, audit or internal control areas within the financial industry
  • You have a good understanding of the financial market, particularly of Operations activities, as well as process flows within and between banks / counterparts, and a thorough knowledge of local regulatory requirements
18

Senior Audit Manager Resume Examples & Samples

  • Analyzing and assessing risks applicable to the Investment Bank, Wealth Management and Asset Management businesses in China (market, credit, operational, legal and compliance) assumed by the business
  • Monitoring the results, risk profile and developments within the cross-divisional business in China and providing input for planning sessions and Auditable Entity updates on a continuous basis
  • Developing key cross-divisional stakeholder relationships in China and communicating the results of discussions with each relevant audit team across the region
  • Contributing to the continuous risk assessment and macro risk assessment process regionally and providing cross-divisional input for the quarterly Anticipatory Auditing process and governance reports as required
  • Coordinating regional cross-divisional issue assurance coverage for the China portfolio and monitoring development of assigned MLSIs
  • Representing the China cross-divisional audit team in functional operating, risk and governance committees
  • Working as the responsible auditor for high-risk audits and the responsible manager for selected cycle audits and when required, executing fieldwork for high-risk areas
  • Managing and responding to local regulatory requests and inspections while maintaining a regular dialogue with key local regulators
19

Senior Audit Manager Global Asset Management Audit Resume Examples & Samples

  • Acting as either auditor or responsible auditor for regional and global audits, you will be responsible for
  • Analyzing and assessing the risks (market, credit, operational, legal and compliance) resulting from business activities. Identifying and evaluating the effectiveness of controls designed to mitigate those risks
  • Reporting issues to UBS senior management at local, global, functional and Group level
  • Monitoring and responding to the changes in the risk profile of businesses and the related support / control functional areas assigned to you
20

Senior Audit Manager Data Analytics Resume Examples & Samples

  • Undergraduate degree or equivalent with 7-10 years direct relevant experience in data analysis and combined relevant experience in technology, audit, risk management and/or business functions within banking or financial institutions, including
  • Knowledge of banking systems and technology landscape (especially Capital Markets, Technology and Corporate Areas)
  • Graduate degree is desirable,
  • Good knowledge of Internal Controls, Controls Testing, and Risk Assessment
  • Knowledge of Computer Assisted Audit Tools and Techniques (CAATTs) and data analysis
  • Strong knowledge of relational database structures and underlying concepts
  • Knowledge of Data Analysis techniques acquired through at direct relevant experience in two or more of the following areas
  • Proficient in SAS, SQL, SPSS, MATLAB and/or audit specific data analysis tools such as ACL, IDEA or Monarch or other major BI Reporting tools such as Business Objects
  • Exposure to and working knowledge of one or more of the major database platforms: MS-SQL, Oracle, DB2, Sybase etc
  • Excellent planning and organising skills with the ability to manage multiple priorities
  • Excellent leadership and team management skills
  • Excellent interpersonal, communication, negotiating, influencing, and relationship management skills
  • In-depth project management skills that incorporate change management, business requirements, design (including data flow mapping), prototyping, development, testing, training, and CAATT production support
21

Senior Audit Manager Resume Examples & Samples

  • At least 12+ years of auditing experience with an internal audit function or public accounting firm, preferably within the Banking or Financial Services industry
  • Strong knowledge of Global Markets lines of business and related Compliance, operational and financial controls
  • Good understanding of the relevant regulatory rules, pending regulatory reforms, and industry initiatives
  • Posting Date: 08/22/2014
22

Senior Audit Manager Resume Examples & Samples

  • At least 10-15 years of experience with an internal audit function or public accounting firm, preferably within the Banking or Financial Services industry
  • Strong knowledge of Financial Crimes, AML and associated regulatory requirements
  • In-depth understanding of Financial Crimes, particularly AML, Economic Sanctions, Anti-Bribery/Anti-Corruption, and Fraud
  • Demonstrated ability to lead a team of professionals and coordinate with peers across functional teams and regions
  • Ability to coach and develop junior associates
  • Must have Bachelors Degree
  • CFCS/CFE/CAMS
  • Masters degree preferred
23

Senior Audit Manager Resume Examples & Samples

  • Must have fifteen plus years relevant work experience: Audit, Compliance, Retail or Commercial Credit Risk or Credit Risk management
  • Experience in commercial credit risk rating process, credit loss forecasting and allowance processes, commercial asset quality assessment and enterprise credit risk policy development or oversight
  • Sound organizational, analytical, oral and written communication skills. Ability to manage and influence relationships within Corporate Audit, senior lines of business executives and the regulators
  • Strong conflict management skills ability to attract, grow and retain talent. Takes and gives coaching
  • Self starter. Able to lead and teach others, has a strong desire to learn, high energy level, positive attitude, and exhibits flexibility and creativity in approaches
  • Strong risk controls assessment of commercial or retail credit processes
  • Strong management skills with the ability to train staff on credit risk decisioning and process
  • Ability to juggle multiple work efforts and to quickly change direction, as needed
  • Strong analytical skills to including proficient use of MS Office products. Strong knowledge of change management and risk management. Demonstrated strong project management skills in large complex projects
  • Minimum Bachelor’s required (Master’s degree a plus) in Accounting, Finance, Computer Sciences, or General Business
  • Knowledge of developing or maintaining Commercial or Retail credit risk policies
  • CPA / CAM / CIA certification a plus
  • History of managing very large cross functional projects while managing a large cross functional infrastructure team and 3rd party vendors
24

Senior Audit Manager Resume Examples & Samples

  • Minimum of ten years proven and progressive audit and/or accounting experience, or equivalent, concentrating in investment banking and markets
  • Minimum of a bachelors degree in business accounting, finance, related field or equivalent experience; professional certification (CPA or CA) preferred
  • Strong managerial, communications, analytical, problem-solving, organizational and interpersonal skills
25

Senior Audit Manager Resume Examples & Samples

  • Provide input to the Director and Assistant Chief Auditor in the development of an annual audit plan which is well aligned to client strategies and tactical and Enterprise appropriate areas of focus based upon the business and operating risks of the unit. A measure of success is that the plan is supported by the Assistant Chief Auditor, Chief Auditor and Audit Committee
  • Support the Director in the development and review with clients of periodic summary reports, providing insights which relay information and learnings from audit and other Division information resources, related communications, market insights and research and regulatory learnings which will assist client groups in evaluating their strategies, tactics and risks and providing a basis to adjust where appropriate
  • Support the Director in the development of specific and, where appropriate, broad communications which identify, revenue and cost management opportunities for business units/groups which will assist in achieving their business goals including profitability
  • Demonstrate good judgment within assigned audit engagements. Support the Director in critically evaluating client business strategies, policy and standards providing meaningful insights based upon knowledge and research which will continue to improve the Enterprise management and control processes
  • Ensure that audits for which the role is responsible are conducted effectively and efficiently to the high standards set out by the Division, outcomes of which are confirmed through the Division’s Quality Assurance Program and/or regulatory examination results
  • Ensure that the work of subordinates is well executed in accordance with the standards set out by the Division and that their judgments are sound, well documented and repeatable
  • Provide oversight to staff where assigned during the execution of audits ensuring that conduct is professional and consistent with professional standards
  • Ensure that the audit work and that of supervised staff is conducted with integrity and objectivity
  • Support continual focus on maintaining a high performing work team consistent with a “strong” audit function through coaching and interaction with staff
  • Be and be seen as knowledgeable with specific technical competencies. Support the Director and Assistant Chief Auditor in maintaining an effective centre of competency, which is the central point of reference on a specific subject area, the determination point for the Division’s views, and practices on the topic. In so doing, the individual will ensure that programs are maintained which are practical and aligned to the Division’s needs, actions in the conveyance of knowledge and emerging/potential issues related to the competency
  • High level of knowledge in internal controls and risk assessment
  • High level of planning and organising skills with the ability to manage multiple priorities
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Senior Audit Manager Resume Examples & Samples

  • Direct, counsel, and instruct staff assigned to the engagement and review audit plan, findings and reports for sufficient scope and for accuracy
  • Provide leadership, coaching, performance management and personal development support
  • Ensure that we have competent and sufficient engagement resources, with relevant skill sets to meet each audit and our annual plan
  • Raise the technical knowledge of the group through various courses, seminars and in-house training in the areas of Credit and Origination businesses, and related risk management framework, compliance and audit techniques
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Senior Audit Manager Resume Examples & Samples

  • 6+ years of US AML compliance experience
  • 2+ years of audit experience as a regulator, internal auditor, etc
  • Experience working under tight time frames where quality is of paramount importance
  • Microsoft Word and MS Excel proficient
  • Familiar with OCC and/or FRB regulatory expectations
  • CAMS or CRCM certification
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Senior Audit Manager Resume Examples & Samples

  • 12+ years of Public Accounting and Private Industry related experience in Asset Management
  • Bachelor's Degree in relate field
  • Experience with Audit (Financial; Operational; Products)
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Senior Audit Manager Resume Examples & Samples

  • 8+ years experience in public and/or private accounting
  • Financial Services or Retirement/Annuities audit experience
  • B.A. / B.S. Accounting/Finance
  • Familiar with Product and Financial audits
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Senior Audit Manager / Director Resume Examples & Samples

  • 7+ years of experience with a large public company
  • Energy/Utilities clientele experience
  • Experience with IFRS and Audit
31

Senior Audit Manager Resume Examples & Samples

  • 8 to 14 years of experience
  • Financial services experience
  • Strong application controls experience
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Senior Audit Manager Resume Examples & Samples

  • Bachelor's in accounting
  • 5+ years of experience providing attest services with a professional services firm and 2+ years of supervisory experience
  • Knowledge of U.S. Generally Accepted Accounting Principles (GAAP), U.S. Generally Accepted Auditing Standards (GAAS), and Public Company Oversight Board (PCAOB) auditing standards
  • Experience with audit (financial), financial statement preparation, and internal controls
  • Proficient with Microsoft Excel
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Senior Audit Manager Resume Examples & Samples

  • BA/BS or equivalent, preferably with a degree related to business, mathematics or statistics. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus, while a CAMS certification is a strong plus
  • Experience in a related role with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Greater than 8 years of experience in areas related to banking regulations, AML programs, local standards, and internal policies
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Senior Audit Manager St Albans Resume Examples & Samples

  • Have significant experience of leading clearance and Audit Committee meetings
  • Explain to staff members how their assignments contribute to meeting the objectives of the engagement/ project as well as their career development. Uses delegation and assumes the role of a mentor where appropriate
  • Provide excellent audit and business advice to a variety of clients
  • Have significant experience of executing complex audit engagements from start to finish and be used to working to tight deadlines and handling pressure
  • Have strong project management skills
  • Be highly motivated and driven to achieving goals
  • Be able to build and maintain strong relationships with new and established clients at board level
  • Report directly to a partner or director
  • Have strong report writing skills
  • Demonstrate strong leadership skills and be a role model to junior staff
  • Have the ability to convey complex audit and accounting issues to clients and teams in simple terms and to be able to provide appropriate technical solutions
  • Have highly developed listening and questioning technique
  • Other relevant competencies include financial reporting frameworks such as UK GAAP, IFRS and auditing frameworks such as UK ISAs
  • Amount of time office based: c.35%
  • Amount of time at client sites: c.65%
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Senior Audit Manager Resume Examples & Samples

  • Strong analytical, oral, and written communication skills with ability to identify, document, present and report issues
  • Proven ability to manage an assigned staff of direct reports to perform audits, support regulatory considerations, develop skillset and potential
  • Understand, apply, and educate audit staff to identify and assess risks, design controls, and implement audit methodology
  • Ability to develop, manage, coordinate and support audit materials for plan status, presentations, and regulatory interactions as necessary
  • Effectively communicate with management and applicable regulators in connection with the audit plan and strategic risk and control issues
  • Partner with client management as necessary (legal, compliance, risk units, and operations) to ensure all projects, processes, risks, controls have met regulatory and compliance standards
  • Bachelor’s Degree (e.g., accounting, finance, business or related fields). Individuals that have achieved advanced degree or professional credentials preferred (CPA, CIA, CRCM, or other relevant certification)
  • 8-15 years related audit, finance, accounting, compliance or operational risk management experience at a major banking organization or other financial institution, at least 3 years of staff management and performance development experience necessary
  • Positive attitude, strong work ethic and ability to manage multiple projects and meet timely deadlines
  • Practical experience in compliance, enterprise risk management activities, operational risk, audit, regulatory examination, finance or operations
  • Experience with banking, wealth management, retirement investment, and capital markets (institutional and retail), regulations are important to success. Familiarity with FRB and OCC guidelines are considered favorable
  • Experience interacting and presenting to regulatory examiners or familiarity with regulatory interaction a plus
  • Working level in project management and change management skills
  • Working level facilitation skills
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Senior Audit Manager Credit Risk Audit Resume Examples & Samples

  • Manage the planning of audits or assigned areas of low to medium complexity ensuring scope and extent of work is in accordance with the approved plan, timing and budget are reasonable, procedures are efficient, appropriate resources are assigned and risk understood
  • Identify emerging issues that may impact the audit plan
  • Develop and/or update Detailed Audit Programs (DAPs) as required
  • Execute assigned audit activities independently as a team member under the direction of the OIC on assignments with medium to high complexity and as OIC on audits of low to medium complexity
  • Evaluate the adequacy of system design and internal control framework in meeting business, operational and control objectives
  • Identify and assess materiality of control weaknesses ensuring facts are gathered and their full meaning is understood for low to medium complex projects as participant/OIC
  • Review audit findings from other participants for presentation to line management
  • Follow up on assigned issues in the Issue Tracking Database for timely resolution
  • Prepare Matters Requiring Attention and audit findings, which clearly report the extent, cost and risk of error, including the impact of those issues on achievement of control objectives, operations processing, financial reporting and regulatory compliance
  • When OIC, review/edit reporting from team members and summarize issues in a draft audit report for review by the assignment supervisor/VP on a timely basis
  • When OIC, conduct regular team meetings during assignments
  • Internal/External Communication
  • Special Projects
  • Conduct special investigations and perform due diligence activities as assigned
  • Thorough knowledge of MS Word, Excel and audit software tools
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Senior Audit Manager Resume Examples & Samples

  • 8+ years of Internal or External Audit experience related to banking regulations, AML programs, local standards, and internal policies
  • Anti Money Laundering expertise
  • Previous experience Audit (Operational) and Compliance
  • Solid Project Management
  • Risk Assessment and Sanctions experience
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Senior Audit Manager Resume Examples & Samples

  • Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with
  • Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
  • Specific subject matter expertise and a solid business understanding of project management disciplines and a strong understanding of financial products, especially those associated with the Consumer and/or Institutional businesses
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Senior Audit Manager Resume Examples & Samples

  • Manages a complex and critical unit within Internal Audit, including a medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer and Investment Banking, project/program management, regulatory compliance
  • Reviews and approves Business Monitoring Plan and Quarterly Summaries, and Entity Risk Assessments
  • Specific subject matter expertise regarding risk administration control disciplines and solid understanding of Risk Management concepts, especially those associated with Integrated Risk Management framework
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Senior Audit Manager, Anti-money Laundering Resume Examples & Samples

  • Proactively identify changing industry trends, regulatory expectations, line of business strategies, tactics, risk and initiatives continuously following the appropriate audit and investigative services with the appropriate focus
  • Accountable for the planning, execution and technical quality of audits conducted by the Anti-Money Laundering audit team within an assigned portfolio of audit clients. This includes
  • Candidate must have at least 7 years or more work experience in audit and/or relevant business experience within Anti-Money Laundering/
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Senior Audit Manager Technology Resume Examples & Samples

  • The jobholder must possess strong management skills and diplomacy to be effective in sensitive situations
  • Must have proven ability to balance firmness and tact to manage potentially difficult situations
  • The jobholder must keep up-to-date with changes in the financial services industry, and in the HSBC Group
  • This position requires travel up to 25%
  • The job holder is normally assigned as team leader for audits. Assignments are set by Senior Vice President and Regional Head of Services and Functions Audit (SVP) but the jobholder is primarily responsible for the scope, approach and successful management of the audit. Guidance is contained in the Group Audit Standards Manual, Desk Instruction Manual, APGs, ARAs and various Group BIMs & FIMs, but the job holder must rely on his expertise to balance resource maximization against effective risk coverage
  • The job holder is required to discuss audit findings and formulate solutions with senior management both on-site and centrally within the audit function
  • They must be able to give effective evaluations of operational performance and risk assessment to senior management within the audit function and wider business
  • Minimum of ten years proven and progressive audit, business, and/or accounting experience or equivalent
  • Minimum of a bachelor's degree in business, accounting, finance, related field or equivalent experience
  • Professional certification (s ) preferred
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Senior Audit Manager, Projects Resume Examples & Samples

  • Manage risk-based project audit assignments to determine the effectiveness of internal controls over project management processes
  • Ensure that the audit jobs maintain thorough and high quality results and are managed in accordance with audit plans and within job budgets
  • Ensure that audit work is properly documented and is completed timely to meet divisional standards
  • In the role of Audit in Charge (AIC), manage audit teams from different specializations and ensure that the work carried out by the team meets divisional standards
  • Play a significant role in identifying opportunities for internal control enhancement in CIBC and in migration of best practices throughout CIBC
  • Follow up outstanding audit deficiencies for timely completion of management’s action plans
  • Assist Senior Director of the Project Management audit team in meeting the team’s targets and deliverables and in enhancing its productivity
  • Keep abreast of current developments and emerging issues within CIBC, the industry and area of project management
  • Provide advice to management on designing, implementing and enhancing internal controls in the areas of project management in CIBC
  • Provide value-added consultative advice to project managers and management. Assist in managing projects within IA
  • Ensure compliance with applicable laws, regulations, legislation, and Bank policies, standards, and procedures
  • The business knowledge and experience required for this position is aligned to an individual who has 5 to 10 years of experience with auditing in the financial services sector with a focus on Technology and Project Management and the related regulatory environment
  • Thorough knowledge of auditing practices, processes, standards, techniques, procedures and principles sufficient to interpret complex concepts, apply them and explain them to others
  • Thorough knowledge of banking operations with extensive background and experience in project management and delivery
  • Extensive working knowledge of CIBC operations sufficient to apply, adapt and develop complex auditing practices and processes related to administrative/operational activities
  • Undergraduate degree combined with an auditing or accounting designation (CA, CPA, CIA, CMA, CGA) or a post-graduate business degree (MBA) is preferred
  • Solid relationship management and negotiation skills with the ability to influence others when there are differences of opinion. There is the need to negotiate mutually satisfactory compromises regarding audit deficiencies with executive level clients
  • The ability to strike a balance between business needs and risk management and provide workable solutions to problems
  • Strong leadership and people management skills for motivating, directing and coaching multi-disciplined team members to generate high quality work
  • Work with other Audit Leaders/Portfolio Leaders to consistently evaluate individual performance and recommend divisional promotions as appropriate
  • Strong presentation/interactive skills sufficient to convey complex conceptual information/ideas on issues requiring extensive interpretation and opinion
  • Well-developed writing skills sufficient to prepare interpretative, analytical and creative materials involving precise articulation of ideas and opinions
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Public Accounting Audit Manager & Senior Audit Manager Phoenix Resume Examples & Samples

  • Perform risk assessment by gaining an understanding of and documenting the respective business processes of the financial and operational environments
  • Evaluate control effectiveness through transaction testing; and perform substantive audit procedures; and identify misstatements/errors in account balances/processes
  • Develop audit plan, programs, reports, and presentations for each engagement
  • Review staff work papers and provide feedback timely
  • Prepare accurate, effective, well-written audit reports for management review
  • Continually revise risk assessment build outs and audit programs/approach based upon experiences and recommendations for improvement/enhance efficiency
  • Identify ways to use technology to improve the audit efficiency and scope/coverage
  • Establish contacts and strengthen relationships throughout client organization (both financial and operational areas) and learn about client concerns and needs
  • Proactively develop staff through meaningful on-the-job training (e.g. direct, delegate, challenge, and provide meaningful feedback) and prepare evaluations
  • Create a work environment for effective teamwork and continue to understand and value differences amount team members
  • Develop personal training/development plan to remain current on industry trends, technical pronouncements, etc. and identify training needs among the staff
  • B.S. in Accounting or any undergraduate major with an MBA degree
  • 4+ years of audit experience (Manager) and 7+ years experience (Sr. Manager)
  • CPA is required
  • Audit experience should consist of "Big 4" (preferred), large, regional firm, or Internal Audit/Industry
  • Experience with SAP environment is a plus
44

Senior Audit Manager Resume Examples & Samples

  • Knowledge of Sarbanes-Oxley (SOX)
  • Financial Modeling and Business Valuation skills
  • Proficient in Accounting / Financial Reporting knowledge
45

Senior Audit Manager, Audit Analytics Resume Examples & Samples

  • Directs complex audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan
  • Applies a strong understanding of Institutional Clients Group (i.e., Capital Markets, Treasury and Trade Services, Securities and Funds Services, Private Banking) business processes, risks and controls to identify opportunities to enhance audit efficiencies and effectiveness through the development and delivery of automated processes
  • Develop strong professional relationships with Institutional Clients Group product and technology audit teams to assist in the definition of audit analytics opportunities for assigned audits and business monitoring activities
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Citigroup businesses and processes
  • Strong knowledge of the Institutional Clients Group (i.e., Capital Markets, Treasury and Trade Services, Securities and Funds Services, Private Banking) businesses. Specific knowledge in Capital Markets products (i.e. Equities, FX, Commodities, etc.) is desirable
  • Extensive years of business / audit experience in providing automated solutions to business needs in a Financial Services environment
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Senior Audit Manager Resume Examples & Samples

  • Provide leadership in maintaining and enhancing the Infrastructure Audit team
  • Provide leadership and develop strategies for the planning, execution and reporting of audit assignments in Infrastructure audits
  • Maintain and enhance professional relationships with clients, stakeholders, external auditors and Regulators in Canada and other countries
  • Manage a Technology Infrastructure Audit portfolio aligned with our Technology Infrastructure Clients. This includes client relationship responsibilities, contributing to the 5 year audit planning, managing and executing the annual audit plan
  • Comprehensive knowledge and advanced understanding of audit methodologies and best practices in the industry and strong experience in infrastructure auditing
  • Two years experience as a Senior Technology Infrastructure Auditor
  • Certification such as CISA, CISSP, CSM, SANS, CIA and PMP is a definite asset
  • In-depth knowledge of COBIT, ITIL, ISO Standards
  • Seasoned experience and extensive knowledge in people management and team building with leading by example
  • Well-developed expertise in infrastructure within the banking/financial services industry, as well as sound knowledge of CIBC business processes, products and services to customers
  • Strong capabilities in maintaining professional relationships with client Executives, stakeholders and regulators
  • In-depth understanding of regulatory requirements as they relate to the technology in financial services industry
  • Well-developed analytical and problem solving skills sufficient to interpret and analyze highly technical, complex information in business context
  • Excellent verbal and written communication skills, including presentations and interaction with management at all levels. Ability to convey complex conceptual information/ideas on issues requiring extensive interpretation and opinion. Experience in applying appropriate discretion when dealing with sensitive issues
  • Proven ability in managing multiple audits, projects and initiatives simultaneously under tight deadlines
  • Other Technical Vendor Certifications is a definite asset
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Senior Audit Manager, Markets Operations Resume Examples & Samples

  • In co-ordination with the ICG Operations Internal Audit Head develop and execute the annual, risk-based, EMEA ICG Operations audit plan based on the combined evaluation of factors including risk assessment scoring / analysis and other relevant considerations
  • Lead and manage the Audit Team in the execution of complex risk based audits, meeting committed delivery dates as set out in the annual plan
  • Maintain a dynamic audit universe of comprehensive audit entities properly linked to ICG Operations audit universe ensuring “end to end” ICG coverage supported by risk assessments updated on a quarterly basis
  • Accountable for the execution and reporting of audits performed by the team through pro-active engagement with stakeholders in accordance with Internal Audit methodology
  • Ensure that potential issues are raised promptly and collaboratively to Internal Audit and business management with a view to identifying the most viable, pragmatic and sustainable conclusion to mitigate the risk
  • Oversee the production of well-written reports, in accordance with methodology, requiring minimal editing
  • Develop and manage effective senior operations management relationships providing all stakeholders with insight, opinions and practical solutions to improve the control culture together with soliciting input for quarterly risk assessment refreshes and other relevant Internal Audit considerations
  • Ensure attendance at all appropriate governance meetings to provide Internal Audit perspective and ensure appropriate understanding of emerging business and regulatory issues
  • Extensive experience auditing in a financial services environment with specific focus on cash securities, asset servicing/income processing, loans, ETD/OTC derivatives and FX
  • Excellent knowledge of FCA and other EMEA regulatory reporting requirements impacting Operations
  • Extensive experience across relevant EMEA and other jurisdictions
  • Possess data analysis and/or technical skills to analyze data utilizing automated tools and identify problems and emerging themes/issues
  • Excellent interpersonal, judgement and decision making skills
  • Demonstrable relationship building and management skills at a senior level
  • Excellent organizational skills and demonstrable experience of working proactively
  • Demonstrable experience of effective leadership and management of teams both in the same location and remotely
  • Demonstrable ability to identify, understand and explain complex business issues associated with capital markets operations
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Senior Audit Manager, Ia Icg Business Manager Resume Examples & Samples

  • Contributes to Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
  • Helps to direct audit activities supporting a sub set of a product line, function, or legal entity at the global or regional level, in accordance with IA standards, Citi policies, and local regulations. Responsible for providing valued and timely independent assurance on the design and operating effectiveness of a sub set of a product, function, or legal entity at a global or regional level
  • Responsible for the co-ordination of entity structure development, risk assessment and planning across the ICG audit team
  • Supports the stat reporting of plan status across ICG and works with product and ICG Chief Auditors to identify and resolve barriers to execution
  • Oversee the fulfilment of the ICG OD and facilitates the recruit of staff and development of talent across teams and geographies within the ICG IA team
  • Actively supports and drives management’s efforts for Citi to have a “Strong” internal audit function
  • Promptly accepts and remediates deficiencies found by QA
  • Specific subject matter expertise regarding investment banking business and regulatory compliance
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Senior Audit Manager, Wealth Management Resume Examples & Samples

  • Contribute to developing the Division’s risk-focused annual audit plan by identifying the business planning needs, assigned resources, and relevant budgets, to provide required coverage for assigned client(s). The plan may cut across CIBC's business lines and processes, and will include interdependencies so that an end-to-end perspective of the business will be considered
  • Plan and manage execution of audit assignments of large or complex businesses reflecting assessment of audit risk to support the Division's annual audit plan
  • Scope and plan audit activities on a risk basis, and assess the extent of verification of key management and transaction controls to provide reasonable assurance of the effectiveness of design and operations of such controls
  • Individually, or in conjunction with other team members, identify and fully understand the information technology functions that support key business processes and their inherent risk, the control environment, both at the management or
50

IA Senior Audit Manager Resume Examples & Samples

  • Working with the Lead Auditor for Market Risk in Asia, the individual will take part in the execution of elements of complex risk based audits as set out in the annual plan
  • Act as Audit Controller for Market Risk based audits in Asia as set out in the annual plan
  • Assist business audit teams in the auditing and monitoring of market risks in Asia region
  • Develop and maintain effective relationships with key Risk managers and staff as well as local business and supporting contacts
  • Working with the Lead Auditor, develop training on market risk to share with Internal Audit team
  • Master degree preferred but not required
  • Professional qualification (Finance, Risk Management or similar professional Audit qualification)
  • Experience as a Market Risk Manager at a major financial institution is preferred
  • Experience in auditing financial services organizations or relevant market risk management experience in products offered is required
  • Knowledge of model risks including quantitative skills in understanding model validations
  • Ability to speak and read and write Mandarin strongly preferred
  • Possess data analysis and/or technical skills to analyze data utilizing automated tools and help identify problems would be an advantage
  • Knowledge of MS Office functions with advanced Excel, Access & Viseo skills to perform data analysis/test automated controls
  • Knowledge of audit software (IDEA, ACL, and SQL) is also beneficial
51

Senior Audit Manager Resume Examples & Samples

  • Completes risk assessments in conformance with department standards, generally in complex areas. Presents work objectives and results focusing on impact of control deficiencies
  • Supervises and leads assigned projects. Provides indirect leadership to peers and others as needed in the work assigned. Manages the scope, schedule and deliverables of assigned work. Recommends changes to Risk & Control Services plan to ensure activities are focused on risk areas and provide value to stakeholders
  • 5-7+ years in public accounting, internal audit or related financial services field
  • Experience leading multiple projects
  • Solid knowledge and proper application of control and audit theory
  • Certifications: CIA, CPA, CFSA
52

Senior Audit Manager TTS Western Europe Resume Examples & Samples

  • Ensure appropriate delivery against the agreed audit plan for TTS in EMEA / Western Europe. The audit plan will ensure a complete description of the planned coverage, both of in-country audit work and, and also the coverage of activities outside the country on which the country relies
  • Develops effective senior line management relationships and has a strong understanding of the businesses. Applies an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach
  • Keeps abreast of new laws, rules, products, technologies and applications and considers implications for the business and audit universe and plan
  • Relevant experience auditing banks with comprehensive knowledge of Transaction Banking, in particular cash management and trade services and finance products
  • Possess strong data analysis and/or technical skills to analyze complex business data utilizing automated tools and help identify problems would be an advantage. Demonstrable knowledge of advanced Excel and Access functions to perform data analysis/test automated controls
  • Strong communication skills both verbal and written and ability to interact confidently with internal clients, external Auditors and Regulators
53

Senior Audit Manager Resume Examples & Samples

  • Responsible for planning and executing complex portions of the Risk & Control Services plan including audit activities and SOX/MAR compliance activities. Completes risk assessments in conformance with department standards, generally in complex areas. Presents work objectives and results focusing on impact of control deficiencies
  • Recommends changes to Risk & Control Services processes and methodologies as appropriate
  • 5+ years of experience in asset management related functions including front office, middle and back office or investment accounting
54

Senior Audit Manager Resume Examples & Samples

  • Vulnerability and Patch Management, Threat Intelligence and Information Sharing, Secure Application Development, Intrusion Detection and Incident Response, Security Logging and Monitoring and Analytics
  • Identity Management Systems and Access Control
  • Encryption and Data Protection
  • Data Leakage Prevention, Digital Rights Management
  • You will have strong technical aptitude, are a quick learner and capable of identifying critical IT controls and evaluating processes across a wide range of IT technologies used in a complex global environment and be a concise communicator of risk, are diligent in fully understanding the extent and impact of control deficiencies and are able to concisely communicate these conclusions both verbally and in writing. You are data analytics driven as well as being a strong relationship manager, having excellent influencing and communication skills and are a personable team player comfortable working in a diverse global team
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Senior Audit Manager Resume Examples & Samples

  • Plan and manage execution of audit assignments of large or highly complex businesses reflecting assessment of audit risk to support the Division's annual audit plan
  • Identify and fully understand the key business processes and their inherent risk, the control environment, both at the management or operational levels, and the potential residual risks
  • Individually, or in conjunction with other team members, identify and fully understand the information technology functions that support key business processes and their inherent risk, the control environment, both at the management or operational levels, and the potential residual risks
  • Obtain agreement from Divisional management and the client(s) of the proposed audit coverage. Schedule audit assignments, and identify audit skills required to achieve deliverables
  • Manage the assignment and the work of the team against the audit plan and budget, to meet audit deliverables. Provide direction to team members, and ensure that professional judgment is exercised at all times
  • Ensure the assignment is completed in an efficient and effective manner, and on schedule. Review audit working papers to ensure high quality, and that the documentation meets both Division’s and professional standards, and adequately supports the audit conclusion
  • Drive the reporting component of the audit
  • Identify significant business control weaknesses, and objectively assess the severity and materiality of the issues and their potential impact on the business and to the CIBC Group of Companies
  • Present observations to the client that are clear, concise, professional and timely in accordance with IA&CS standards
  • Discuss and obtain client agreement on the severity of the weaknesses identified, and the materiality of the unmanaged risk(s)
  • Work with business management to develop action plans, and ensure recommendations provide realistic and workable solutions, either being adopted elsewhere within CIBC or in the industry, to mitigate the risk and exposure in the long term. This may involve adapting approaches or best practices used elsewhere in CIBC or the banking industry
  • Obtain business management's commitment to corrective action, and assure that action plans and time frames are clearly articulated. Promptly escalate non-agreement to Audit management
  • Identify and document trends for senior management attention from audit findings
  • Prepare draft audit reports in accordance with IA standards for review and discussion with Audit management, per IA policy
  • Co-ordinate upward escalation of issues to IA colleagues that may be affected by the gap
  • Multi-tasking is required from time to time and therefore effective time management and balancing of priorities are required
  • Maintain on-going relationships with client(s) to ensure implementation of recommendations and changes, and to keep abreast of changes to the business
  • Prepare monthly consolidated audit reports for specific areas of expertise, and participate in quarterly divisional reporting to CIBC's senior management and executives
  • Advise client line management, senior or executive management on the design and implementation of internal controls at the business process or managerial level. This advice contributes to the strategic or tactical planning within a given business line
  • Participate in the enhancement of existing audit guidelines/programs/services by researching opportunities/audit tools and subsequently evaluating the change process; identify potential revisions
  • Update status and follow up on observations arising from audits managed. Identify observations that require Audit Executive attention and escalation due to management not meeting their action plans. Update status on the Audit Exception Database
  • Comprehensive knowledge of auditing practices and accounting principles and processes, and strong knowledge of treasury/trading products, middle office processes and/or finance methodologies. Typically this knowledge is acquired through obtaining a business degree (e.g., M.B.A.), auditing or accounting designations (e.g., CA, CMA, CGA, CFA, CPA, FRM, PRM or the equivalent business experience. Project management skills are preferred
  • Detailed working knowledge of several areas of external industry activity relating to own area of auditing sufficient to keep current with changes originating from government(s), regulators, the financial services industry and the market. Must update knowledge regularly to keep pace with developments because many factors pertaining to the job change frequently
  • Comprehensive knowledge of CIBC's operating policies, standards, practices, processes, systems and regulations would be a considerable asset
  • Client focused. Strong skills in relationship management and interpersonal skills, particularly ability to resolve conflicts in a professional and tactful manner. Well-developed influencing skills sufficient to resolve situations when there can be distinct differences of opinion between the client and the auditor
  • Well-developed verbal and written communication skills sufficient to prepare and communicate audit reports dealing with facts and concepts for presentation to client executives and external auditors. In particular, the ability to speak and write idiomatic and grammatically correct English is a prerequisite for this position
  • Skill in clearly and concisely documenting and process mapping of systems, processes, and procedures is required
  • Ability to gather, synthesize, organize and interpret data or information, and formulate appropriate conclusions and insights is necessary
  • ACL skills would be an asset
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Senior Audit Manager Resume Examples & Samples

  • Provide direction in the establishment of risk-focused auditing and reporting methodologies, which are consistent and aligned with business objectives, Global audit standards and local regulatory requirements
  • Ensure compliance with all regulations applicable to all the legal entities in Costa Rica
  • Perform an assessment of the effectiveness and adequacy of the Internal Control System in the Costa Rica
  • Assess the transaction processing controls, ensuring their accuracy and integrity
  • Prepare and present a summary of the activities conducted by the Internal Audit Unit to the Regional / local Management Committees
  • Deliver the Costa Rica audit plan (risk based, risk based with requirements and branch audits) to the time commitments and ensure quality in the work performed and reports produced
  • Ensure the Costa Rica CCO and his Management team supporting the CR business, all receive prompt, timing and complete information relating to the activities of Internal Audit
  • Ensure the governance, risk management and control concerns of country management and jurisdictional management are considered in the planning, and plan updates, and that Internal Audit provides suitable, prompt assurance in respect of the areas of concern identified
  • Maintain an appropriate, pro-active, constructive, solutions-driven relationship as the independent auditor for the CR with the CR Citi Country Officer (CCO)
  • Ensure appropriate delivery against the agreed audit plan for the Costa Rica business and operations
  • Ensure adoption and implementation of the Internal Audit Transformation program for all teams in CR
  • Ensure effective cost management and operation within budget for all Internal Audit activities within CR
  • Ensure adherence to all Citigroup policies and procedures for all Internal Audit activities within CR
  • Ensure Internal Audit staffing in accordance with commitments for Internal Audit staff in CR; ensure the suitability of staff, and ensure an appropriate succession plan is in place
  • Ensure Internal Audit promptly identifies and escalates control issues raised by regulators in respect of the Citigroup activities in CR. Additionally, ensure that Internal Audit works constructively with management and Compliance to identify corrective action plans to remediate the governance, risk management or internal control issue, and that Internal Audit validates the issue promptly
  • Ensure prompt and informative communications for Internal Audit personnel working in or in respect of CR
  • Ensure adoption of the appropriate portions of the Citigroup Audit Committee Charter and the Internal Audit Charter for all legal entities for which there is a requirement to have audit committees in the countries in CR
  • Review, calibrate and approve audit results in CR
  • Review and approve for submission of Audit Committee and Business Review and Control Committees decks to the CCA Cluster Head
  • BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus. Master’s Degree is preferred
  • Senior level experience of diversified financial management experience, including experience in audit in the Latam Region. Additional international experience preferred
  • Proven ability in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Thorough knowledge of the ICG Markets operations and control systems as well as an understanding of best-in-class audit methodologies. He/She must be proficient in risk and control analysis and audit concepts for a number of products and specialized areas and will be skilled at analyzing root causes of problems and anticipating 'horizon' issues
  • Demonstrates experience in managing teams across multiple jurisdictions and managing integrated internal audit and assurance delivery within a matrix reporting environment
  • Good understanding of the regulatory framework and expectations from financial regulators in the South Cluster Region
  • Fluent communication skills in written and spoken Spanish and English
57

Senior Audit Manager Resume Examples & Samples

  • B.A./B.S. or equivalent
  • 7+ years of relevant work experience
  • Senior-level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Specific subject matter expertise regarding Capital Markets and Investment Banking technology coupled with application control disciplines
58

Senior Audit Manager Resume Examples & Samples

  • Analyzing and assessing IT risks (cyber security, data protection and confidentiality, technology change, technology reliability) assumed by the business
  • Monitoring the results, risk profile and developments within IT and provide input for planning sessions
  • Vulnerability and Patch Management
  • Threat Intelligence and Information Sharing
  • Secure Application Development
  • Intrusion Detection and Incident Response
  • Security Logging and Monitoring and Analytics
  • You have strong technical aptitude, are a quick learner and capable of identifying critical IT controls and evaluating processes across a wide range of IT technologies used in a complex global environment
  • You are a concise communicator of risk, are diligent in fully understanding the extent and impact of control deficiencies and are able to concisely communicate these conclusions both verbally and in writing
  • You are data analytics driven and are able to perform basic data analytics
  • You are a strong relationship manager, have excellent influencing and communication skills and are a personable team player comfortable working in a diverse global team
59

Senior Audit Manager Internal Audit Resume Examples & Samples

  • Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies,
  • Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting,
  • Directs complex audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan,
  • Applies in-depth level of expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams,
  • Manages a complex and critical unit within Internal Audit, including a medium sized team of Internal Audit professionals (recruits staff, develops talent, builds effective teams, and manages a budget),
  • Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management,
  • Leads the professional development of Internal Audit staff,
  • Develops effective senior line management relationships,
  • Applies an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach,
  • Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity,
  • Participates in major business initiatives and pro-actively advises and assists the business on change initiatives,
60

Senior Audit Manager Resume Examples & Samples

  • Balance sheet proofing
  • Independent price verification and Fair value adjustments
  • Experience managing teams and supporting personal development of team members
61

Senior Audit Manager, Capital Markets Resume Examples & Samples

  • Works with other Senior Audit Managers and Directors to manage a team of sixteen audit managers in the delivery of the highest quality internal audit services to our clients in the Capital Markets Line of Business
  • In conjunction with Directors and other Senior Audit Managers, ensure the on-going professional development of audit managers through a mentoring programme that includes the setting of measureable objectives, the development of roadmaps to achieve objectives, the provision of on-going informal feedback and the conducting of semi-annual and annual performance reviews
  • Accountable for the planning, execution and technical quality of audits conducted by the Capital Markets audit team within an assigned portfolio of audit clients. This includes
  • Candidate must have 7 years or more work experience in audit and/or relevant business experience within Capital Markets (front, middle or back offices)
  • Market risk experience and oversight
  • Preferred candidate will have a sound knowledge of both capital markets products and audit methodology. A university degree is required together with a formal professional qualifications in accounting, auditing, internal auditing or finance such as FRM, CFA, CA, CGA or CIA and/or relevant business experience within Capital Markets or Market Risk
  • Thorough understanding and significant experience in the implementation of a risk-based audit methodology using the COSO Framework is required, particularly with regard to
62

Senior Audit Manager Resume Examples & Samples

  • Leads the professional development of Internal Audit staff in the LATAM region
  • Maintain frequent interaction with ICG Senior Management across the region to identify strategic business initiatives, emerging risks, and thematic issues in the LATAM region
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of ICG products, especially those associated with the MSST and TTS business
63

Senior Audit Manager Resume Examples & Samples

  • 10-12 years of experience in financial services internal audit or related roles
  • Experience with integrated audits, electronic work papers and standard productivity tools
  • Strong academic and professional credentials
  • U.S. and/or global industry experience with broker-dealer, investment management, and/or bank functions
  • Specific knowledge of financial services regulations
64

Senior Audit Manager Resume Examples & Samples

  • Product experience / understanding of financial markets instruments and risk measures. Ideally this will include Interest Rates and Treasury Markets, but other relevant asset classes will also be highly advantageous
  • Experience of risk management and financial controls within an investment banking environment
  • Experience of either auditing or managing major change programmes/projects is essential
  • Ability to establish and operate effectively within agreed project budgets
  • Proven leadership skills and be good at developing relationships and interacting confidently at a senior level in the Group
65

Senior Audit Manager Resume Examples & Samples

  • CA Certification
  • Proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Specific subject matter expertise regarding technology application control disciplines and a strong business understanding of Interest Rate Exposure Monitoring and Management processes including governance frameworks, data management, rate forecasting, etc
66

Senior Audit Manager, Risk Management Resume Examples & Samples

  • Capital markets product knowledge strongly preferred, particularly in relation to risk management methodologies
  • An undergraduate/graduate degree in Finance, Business, or equivalent designations, CA, CPA or CIA
  • Comprehensive knowledge of auditing practices and accounting principles, processes, and standards would be an asset
  • Excellent interpersonal skills, and work well in a team environment with a proven ability to communicate effectively (both written and oral) to enable the precise articulation of complex ideas and concepts, in many situations with clients and executive who possess an in-depth knowledge of the subject matter
  • Demonstrated job commitment, personal flexibility and adaptability in order to meet demanding client and stakeholder expectations. Ability to work effectively in a deadline-oriented environment
  • Good working knowledge of PC applications (e.g. Microsoft Office Suite). Previous experience working with an automated working papers program, and specifically Teammate, would be a definite asset
67

Gf-senior Audit Manager Resume Examples & Samples

  • Work closely with the Audit Director, Internal Audit, Global Quality Assurance, Singapore and U.S. (QA Director) in fostering a strong QA partnership with the Chief Auditor for Singapore and U.S. and the product Chief Auditors across Global Internal Audit Function
  • Work under QA Director for Singapore and U.S. in partnering and relationship management building with the Chief Auditor for Singapore and U.S
  • Perform a variety of QA reviews across Internal Audit, Singapore and U.S
  • Liaise across the QA team to coordinate inputs from Global Function and Regional QA Partners whose Chief Auditor stakeholders may have assurance activity needs that impact Citigroup entities in Singapore and U.S
  • Facilitate pro-active interactions, including communication and clearance with Audit Owners and Chief Auditors during QA reviews, with minimal support from the QA Director for Singapore and U.S
  • Taking the lead globally for monitoring, reviewing and challenging any transformation and /or development initiatives
  • Conduct and at times lead regular scorecard reviews, share best practice and common pitfalls with relevant teams and support with the provision of focused training as and when needed
  • Complete reviews of Risk Assessments, Quarterly Plan Refresh papers, and Quarterly Business Monitoring outputs for Internal Audit, Singapore and U.S. Present results to the QA Director, Singapore and U.S. and relevant Chief Auditors and identify key thematic issues and findings for use globally
  • Share methodology best practice and common pitfalls with Internal Audit teams
  • Proactively identify development areas, training needs and develop and deliver required training sessions for Internal Audit teams and where invited, business stakeholders
  • As required take the lead in developing the key topics for QA Wide Monthly Forum
  • Candidates should have 8-10 years of diversified management experience, ideally including experience in audit or a related field
  • Audit experience of a large complex bank is a plus
  • Must be proficient in risk and control analysis and audit concepts for a full range of products and specialized areas and will be skilled at analyzing root causes of problems and anticipating ‘horizon’ issues
  • Candidates must have effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views
  • Strong presentation, relationship management and partnering skills are essential
  • Candidates must have effective persuasion skills, the ability to work effectively at the highest levels of the organization, and will display highly effective networking and influencing skills
  • Should be comfortable acting as an agent for positive change with agility and flexibility
  • The Quality Assurance SVP must be a strong, energetic individual with a proven track record in managing high-performance teams
  • Experience in Metric Stream is a plus
  • English language skills is a must
68

Senior Audit Manager Resume Examples & Samples

  • Seasoned professional who applies a solid understanding of internal audit standards, policies, and local regulations to provide timely audit assurance
  • Contributes to the development of improvements to audit processes
  • Applies a solid understanding of how internal audit collectively integrates with line management and control functions to accomplish the objectives of the function and overall business
  • Performs lead role interaction with Compliance Center of Excellence
  • Executes moderately complex risk based audits related to US consumer regulations with emphasis on mortgages in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions
  • Monitors key Mortgage Compliance industry trends and assesses the risks in the assigned business through the Business Monitoring process identifying control deficiencies and recommending appropriate solutions
  • Develops Business Monitoring Plans, and reviews and approves Business Monitoring Quarterly Summaries of Mortgage Compliance entities
  • Manages the professional development of Internal Audit staff
  • Serves as Controller or Lead Manager for audits
  • BS/BA degree or equivalent combination of education/experience. Related certifications (CPA, CIA, CRCM or similar) are a plus
  • Greater than 10 years of experience in areas related to mortgage products, banking regulations, Compliance programs, local standards, and internal policies
  • Senior level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables
  • Demonstrates experience in managing teams and managing integrated internal audit and assurance delivery
69

Ia-senior Audit Manager Resume Examples & Samples

  • Directs complex audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the Audit Plan
  • Proactively advances integrated auditing concepts and use of technology; closely follows latest trends in own field and adapts them for application within own job and the business
  • Manages a complex and critical unit within Internal Audit including a medium-sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams and manages a budget; possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including consumer banking, regulatory compliance, technology management, project/program management and supplier management
  • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners; may negotiate internally often at higher levels on matters which will have a major impact on the area managed
  • Possesses strong project management and interpersonal skills, makes sound decisions, exhibits initiative and intuitive thinking; consulted often by others for advice and opinions and recognized as a leadership role model
  • Serves as lead reviewer for all types of reviews including the most complex
  • BA/BS or equivalent; related certifications (CPA, CFE, ACA, CFA, CIA, CISA or similar) are a plus
  • Advanced level experience in a related role with extensive experience in business, functional and people management with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables
  • Specifically this will cover the core businesses Capital Markets Origination, Corporate & Investment Banking, Markets, Treasury & Trade Solutions, Securities & Fund Services and the Citi Private Bank
70

Senior Audit Manager IT Infrastructure Resume Examples & Samples

  • Plan and lead collaborative risk-based IT audits of moderate to high complexity and conclude whether risks are appropriately managed through the existence of effective control or other techniques
  • For those audits where the auditor assumes a supervisory role, the auditor is expected to develop a comprehensive audit plan clearly outlining the objective, scope, deliverables, approach, resourcing and schedule. Planning must also consider Fraud Risk scenarios as per PCAOB guidelines
  • For those audits where the auditor assumes a non-supervisory role, the expectation is the incumbent will develop a plan that ensures assigned audit work will be completed within the defined scope, objectives and schedule of the audit
  • Develop an understanding of business, project or application / deliverable risks and processes and incorporate into the audit plan
  • Prepare and present effective presentations to auditees at audit opening and closing meetings as a means of communicating and gaining auditee agreement and understanding of audit plans and audit results
  • Prepare and discuss audit findings with auditee senior management; identifying significant issues in a business context, working with auditees to identify and recommend feasible solutions
  • Experience in collaborative risk based audit processes and methodologies and demonstrated ability to apply knowledge and skills
  • Ability to exercise sound professional judgement in the assessment of risks with a sound understanding of IT infrastructure systems including: z/OS, Tandem, iSeries, AIX, Windows/Active Directory, VMware, Citrix, Storage Systems, Oracle, Sybase, etc., including technical implications to the business
71

Senior Audit Manager Resume Examples & Samples

  • Senior-level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables
  • Solid project management and organizational skills
  • Solid business understanding of Finance matters, especially those associated with the Banking business
  • Demonstrated experience in influencing people and working within a matrix reporting environment
  • Effective negotiation skills, a proactive and 'no surprises' approach
72

Senior Audit Manager Resume Examples & Samples

  • Acting as a compliance expert within the C&ORC Audit team, especially in relation to client related business conduct and market conduct
  • Developing a forward-looking view of governance, compliance and operational risks across the firm and provide high quality input into the annual planning and continuous risk assessment processes
  • Driving the audit coverage for the aforementioned areas. In related audits your role will be either: Responsible Auditor, team member or subject matter expert, depending on the audit. You will also have the opportunity to work on audits across the broader Risk & HR Audit team, such as Legal, HR, and Credit or Market risk. In these audits, you will identify and evaluate the effectiveness of controls designed to address those risks, provide practical, innovative, and value-added solutions to issues identified, and prepare reports of audit findings for UBS senior management at local, global, functional and Group levels
  • Developing and maintaining relationships with senior management in C& ORC
  • You have gained strong experience in audit or internal control function areas within the financial industry
  • You have in-depth experience of compliance, conduct, and operational risks
  • You have an in-depth knowledge of the global regulatory environment, especially in relation to market conduct, fraud prevention, and client related business conduct
  • You are experienced in building relationships with senior management
  • You are a flexible and committed team player, experienced in executing global audits, and willing to travel to other UBS locations for audit assignments when necessary
73

Senior Audit Manager Resume Examples & Samples

  • 3+ years of experience providing Audit and attest services in a CPA firm
  • Manufacturing and distribution experience with demonstrated Technical expertise in this industry
  • Experience leading Employee Benefit Plan audits
  • Previous experience with Financial Statement Preparation, GAAP, GAAS, and Internal Controls
74

Senior Audit Manager Audit Global Banking & Markets Resume Examples & Samples

  • Reviewing adequacy of various methodologies including Structural Interest Rate Risks, Liquidity measurement and Valuations
  • Work with auditors in the group in order to perform end to end business line reviews, as directed by the Director / V.P. GBM Audit
  • Good knowledge of complex capital markets products, trading and treasury risk management techniques including trading practices and front office controls. Prior trading or risk management (business line) experience will be an asset
  • Good knowledge about regulatory requirements impacting trading activities
  • Prior auditing experience with respect to trading and treasury activities especially exposure in terms of working with traders and risk management personnel would be an asset. Require a good understanding of the current market developments relating to treasury and trading activities
75

Senior Audit Manager Global Banking & Markets \ Group Treasury Resume Examples & Samples

  • Reviewing effectiveness of controls for managing risks in trading and treasury activities
  • Reviewing effectiveness of risk management controls, measurement techniques, limits and reporting based on a detailed understanding of the trading strategies and products
  • Ensuring department standards are met on all assignments, work with auditors in the group in order to perform end to end business line reviews, as directed by the Director / V.P. GBM/GT Audit
  • Solid understanding of complex capital markets products, trading and treasury risk management techniques including trading practices and front office controls. Prior trading or risk management (business line) experience will be an asset
  • Coding skills in R, Python and/or Matlab, as well as data manipulation in SQL
  • Knowledge of regulatory requirements impacting trading and treasury activities
  • Prior auditing experience in trading and treasury activities especially exposure in terms of working with traders and risk management personnel would be an asset. Require an understanding of the current market developments relating to treasury and trading activities
76

Audit Manager / Senior Audit Manager Resume Examples & Samples

  • 5+ years of recent or current CPA firm experience
  • Experience servicing Nonprofit clients
  • Previous experience with Audit (Financial), GAAP, and GAAS
77

Senior Audit Manager Resume Examples & Samples

  • Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate), branch examinations, as well as business monitoring and governance committee reporting
  • BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA, CRCM or similar) are a plus
  • Senior level (10+ years) experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Specific subject matter expertise regarding consumer regulatory requirements and a solid business understanding of consumer banking products and services, especially those associated with the Retail, Unsecured Lending, Mortgage and Credit Cards businesses
78

Senior Audit Manager Resume Examples & Samples

  • Leading (as in-charge auditor) or supporting various regular audits, ad-hoc audits or special audit investigations
  • Contributing to the completion of the overall audit process, including development of appropriate audit programs, ongoing client communication, execution of the audit tests, documentation, and reporting of the audit test results
  • Identifying and recommending key controls and safeguards that help improvements or enhancements of policies procedures, and or processes throughout the organization
  • Preparing and presenting audit findings and recommendations to management
  • Being a subject matter expert in supporting other audit groups in certain quantitative aspects when required
79

Ia-senior Audit Manager Resume Examples & Samples

  • Regulatory reporting
  • Proactively advances integrated auditing concepts and use of technology; Closely follows latest trends in own field and adapts them for application within own job and the business
  • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners; May negotiate internally often at higher levels on matters which will have a major impact on the area managed
  • Keep abreast of the markets and how that impact the PnL of the businesses
80

Senior Audit Manager Resume Examples & Samples

  • Strategically assess the audit plan, oversee the execution of the plan and align resources appropriately to provide risk based audit coverage
  • Work with Audit Managers in the early identification of emerging control issues and unresolved audit or regulatory issues and report them timely to senior business and audit management
  • Motivate a staff of audit professionals in various locations and guide the audit managers in developing the individuals and the team
  • Provide constructive, direct, accurate and timely performance feedback and development coaching to this team and others across the AM Audit team
  • Work with Audit management to maintain close and effective relationships with regulators and PwC
  • Partner with business management and other control groups (i.e. risk management, compliance) establishing strong working relationships while maintaining independence
  • Partner with the other groups in the AM Audit team and the Audit department to ensure the delivery of a seamless program of audit coverage across all lines of business and corporate functions
  • As a member of the AM Audit Management Team and the JPMC Extended Audit Management Team, foster a climate and culture that encourages integrity, respect, diversity, excellence and innovation
  • At least 15 years audit, risk management, or relevant line of business experience, preferably strong knowledge of private banking and investment management products and services
  • Minimum Bachelor's degree in Accounting, Finance, or a related discipline
  • CFA, CPA or MBA preferred
  • Knowledge of applicable laws and regulations impacting global private banking businesses (investment management, brokerage, banking and lending, trust and estates). Detailed knowledge of CFR12 Part 9, Investment Advisors Act, ERISA and IRA requirements, as well as consumer lending and banking regulations preferred
  • Demonstrated understanding of internal control concepts and strong analytical skills
  • Excellent verbal and written communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
  • Enthusiastic, self-motivated, effective under pressure, and willing to take personal risk, responsibility and accountability
  • Works well individually and in teams, shares information, supports colleagues and encourages participation
  • Demonstrated leader with strong management skills and ability to cultivate a strong team work environment
  • Flexibility to travel as required
81

Senior VP / Senior Audit Manager Resume Examples & Samples

  • 7+ years of relevant experience
  • Experience in Business, Functional and People Management
  • Expertise regarding technology application control disciplines and a solid business understanding of Corporate Functions products
82

Director / Senior Audit Manager Resume Examples & Samples

  • 15+ years of Internal Audit or Public accounting experience out of Financial Services
  • Experience with derivatives, FX and swaps
  • Solid understanding of Dodd Frank, Volcker Rule and other relevant regulatory requirements major
  • Ability to delegate responsibilities
83

Director / Senior Audit Manager Resume Examples & Samples

  • Financial and regulatory reporting
  • Taxation
  • Corporate Communications
  • Financial Operations (A/P, Procurement, Payroll, Contracts Management)
  • 15+ years of related experience, including experience with large, complex financial institutions
  • Significant audit experience with various Corporate Functions activities
  • Critical thinking, analytical, and project management skills
84

Senior Audit Manager Resume Examples & Samples

  • The IT processes supporting business objectives and maintaining the safety and soundness of the Bank
  • Reliance on third party service providers. Systems development life cycle
  • Audit Execution - Execute and manage assigned activities independently in accordance with the Department Standards ensuring the nature and extent of testing is appropriate to support the audit opinion. Evaluate the adequacy of system design and internal control framework in meeting business, operational and control objectives. Ensure that the incumbent and the audit team executes the audit plan to meet the audit objectives within the budgeted time. Also complete review of workpaper files to meet Internal Audit Quality control standards. Determine the efficiency, effectiveness, integrity and reliability of internal controls in relation to defined control requirements by conducting the audit of assigned processes/units/projects.Work with Director and VP in ensuring appropriate audit coverage and minimize duplicate audit efforts between internal and external auditors
  • IT Audit (internal or external) experience, preferably in a financial institution setting, or direct experience in a relevant IT environment
  • Expert knowledge and skill sets in data governance, application controls, systems development, outsourcing and IT infrastructure, gained through a combination of advanced education and work experience in a technical capacity
85

Director / Senior Audit Manager Resume Examples & Samples

  • 15+ years of related experience in Public Accounting
  • Previous Banking / Financial services experience
  • Knowledge of and experience working with BSA / AML and OFAC (Office of Foreign Assets Control) requirements
  • Solid critical thinking, analytical, and project management skills
  • AML-related certification (CAMS, AMLP, CRCM, CFE or other)
86

Senior Audit Manager, CIB Technology Resume Examples & Samples

  • Partner with Business Auditors to deliver the global Audit plan
  • Serve as a member of the business IB Technology Management Committee
  • Define and execute the annual IT audit plan
  • Oversee multiple audit engagements
  • Directly manager team of approximately 50 CIB Technology Auditors across multiple global locations
  • Establish strong relationships with senior CIB leaders and related control groups
  • Set aggressive standards for efficient management of resources, schedules and budgets
  • Provide direction to the team regarding audit scope and execution
  • Drive plan creation and changes based on changing business and technology risk profiles
  • Combine knowledge of CIB and firm wide Technology activities to recommend best practice solutions to complex issues
  • Managing relationships with the regulators
  • Experienced senior IT professional with a proven Financial Services track record, with more than 15 years experience in combinations of successful application development, technology operations management or technology audit
  • Demonstrated experience managing large global teams with matrix reporting relationships
  • Demonstrated extensive, practical, working knowledge of the development lifecycle and project and program management concepts and controls
  • Demonstrated ability and success in interacting and influencing senior leadership on areas and strategies concerning the selection and deployment of technologies
  • Current working knowledge of and actual experience with the management, development and/or provisioning of commercial internet-based services, products, vendors and toolsets
  • Comprehensive experience in operating systems, e.g., Unix, OS/400, AIX, etc
  • Demonstrated solid understanding of internal control concepts, Sarbanes Oxley requirements and strong analytical skills
  • Proficiency in risk analysis and audit report preparation
  • Enthusiastic, self motivated, effective under pressure and willing to take risk
  • Certified Information Systems Auditor accreditation preferred, but not essential
87

Senior Audit Manager, Operational Risk Resume Examples & Samples

  • Execute audits in full recognition of the risks of the client group which encompass the inherent risks, control risks and internal/external environment and regulatory risks. This may encompass individual audits and broad “end to end” audits of Enterprise level functions/processes
  • Support the Director in the development of audit reports which provide a fair and balanced assessment of management and control processes based upon critical assessment of the effectiveness of management and internal control processes. Such reports will be clear, concise and timely in their delivery, being seen by readers to be an objective assessment of management/control processes
  • When supervising staff direct staff in a manner consistent with the goals/objectives of the Division and the Enterprise, contributing to the Division’s culture
  • Continue to advance the capabilities of their staff
  • Effectively manage conflict when it arises with clients and with colleagues and staff
  • Support the culture within CAD as it continues to evolve, while demonstrating alignment of messaging and actions to staff and clients
  • Support advancement of the Division’s overall functioning by ensuring that practices and methodology applications are maintained at the high quality level expected of a strong internal audit practice
  • Undergraduate degree or equivalent with 7-10 years of direct relevant experience in an audit function or business/corporate function
  • Professional or business qualification is required
  • Good knowledge of trends and best practices in internal control and business of the assigned LOB
  • Good knowledge of their assigned centre of competency
  • Good interpersonal, relationship management and communication skills
88

Senior Audit Manager Resume Examples & Samples

  • Experience in Business, Functional and People management
  • Expertise regarding Corporate Taxation
  • Solid business understanding of a Corporate Tax environment within the Financial Services industry
89

Senior Audit Manager, Securities Services Resume Examples & Samples

  • Applies comprehensive expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role in one or more teams
  • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally often at higher levels on matters which will have a major impact on the area managed
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Securities and Fund Services products, especially those associated with the Fund Services business
90

Senior Audit Manager Wealth Management Americas Resume Examples & Samples

  • Analyzing and assessing risks (suitability, market, credit, operational, legal and compliance) assumed by the business
  • Providing practical, innovative, and value-added solutions to issues identified
  • Lead meetings with UBS senior management at the local, global, functional Group levels to present audit issues or discuss changing business environments
  • While executing audits, effectively supervise audit team members
  • Monitoring the results, risk profile and developments within Wealth Management Americas and provide input for planning sessions
  • You have gained strong experience 10+ years) in audit, compliance or internal control areas within the financial industry
  • You have an excellent understanding of wealth management, of operational aspects, as well as process flows within and between banks / counterparties, and a thorough knowledge of local regulatory requirements
  • You are able to work independently and supervise teams in the execution of audits and / or special assignments
  • You are a flexible and committed team player willing to travel to other UBS locations in the US and Canada for audit assignments
91

Gf-senior Audit Manager Resume Examples & Samples

  • Develops and executes a robust Audit Plan by reviewable entity for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
  • Directs complex audit activities for a component of a product line, function or legal entity at the regional or country level including a portion of the audit annual plan
  • Manages a complex and critical unit within Internal Audit including a medium sized team of Internal Audit professionals; recruits staff, develops talent, builds effective teams and manages a budget; possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations, applies a broad and comprehensive knowledge of high risk areas including Consumer or Investment Banking, Technology Management, Project/Program Management, Regulatory Compliance or Supplier Management
  • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function or regional executive management partners; may negotiate internally often at higher levels on matters which will have a major impact on the area managed
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues, analyzes reporting findings, recommends appropriate intervention where needed; proposes creative and pragmatic solutions for risk and control problems; partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
  • Senior level experience in a related role with experience in business, functional and people management with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views; this individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style
92

Senior Audit Manager Resume Examples & Samples

  • 8+ years of previous Financial Services experience
  • Public Accounting and/or Private industry background
  • Previous Internal Controls and Products experience
  • Previous Foreign Exchange experience
93

Senior Audit Manager Resume Examples & Samples

  • 8+ years of Audit experience within Financial Services
  • Expert Auditing skills
  • Wealth Management experience
94

Senior Audit Manager Resume Examples & Samples

  • Responsible for planning and executing complex portions of the Risk & Control Services plan including audit activities and SOX/MAR/FDICIA compliance activities. Completes risk assessments in conformance with department standards, generally in complex areas. Presents work objectives and results focusing on impact of control deficiencies
  • Supervises and leads assigned projects. Provides direct & indirect leadership to peers and others as needed in the work assigned. Manages the scope, schedule and deliverables of assigned work. Recommends changes to Risk & Control Services plan to ensure activities are focused on risk areas and provide value to stakeholders
  • 5-7 years of experience
  • Degree focus in Finance / Accounting
95

Senior Audit Manager Resume Examples & Samples

  • Bachelor's degree from an accredited college or university
  • Certification as a Chartered Accountant or other relevant qualification (e.g. a Big 4 background)
  • Previous Internal Audit experience is essential
  • Programme / Project Management qualifications or experience (e.g. Lifecycle Management)
  • Previous history of having worked in the defence/aerospace industry would be advantageous
  • Liaising with Corporate senior management, Sector and Business Unit Leadership and operational teams to understand key developments within the Group
  • Planning, executing and reporting on Internal Audit and Assurance assignments, including exercising independent and objective judgment in identifying key risks and developing practical recommendations for business improvement
  • Ensuring all Internal Audit and Assurance assignments are conducted in an efficient and professional manner, together with ensuring that reports are completed and communicated to BU and divisional management in an accurate and timely fashion
  • Lead as the Subject Matter Expert for Programme / Project Management Internal Audit & Assurance
96

Senior Audit Manager Resume Examples & Samples

  • Coordinating and providing Audit and Investigations operations support across the Division
  • Leading and managing quality initiatives and reviews across the Division
  • Assisting in the development of tactical plans relative to the implementation of the internal audit function's overall goals and objectives
  • Providing input into strategy setting and policy development impacting Internal Audit
  • Coordinating and facilitating of Audit Committee and Board meetings and reporting
  • Driving Division-wide improvement efforts in efficiency, effectiveness and productivity, including developing and implementing initiatives on process/workflow improvements and program/policy changes
  • A Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification is strongly preferred. Experience in a regulated financial services environment, requiring direct interactions with regulators such as the Federal Reserve, OCC, SEC, FINRA, or state Insurance Departments, is also preferred
  • Prior working experience in Professional Practices or a similar function; and prior experience preparing and coordinating Board and Audit Committee meetings and reporting are strongly preferred. Strong technical knowledge of TeamMate is also preferred
97

Senior Audit Manager Resume Examples & Samples

  • Advises on complex audit activities for all product lines, functions, or legal entities at the regional or country level
  • Proactively advances anti-fraud control concepts including the use of technology and auditing techniques. Closely follows latest trends within fraud and financial crimes and adapts them for application within IA and Citi
  • Leads the professional development of Internal Audit staff in relation to fraud and financial crimes
  • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally, often at higher levels, on matters which will have a major impact on the area managed
  • Analyzes report findings and recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
  • Prepares and presents analysis of emerging trends and issues to a wide range of stakeholders
  • A solid business understanding of Fraud, Financial Crimes, Security and relevant control functions within large organizations
  • Experience in managing teams and project delivery within a matrix reporting environment
  • Strong interpersonal skills for interfacing with all levels of internal and external stakeholders
  • Knowledge of accounting concepts would be beneficial although is not essential
98

Senior Audit Manager TD Securities Resume Examples & Samples

  • Oversee the completion of the overall audit process, including execution of the audit plans, development of appropriate audit programs, on-going client communications, and audit report writing. Actively manage, schedule and plan the audit work
  • Present objective and independent audit opinion on the adequacy of internal controls; including presentation of findings and recommendations to clients and audit management
  • Leading a team of audit professionals in completing large complex global audits of business lines and functional areas
  • A finance accreditation including CPA, MBA, CFA or FRM combined with Operational Audit experience is required
  • 5+ years audit experience at the manager or senior manager level preferred
  • Solid understanding of Capital Markets required
  • People management experience required
  • Proven analytical skills with assessing risk and challenging status quo
  • Confident presentation, facilitation and interpersonal skills
  • Some travel required
99

Senior Audit Manager Resume Examples & Samples

  • Recommends/leads special audits/projects
  • Makes recommendations to clients re control deficiencies and follows up to ensure significant deficiencies are corrected
  • Oversees the development of audit reports
  • Supports other IAS Audit Groups on specialized audits as requested
  • Identifies and recommends efficiency opportunities within the business
  • Recommends new hires/promotions
  • Undergraduate degree required. Post graduate degree and / or CA designation is a plus
  • Broad knowledge and experience of risk management is required
  • Broad knowledge and experience of banking and capital markets is required
100

Gf-senior Audit Manager Resume Examples & Samples

  • Delivers on time high quality audit reports, internal audit and regulatory issue validation and (where appropriate) branch examinations, as well as business monitoring and governance committee reporting
  • Manages a complex and critical unit within Internal Audit including a small to medium sized team of Internal Audit professionals; recruits staff, develops talent, builds effective teams and manages a budget; possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including Consumer Banking, Technology Management, Project/Program Management, Regulatory Compliance or Supplier Management
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues; analyzes reporting findings; recommends appropriate interventions where needed; proposes creative and pragmatic solutions for risk and control problems; partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Consumer Banking products especially those associated with the Retail Banking business, ideally Investments in particular
101

Gf-senior Audit Manager Resume Examples & Samples

  • Manages multiple concurrent audits
  • Ability to link cross-business and cross-audit issues and resolutions
  • Manages a complex and critical unit within Internal Audit including a medium sized team of Internal Audit professionals; recruits staff, develops talent, builds effective teams and manages a budget; possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including Consumer or Investment Banking, Technology Management, Project/Program Management, Regulatory Compliance or Supplier Management
  • Strong understanding of product control processes and some work experience in the area (on the audit or business side)
  • Expertise on Valuation of financial instruments and key controls associated with the Independent Price Verification and Fair Value Adjustments process
102

Senior Audit Manager Resume Examples & Samples

  • Managing and running client engagements from start-to-finish
  • Plan, supervise, and perform financial statement audits for various
  • Identify and resolve issues with clients
  • Present results and recommendations to client management
  • Manage resources and scheduling
  • Manage and develop current co-workers including assisting with recruiting
  • BA/BS in Accounting, Master's Degree, and CPA license
  • 7-10 years of public accounting experience
  • Multi-task, planning, executing, and closing various engagements that occur concurrently
  • Provide exceptional client service and communication skills with a demonstrated ability to
103

Senior Audit Manager Resume Examples & Samples

  • Assuming the responsibility of performing front-to-back treasury and asset & liability management (ALM) audits (as a Responsible Auditor) and supporting product audit teams covering treasury and ALM-related processes
  • Analyzing and assessing treasury and ALM-related risks front-to-back
  • Assuring quality of the treasury and ALM process remediation as part of the issue assurance process (i.e. audit, regulatory, self-identified issues)
  • Strong experience in audit or a control and finance function
  • Good understanding of financial markets, treasury, asset & liability management, and / or risk control aspects, and important regulatory trends
  • Quick understanding of complex front-to-back processes, related risks, and key controls
  • Ability to independently lead complex audits and audit-related projects within a given timeframe
  • Flexible and committed team player
  • Fluent in English and have good communication skills to present critical audit issues to auditees and treasury processes to a broader audience
104

Senior Audit Manager Resume Examples & Samples

  • Execute the annual audit plan, including both operational and SOX audits and provide periodic reporting to key stakeholders
  • Oversee and direct the completion of the audit process, including determining the scope and nature of audit work, on-going client communications and reporting
  • Determine risk assessment for each audit to determine scope of audit, as well as specialists and resources required
  • Present an objective and independent audit opinion on the adequacy of internal controls, including presentation of findings and recommendations to Senior Management
  • Articulate the relevance of root causes and issues across audit engagements
  • Maintain awareness of emerging issues and regulatory requirements and assess the potential impact on the risk of the Finance Segments and Corporate Functions
  • Maintain effective relationships and regular interaction with key contacts/management within the Finance Segments and Corporate Functions and other members of the Audit Division, as applicable
  • Provide advice and counsel on risk and control issues and undertake special projects as required
  • Contribute to, and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learning and knowledge with the team
  • Develop the internal audit team through recruitment, training, performance management and on-going coaching
  • Represent Internal Audit on management committees and on key projects; and
  • Lead and or participate in group activities aimed at improving efficiency and effectiveness of audit process and methodologies and or staff development initiatives
  • Proven ability to manage a diverse group of professionals
  • Confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with auditors and senior management at all levels
  • Highly effective at developing ongoing positive relationships with Executives
  • Excellent analytical skills and proven ability to improve efficiency and effectiveness of processes and teams
  • Excellent problem solving ability
  • Effective organisational and planning skills to meet tight deadlines as well as flexibility to adapt to changing priorities
  • Excellent communication skills both written and verbal
  • Self-motivated and the ability to motivate others
  • Strong knowledge / awareness of the regulatory environment; and
  • Good working knowledge of Microsoft office packages (Word, Excel, PowerPoint)
105

Senior Audit Manager Resume Examples & Samples

  • Responsible for the co-ordination of entity structure development, risk assessment and planning across the Compliance, Culture & Ethics audit team
  • Oversees the stat reporting of plan status across Compliance, Culture & Ethics to identify and resolve barriers to execution
  • Oversee the fulfilment of the Compliance, Culture & Ethics OD and facilitates the recruit of staff and development of talent across teams and geographies within the Compliance, Culture & Ethics IA team
  • Oversees management of the Compliance, Culture & Ethics IA budget, working with Chief Auditors and Regional Directors to manage cost management and allocation and providing regional and global leads with analysis of expenses
  • Possesses a broad and comprehensive understanding of multiple disciplines (Audit, AML, Risk, Compliance, Culture & Ethics, and Training) and of different Audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including AML, Consumer or Investment Banking, corporate functions, technology management; project/program management; or supplier management
  • Works closely and collegially with Citibank N.A. Chief Auditors, other IA colleagues and with line management and control functions to ensure efficient and effective provision of independent audit assurance
  • Greater than 10 years of experience in a related role with extensive experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables
106

Senior Audit Manager, Analytics Resume Examples & Samples

  • Develop strong professional relationships with product and technology audit teams and their associated leadership to assist in the definition of audit analytics opportunities for assigned audits and business monitoring activities
  • Coordinate with LATAM regional leadership to identify emerging risks
  • Drives the innovative use of audit analytics Applies a strong understanding of business processes, risks and controls to identify opportunities to enhance audit efficiencies and effectiveness through the development and delivery of automated processes
  • Defines data needs, designs and guides the team to execute audit analytics during audits in accordance with the audit methodology and professional standards
  • Assist in the development of presentations and trainings to foster the culture of analytics amongst Internal Audit
  • Mastery of at least five of the following technical skills
107

Senior Audit Manager Resume Examples & Samples

  • 10+ years of experience in Compliance and Audits
  • Excellent financial audit skills
  • Risk experience
108

Senior Audit Manager, Global Consumer Banking Resume Examples & Samples

  • Develops and executes a robust Audit Plan for Banamex USA in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup policies
  • Directs complex audit activities for all businesses and functions for Banamex USA. Responsible for the delivery of high quality, value-added monthly audit reports pertaining to the closure of BUSA on time and to specification
  • Applies comprehensive expertise in one or more of the corporation's businesses and leverages this knowledge into a leadership role
  • Manages a complex and critical unit within Internal Audit. Manages through matrix reporting lines a team of subject matter experts and consultants from the various product and functional internal audit teams. Recruits staff, develops talent, builds effective teams, and manages a budget. Identifies internal talent and fills key positions, attracts talent with required expertise to meet the risk profile of the business, builds deep bench strength and develops appropriate succession plans
  • Delivers high impact reports of IA's contributions to BUSA’s executive management, regulators, and BUSA board and BUSA boards' sub-committees. Contributes towards the delivery of high impact reports of IA's contributions to executive management, regulators, and Citigroup boards' sub-committees, developing trend analyses and thematic reporting
  • Ensures IA meets/exceeds the requirements and expectations of BUSA’s and Citigroup's regulators
  • Ensures the adoption of the appropriate portions of the Citigroup Audit Committee Charter and the Internal Audit Charter for BUSA
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of consumer banking products. Experience in working through divestitures would be an advantage
109

Senior Audit Manager Resume Examples & Samples

  • Expert knowledge of all audit processes and methodologies
  • Thorough knowledge of MS Word, Excel, and audit software tools
  • Ability to work independently and effectively as an individual contributor and team participant
  • Ability to lead staff on all engagements as required
  • Fellow, Life Management Institute (FLMI) or similar designation
  • Minimum of 5 years experience
  • Indepth working knowledge of all insurance products/service, including Life, Property & Casualty, Reinsurance, etc
  • Proven record in insurance risk management and governance practices
110

Senior Audit Manager Audit Global Banking & Markets \ Group Treasury Resume Examples & Samples

  • Reviewing effectiveness of risk management controls, measurement techniques, limits and reporting based on a detailed understanding of the treasury strategies and products involving interest rate risk, liquidity and funding management and funds transfer pricing
  • Reviewing effectiveness of controls for managing risks in trading
  • Assessing the trading and sales practices controls within Front Office units and overall effectiveness of trading management oversight
  • Reviewing adequacy of various methodologies including structural interest rate risks and liquidity measurement
  • Assessing the effectiveness of transaction recording, deal controls and P&L processes
  • Work with auditors in the group in order to perform end to end business line reviews, as directed by the Director / V.P. Global Baning Markets /Group Treasury Audit
  • Good knowledge of complex capital markets products, trading and treasury risk management techniques including trading practices and front office controls
  • Prior trading or risk management (business line) experience will be an asset. Require a good understanding of the current market developments relating to treasury and trading activities
  • Good knowledge about regulatory requirements and a good understanding of the current market developments impacting the treasury and trading activities
  • Strong analytical skills necessary to assess risk exposures in complex products and understand risk quantification and valuation methodologies
  • Require a good understanding of the current market developments relating to treasury and trading activities
  • Good communication skills, both oral and written
111

Senior Audit Manager IT Audit Resume Examples & Samples

  • Data governance, complex end to end data flows and data quality controls
  • Networks used to transmit data, voice and images between processing locations; and
  • Systems development life cycle
  • Annual Planning - Assist the Director in the development of the annual audit plan and the IT Risk Audit Plan. In addition, with the team perform continuous evaluation of the plan to ensure that all high risk areas are being addressed
  • Engagement Planning -Ensure when acting as Audit Principal or as Officer In Charge that the engagement plan addresses all risk areas, the audit programs are appropriately designed and general adherence to the Audit Department's methodology. Manage the planning of audits or assigned areas of low to high complexity ensuring scope and extent of work is in accordance with the approval plan, timing and budget are reasonable, procedures are efficient, appropriate resources are assigned and risk understood. Develop a thorough understanding of the business, IT risks and processes for assigned projects. Identify emerging issues that may impact the audit plan
  • Emerging Developments in IT -- As the incumbent is a senior member of the team a key accountability is to maintain knowledge of IT developments and emerging issues and to be proactive in ensuring that the Audit Dept. is addressing the key risks to the Bank in this area
  • Human Resources - Prepare periodic and annual performance self assessments, personal goals and objectives for measurement of performance, career development and training plan and monitor quarterly for achievement/completion.Provide on the job training, coaching, mentoring for more junior IT auditors
  • Special Projects - As directed by management, carry out specific projects or investigations. Plan, document and seek agreement in advance to the project approach. Assist in the due diligence of potential acquisitions
  • IT Audit (internal or external) experience, preferably in a financial institution setting, or direct experience in a relevant IT environment. Working level knowledge of control frameworks; including COBIT and COSO
  • Good project management, planning, and organizational skills.Requires an undergraduate degree in Computer Science or equivalent at a minimum. IT and Audit designations would also be an asset. (CISSP, CISA, IIA, etc)
112

Senior Audit Manager Resume Examples & Samples

  • Contribute to the development of the audit plan, execution of the audit plan, development/completion of audit programs, on-going client communications, reporting, and post-audit procedures
  • Develop a good understanding of current business activities and related risks, and contribute to the audit risk assessment & evaluation of design and operational effectiveness of practices
  • Working with all audit groups informing them of changes in enterprise processes and activities that will have an impact on business audits, and where appropriate, providing business auditors with standard audit programs to assist in the consistent execution of audits of enterprise-wide policies and programs
  • Manage a team of audit professionals by providing regular performance and development feedback and coaching; and
113

Senior Audit Manager Anti Bribery & Corruption Resume Examples & Samples

  • Ensures IA meets/exceeds the requirements and expectations of Citibank’s and Citigroup's regulators
  • Experience performing audits is required
  • Ability to travel is required
114

Senior Audit Manager Resume Examples & Samples

  • 10+ years of experience in areas related to Banking regulations, Compliance programs, local standards, and Internal Policies
  • Knowledge of Financial Services Compliance regulations, standards, and standard business internal policies
  • Experience in managing teams and managing integrated Internal Audit and Assurance delivery within a matrix reporting environment
  • Solid negotiation and critical thinking
115

Senior Audit Manager, Data Quality / Ccar Resume Examples & Samples

  • Management and Senior Management Review
  • Effective Oversight
  • IA is looking for driven, self-motivated individuals who will be a part of the Citi's key Internal Audit CCAR program initiative. Below are the responsibilities for the Internal Audit prospective candidate as it relates to the Data, process and technology responsibilities
  • Develop and execute a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
  • Direct complex audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan
  • Proactively advance integrated auditing concepts and use of technology. Closely follow latest trends in own field and adapt them for application within own job and the business
  • Lead the professional development of Internal Audit staff
  • Apply an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach
  • Use excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. May negotiate internally often at higher levels on matters which will have a major impact on the area managed
  • Demonstrate strong judgment, political astuteness, and sensitivity to cultural diversity
  • Possess strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
  • Participate in major business initiatives and pro-actively advises and assists the business on change initiatives
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyse reporting findings; Recommend appropriate interventions where needed. Propose creative and pragmatic solutions for risk and control problems. Partner with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
  • Review and approve Business Monitoring Quarterly Summaries
  • Plan and help manage the audit execution plan for data quality (accuracy, completeness, and integrity), data input, rules/expectations across functional areas and systems to ensure accurate reporting of CCAR data and /or implementation of stress scenarios for forecasting
  • Possess data analysis and/or technical skills to analyse data utilizing automated tools and help identify problems would be an advantage
  • Knowledge of MS Office functions with advanced Excel, Access & Viseo skills to perform data analysis/test automated controls. Knowledge of audit software (IDEA, ACL, SQL) is also beneficial
116

Senior Audit Manager / Director Resume Examples & Samples

  • 10+ years of global financial institutions experience
  • Strong managerial experience
  • Experience developing and maintaining relationships with senior executives
117

Senior Audit Manager, Consumer Products Resume Examples & Samples

  • Manages a complex and critical unit within Internal Audit, including a small to medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget
  • Possesses a broad and comprehensive understanding of different internal audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: consumer Banking, technology management; project/program management; regulatory compliance or supplier management
  • Leads the professional development of internal audit staff
  • May negotiate internally, often at higher levels, on matters which will have a major impact on the area managed
  • Reviews and approves Business Monitoring Quarterly Summaries and entity risk assessments
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of consumer banking products, especially those associated with the retail banking and mortgage businesses and the consumer credit risk function
118

Senior Audit Manager Resume Examples & Samples

  • Manage the planning of audits of medium to high complexity/risk
  • Develop and document a thorough understanding of the business, risks and processes for assigned projects. This includes identification of emerging risks and key regulatory requirements are incorporated into the audit plan
  • Design or update audit procedures for assigned audits. The incumbent should be proficient in applying risk based auditing standards and techniques
  • Determine the resourcing and time budget (resourcing, time) needed to complete the engagement
  • Manage and execute assigned audits in accordance with department standards ensuring the nature and extent of testing are sufficient and appropriate to support the audit opinion
  • Executes the audit plan within the budgeted time
  • Assess the effectiveness, integrity and reliability of internal controls in relation to defined control requirements through examination of evidence and execution of test procedures
  • Document and review all audit work performed using TeamMate software to ensure appropriate working papers are maintained and conform to department standards
  • As OIC, co-ordinate and manage resources to ensure adherence to the time budget and quality of audit execution meets department standards. This includes reviewing TeamMate to ensure work completed is appropriate and meets department standards
  • Identify control weaknesses and audit findings based on audit results, determine the root cause and associated impact/risk, and develop practical recommendations as to how risks can be mitigated
  • Validate the accuracy of the finding with the auditee and present issues to line management
  • As OIC, review audit findings from team members
  • Write audit findings, reports, and correspondence to management, ensuring writing is clear, concise, and accurate
  • When OIC, review audit findings and reports of team members
  • Develop and maintain good relationships with key auditee and business line management
  • Follow-up for corrective action/progress against reported issues on a quarterly basis and escalate when necessary
  • As OIC, provide guidance and coaching to team members by providing direction and communicating expectations; impart specialized skills to other audit officers through peer discussions and cooperation on cross-functional audits, coaching and performance management
  • Prepare/review engagement performance assessments
  • Manage self-development through confirming/communicating job expectations and assessing progress; completion and monitoring of the personal development plan; identification of mentors/coaches, etc
  • As directed by management, carry out specific projects or investigations of a moderate to high complexity and/or confidential nature
  • Strong auditing or accounting/finance experience
  • Knowledge of retail brokerage and the securities industry
  • Strong written and oral communication skills – ability to write clear, concise audit reports and external communications
  • Knowledge of the Bank's organizational structure
  • Be highly organized, ability to problem solve, and multi-task
  • Internal or External Audit
  • Business line experience or knowledge of Wealth Management - in particular, the securities industry/investment management and the support functions
119

Senior Audit Manager, Risk & Capital Audit Resume Examples & Samples

  • Working closely with other members within R&CA or other audit groups for audit planning, risk assessment, reviewing audit fieldworks, audit reporting, or conducting audit tests as required
  • Preparing audit reports and the summary of review memorandum for internal review and approval
  • Conducting audit findings validation or review of the audit findings validation
  • Coaching junior auditors in executing audit testing
120

Senior Audit Manager Resume Examples & Samples

  • As a Portfolio Champion perform risk assessment globally by applying relevant business insights along with key and emerging risk trends - internal, external and regulatory. Own the global audit plan
  • Develop and independently manage effective senior management stakeholder relationships to ensure comprehensive understanding of business strategy, plans and performance and processes related to management of retail banking products
  • Lead or manage, audit engagements focussed on other retail banking products to meet the annual audit plan. Consistently deliver high quality audit reports in a timely manner with audit issues focussed on key risks, root causes, materiality and succinct messages
  • Closely follow latest developments and trends in the area of retail banking auditing techniques and related areas like credit risk management, anti-money laundering, BASEL III, retail banking technology and data-privacy
121

Senior Audit Manager Resume Examples & Samples

  • 8-14+ years of related auditing experience
  • Strong Operational Audit skills
  • Prior experience within Financial Services experience
  • Prior experience within a Big 4
  • Professional licenses
122

Gf-senior Audit Manager Resume Examples & Samples

  • Closely follows latest trends in own field and adapts them for application within own job and the business
  • Manages a complex and critical unit within Internal Audit, including a medium sized team of Internal Audit professionals
  • Recruits staff, develops talent, builds effective teams, and manages a budget
123

Senior Audit Manager Resume Examples & Samples

  • Ensure that assigned audit work is executed in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards
  • Apply expert auditing skills and relevant business, technical and risk management knowledge to the assigned audits
  • Provide guidance to team leaders and team members to execute the assigned audit work
  • Support the HOA in their role as the GIA portfolio/country subject matter expert, depending on the skills of the individual. This will include contributing to the GIA risk assessment and development of an appropriate audit plan for the HOA's assigned portfolio
  • Actively manage relationships with senior auditee management and stakeholders
  • Support GIA audit teams by providing product/country knowledge and expertise for their audits relating to the individual's area of expertise
  • Provide ongoing continuous monitoring support to HOAs in respect of the business and raise issues and observations outside of formal audit work to expedite rectification of control weaknesses (where appropriate)
  • Attend and present at formal committees and Group meetings on behalf of the line manager, as required, eg.Process Governance Committees and Country Operational Risk Committees
124

Senior Audit Manager Resume Examples & Samples

  • 8+ years of recent or current CPA firm
  • Audit background
  • Previous experience with Financial Reporting, GAAP, and GAAS
  • Previous experience working with or within Hedge Funds, Private Equity Funds and other Investment companies
125

Senior Audit Manager Resume Examples & Samples

  • Extensive background in audit
  • Excellent opportunity to be part of a growing business
  • Apply a clear understanding of the business drivers and risk profiles, ensuring that the scope meets the objective of providing adequate and appropriate evidence to support the conclusions of the audit
  • Required to set out the logistics of the project within scope – including resourcing required, the different work streams/segments of the project, timing of key deliverables, travel requirements, specialist contractors required etc
  • Deliver a final scoping report to the Chief Audit Officer for comment and sign-off
  • Conduct fieldwork as required, but focusing most effort on strategically managing the audit project and leading the team
  • Responsible for managing the logistics associated with delivering the result of the audit project on time, within budget and meeting the objectives outlined in the original scope
  • Support the Chief Audit Officer throughout the project to manage the expectations, and maintain an effective working relationship with the key business unit leaders (i.e. the MD, CFO, COO and Head of Risk) as required
  • Responsible for maintaining a strong working relationship with the executive leadership of the business area being audited (i.e. the direct reports of the MD/CFO/COO/Head of Risk) during the life of the project
  • Required to oversee the performance of a team of professional audit staff, including the preparation and collation of IRAs and delivering feedback on performance
126

Ia-team Head, Senior Audit Manager, Markets Resume Examples & Samples

  • Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including Markets and Risk areas (Operational, Credit and Market Risk)
  • Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Markets products, especially those associated with the Markets and Securities Services business
127

Senior Audit Manager Resume Examples & Samples

  • As the Senior Audit Managers, the main responsibility is the routine audit tasks in Gobal Markets business line including team leading for some audit assignments. They contribute to the assessment of risk exposure and delivery of audit projects
  • Construction of development plan and completion of training or other self development initiatives
  • This role is enable to identify key risks and recommend appropriate control enhancements and improvements to the internal audit process are implemented
  • Number of improvements identified whichi is not just to the Internal Audit methodology, but also innovative ideas applied to current audits to increase efficiency and effectiveness
  • Positive and open relationships are established with the customer as well as active communication and engagement with Business Units
128

Senior Audit Manager Resume Examples & Samples

  • Direct the planning of audits for diverse units by ensuring scope and extent of work is in accordance with the approved plan, timing and budget are reasonable, procedures are efficient, appropriate resources are assigned, and risks understood. Prepare planning documentation and sample selection in accordance with the Audit Methodology including the Audit Project Outline and commencement activities
  • Complete on-site review of assignments as required ensuring adequacy of work performed to support the audit conclusions and compliance with Department Audit Methodology
  • Review/edit reporting from team members and summarize issues in final audit report for assignments of higher complexity
  • Provide guidance and coaching to staff by providing direction and communicating expectations; impart specialized skills to other audit officers through peer discussions and cooperation on cross-functional audits, coaching and performance management
  • Conduct regular team meetings
  • Continue self-development to expand or maintain an understanding of the business line's key processes and business applications
  • Extensive knowledge of complex financial instruments associated operational risks and accounting & reporting implications
  • Extensive financial institutions audit (internal or external) experience, focused on capital markets activities
  • Extensive knowledge of the regulatory environment in the US. Good project management, planning, and organizational skills
129

Senior Audit Manager Credit Risk Audit Resume Examples & Samples

  • Execute assigned audit activities independently as a Team Member under the direction of the OIC on assignments with medium to high complexity and as OIC on audits of low to medium complexity
  • Identify underlying causes of control weaknesses and provide practical recommendations as to how they can be mitigated
  • Prepare audit findings which clearly report the extent, cost and risk of error, including the impact of those issues on achievement of control objectives, operations processing, financial reporting and regulatory compliance
  • Continue self-development to expand knowledge and understanding of the business line’s key process and business applications
130

Senior Audit Manager Anti-money Laundering Resume Examples & Samples

  • Proactively identify changing strategies, regulatory expectations, tactics, risks and initiatives continuously following the appropriate audit and investigative services with the appropriate focus
  • Meet with key client management periodically to identify changing tactics, initiatives and consider and advise in the implications for the nature and intended timing of audit plans and procedures
  • Execute audits in full recognition of the risks of the client group which encompass the inherent risks, control risks and internal/external environment and AML regulatory risks. This may encompass individual audits and broad “end to end” audits of Enterprise level functions/processes
  • Develop and maintain strong working relations with key clients at the senior management levels
  • Provide timely and insightful support to Directors, Assistant Chief Auditors and Chief Auditor in the preparations of Audit Committee reports including state of current management activities, potential and emerging issues, and areas of potential focus
  • Develop and maintain strong working relationships with managers in corporate areas that offer valuable interaction exchange opportunities that can enhance audit execution and alignment with their strategies/tactics
  • Maintain a good level of knowledge of the industry of the client group, the regulatory and broad economic environment availing the client of the knowledge in the development of their strategic and tactical plans and operations
  • Ensure open and effective lines of communication are maintained with the client management/representatives throughout the audit process from initial planning to report distribution and follow-up. Clients should feel engaged, well informed and satisfied that their views of risk have been considered. Clients should not be “surprised”
  • Efficiently define and execute projects as may be assigned supporting the Division and/or leading to a client-based report
  • Provide periodic assessment of performance of all staff for which they are responsible. Recognize the appropriate value of timing of rewards
  • Be and be seen as a knowledge “go to” person in business, client and audit technical matters keeping current on new thinking/practices
  • Be and be seen as knowledgeable with specific technical competencies. Support the Director and Assistant Chief Auditor in maintaining an effective center of competency, which is the central point of reference on a specific subject area, the determination point for the Division’s views, and practices on the topic. In so doing, the individual will ensure that programs are maintained which are practical and aligned to the Division’s needs, actions in the conveyance of knowledge and emerging/potential issues related to the competency
  • 3-5 years or more of relevant experience in AML audit
  • In depth knowledge of Microsoft systems including current operating system and office products
  • CAMS certification preferred
  • Foundational knowledge of audit, risk and internal control in a financial institution
  • Expert planning and organizing skills with the ability to manage multiple priorities
  • Working level in negotiating and influencing skills
131

Senior Audit Manager Resume Examples & Samples

  • Understanding of information identified in the investigation of various alerts and knowledge of how this is then pulled together to incorporate into SAR recommendations
  • Experience in areas related to banking regulations, AML programs, local standards, and internal policies
  • A firm understanding of search of patterns, and the ability to identify patterns among the patterns can be critical to combat and prevent money laundering
  • Experience in filing a SARs
  • Have experience in working with AML programs that have been established to comply with the local and U.S. regulatory requirements, second line of defence policies and procedures, provisions and guidelines established by the federal regulators and other related agencies as related to prohibited activities, money laundering and financing of terrorism, and all applicable regulations governing banking activities and operations
  • A working knowledge of regulatory requirements and the related risks and controls and demonstrate the ability to work with senior management and lead audit team execution
132

Senior Audit Manager Professional Practice Group Resume Examples & Samples

  • Co-ordination and preparation of the quarterly Chief Auditor opinion on action plans filed by Bank management in response to regulatory examinations. Tasks include audit verification of management’s corrective actions, status updates to the Chief Auditor and liason with Audit Senior Management and staff, various levels of Bank management and Global Compliance. Incumbent is expected to adhere to tight, reporting deadlines
  • Ongoing research and identification of emerging issues and regulatory matters that impact the Audit Department; keeping abreast of changes in law, regulations and professional auditing standards; and preparation of guidance and written communications to Audit Department staff
  • Identifying opportunities and leading changes for enhancing the efficiency and effectiveness of the global audit function, including in areas of
  • Audit Methodology, and
  • Enhancements to Audit processes and databases, including systems implementation initiatives
  • Participation in
  • Execution of the Audit Department’s Quality Assurance Program
  • Audit Department’s training program, by developing training materials and delivering training sessions
  • Maintenance of audit databases to reflect changes in business or environment
  • Assist in the preparation of reports to Senior Audit management and the Audit and Conduct Review Committee
  • Preparation and management of Audit Department’s correspondence with external regulators, including preparation of pre-examination materials, ad-hoc requests and acting as a project lead to address regulatory recommendations on the Audit Department
133

Senior Audit Manager Anti Money Laundering Resume Examples & Samples

  • Participate in significant Business Line Audits where adherence to significant compliance processes is being evaluated
  • Stay abreast of emerging compliance risks and communicate key changes to impacted Audit staff
  • Audit Planning
  • Identify systemic/emerging issues and changes planned/undertaken by the auditee that will impact the audit plan through discussion with the OIC and Audit Principal. This may include preplanning meetings and walkthroughs with auditees to confirm our understanding of the processes and activities subject to audit
  • Provide input for the Annual Audit Plan including gathering of key trends and information to confirm planned risks/areas of audit focus
  • Problem Identification
  • As directed by management, carry out specific projects or investigations of a moderate or high complexity and/or confidential nature
  • Plan, document and seek agreement in advance to the project approach and confirm conclusions upon completion in writing
134

Senior Audit Manager, Consumer Resume Examples & Samples

  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Retail products, especially those associated with the Retail business
  • Ability to travel for related audit activity 35 – 40%
  • Spanish speaking language skill is highly desired
135

Audit Senior / Audit Manager Resume Examples & Samples

  • You will work as part of a team to manage a portfolio of clients
  • Carrying out audit assignments for larger audit clients
  • Preparing and reviewing final financial statements
  • Reviewing periodic management accounts
  • Involvement in Corporation and Income Tax assignments
  • Working closely with the firms' partners
  • Dealing with queries from clients
  • Training of junior staff
136

Senior Audit Manager Resume Examples & Samples

  • Solid business understanding of ICG/TTS products, especially those associated with Cash, Trade, and Cards businesses
  • The ability to multitask and work under pressure in stressful situations with short term requirements and deadlines is required
  • Subject matter expertise regarding technology application control disciplines is a plus
  • Understanding of or experience working in a TTS Regional Processing Center servicing multi regional businesses is a plus
  • Travel requirement: 25%
137

Senior Audit Manager Resume Examples & Samples

  • 6+ years of experience providing attest services within a Professional Services firm; 2+ years of Supervisory experience
  • Previous experience with Audit (Financial), Financial Statement Preparation, and Internal Controls
  • Microsoft Excel and PowerPoint skills
138

Senior Audit Manager Icg Technology Resume Examples & Samples

  • Directs complex audit activities for a component of a product line, function, or legal entity at the global, regional or country level including a portion of the audit annual plan
  • Applies comprehensive expertise in one or more of the Bank’s businesses and leverages this knowledge into a leadership role in one or more teams
  • Manages a complex and critical unit within Internal Audit, including a medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: ICG business lines, technology management; project/program management; regulatory compliance or supplier management
  • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or regional executive management partners. Effectively negotiates on matters which will have a major impact on the area managed
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues and proposes creative and pragmatic solutions for risk and control problems. Partners with internal and external stakeholders to develop approaches for addressing broader emerging risks
  • Minimum 10 years senior level experience in an audit, risk or business related role with relevant functional and people management experience, and proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
139

Senior Audit Manager Resume Examples & Samples

  • The Institutional Client Group (ICG) Technology Audit team provides technology audit coverage for the ICG businesses which comprises Capital Markets, Trade & Treasury Solutions, Investor Services, Citi Private Bank and Corporate & Investment Banking. The position is based in Hong Kong and will have responsibility for providing technology audit coverage of key systems process in support of the ICG businesses across Asia
  • Develops effective senior management relationships with a strong understanding of the business
  • Reviews and approves risk assessments and Business Monitoring Quarterly Summaries
  • University degree or equivalent. Related certifications (Masters, CPA, ACA, CFA, CIA, CISA or similar) are a plus
140

Senior Audit Manager, BSA / AML Resume Examples & Samples

  • Manages, directs, mentors, trains and evaluates assigned staff
  • Manages and supervises to ensure BNPP Inspection Generale and Bank of the West Inspection Group policies and procedures are adhered to on audit assignments
  • Bachelor’s Degree in applicable and related field
  • Required license(s) or certification(s) CAMS, and/or CRCM
  • Minimum 8+ years of Audit Manager experience auditing BSA/AML/Sanctions
  • Excellent knowledge of retail banking laws and regulations
  • Demonstrable strengths auditing core elements of a Financial Services company’s BSA/AML/Sanction program
  • Demonstrable strengths auditing products and services that present higher BSA/AML/Sanctions risks to financial services companies
141

Senior Audit Manager Resume Examples & Samples

  • Develops a comprehensive program of risk-based audit coverage for the area(s) of responsibility. Able effectively synthesis and reflect the impact of internal/external emerging risk to drive suitable audit coverage
  • Ensures performance of independent and objective evaluations of the adequacy, effectiveness and efficiency of the bank's internal and governance controls in areas(s) of audit responsibility
  • Delivers high quality audit results and well-crafted audit report deliverables on time that are executive ready and provide for impactful change to the Bank’s internal control system
  • Ensures that audit activities comply with Inspection Group standards. Leads by example to foster positive and meaningful change within the team and its practices
  • Maintains effective and professional relationships with bank senior management
  • Demonstrates strong technical understanding on organizational risk management (e.g., informational technology, operational, credit, market, regulatory compliance, etc.) for the bank
  • LI-MS1
  • Required license(s) or certification(s) CPA, CIA, CBA, CFSA, CISA, CTA, CFE and/or CRCM
  • Years of functional/professional experience: 10 to 15 years of directly related audit experience
  • Years of supervisory or managerial experience: 7 to 10 years of supervisor/managerial experience
142

Senior Audit Manager, Consumer Mortgages Resume Examples & Samples

  • Oversees and designs MIS solutions for audits, issues validation and regulatory data validations
  • Perform/lead audits and initiatives in accordance with corporate methodologies and professional standards, including drafting of reports, presenting issues to the business and discussing practical solutions
  • Lead medium to large scale projects while managing time sensitive ad-hoc requests
  • Develop effective working relationships with management and staff for each workstream, audit and initiative
  • Maintain up to date run procedures, calendars and secondary support documentation for all scheduled assignments
  • Develop knowledge of applicable regulations and enforcement actions
  • Frequently involved in matters that require complex solutions based on sophisticated analytical thought and judgement, such as identifying solutions for a variety of complex and novel audit control issues
  • Demonstrated ability to prioritize and drive results with a high sense of urgency
  • Excellent analytical abilities to quickly identify control or data related issues leveraging data mining and data profiling
  • Strong interpersonal skills and ability to build and maintain professional working relationships with business partners, auditors and examiners
  • Excellent written and verbal communications with demonstrated ability to clearly articulate main points (e.g. issues/concerns, purpose and intent of email, directions for use, etc.)
143

Senior Audit Manager Resume Examples & Samples

  • Experience in managing medium sized audit or risk teams coupled with some banking & finance industry knowledge
  • Experience working with and influencing senior managers in the business
  • Track record in understanding key stakeholders in an audit process and building relationships with them
  • Strong verbal and written communication skills, as well as excellent listening and interpreting skills
  • Some experience in developing people in a project team context
  • Good negotiating, influencing and conflict management skills
144

Senior Audit Manager Resume Examples & Samples

  • Experience with A133 audits and 990
  • Ability to develop different programs
  • Supervise and coordinate audit activities of staff
  • Calculate appropriate budgets and manage actual time in relation to budgets
  • Develop client presentations and participate in bids for opportunities for new clients
  • Develop ideas to assist client with operational and internal control opportunities
  • Inspect items in clients accounting system to determine if GAAP was followed in recording transactions
  • Develop relationships with clients, including involvement in networking and business development activities
  • Develop strong technical research skills, including use of electronic tools
145

Senior Audit Manager Resume Examples & Samples

  • Drive positive change in the company by delivering high quality work
  • Continue to develop a highly engaged team with specialised expertise
  • Conduct an audit practice viewed by the Board, management and regulators as meeting expectations
  • Support continual focus on maintaining a high performing work team consistent with anaudit function in a Heightened Expectations environment through coaching and interaction with staff
  • Support advancement of the Division’s overall functioning by ensuring that practices and methodology applications are maintained at the high quality level expected of an internal audit practice in a Heightened Expectations environment
  • Graduate degree is an asset,
  • Professional or business qualification is required. (CPA, CA, CIA)
  • Good knowledge of trends and best practices in internal control and business of the Wealth Management
146

Senior Audit Manager Resume Examples & Samples

  • Work closely with senior management within Fidelity Institutional business units and Corporate Audit to facilitate the identification and resolution of risk and control issues
  • Develop data analysis and apply leading edge and other automated tools to expand audit scope, gain efficiencies, identify anomalies/control gaps and provide management with proper context of potential exposure
  • Escalate significant audit issues identified to business leaders and senior management, propose viable solutions and alternatives and prepare and draft audit reports
  • Coordinate Audit activities to ensure identified risks are properly addressed
  • Manage the work of project-specific teams and provides supervision and direction
  • Work closely with Vice President on addressing strategic and managerial matters for the Fidelity Institutional Audit team, as well as Audit-wide matters, and provides broad leadership to the team
  • Provide development and mentoring to audit associates
  • Proven problem solving, analytical, organizational, and project management skills
  • Willingness to pursue challenging training and certifications
  • Hands-on understanding of the financial service industry including knowledge of capital markets (electronic trading platforms, prime brokerage, regulatory reporting) and/or brokerage
  • BA/BS in Accounting, Finance, or related field of study
  • 8+ years of external and/or internal audit or audit-related experience, preferably Financial Services
  • Strong business knowledge, analytical and problem-solving skills
  • Ability to work on multiple tasks and manage team priorities and workload
  • Team player who works constructively with others to achieve team goals
147

Senior Audit Manager IB / M, Director Resume Examples & Samples

  • Experience with interest rate derivatives and foreign exchange products, including trade execution process lifecycle
  • Experience with Dodd-Frank Swap Dealer requirements and Volcker Rule in a banking environment
  • Ability to manage and execute the full life cycle of an audit, from planning to audit close
148

Senior Audit Manager Resume Examples & Samples

  • Experience in performing, analysing, summarizing the results of data mining, data analytics, sophisticated calculations within complex systems
  • Strong teamwork and communication skills, commitment to meeting deadlines
  • Knowledge of MS Office functions with advanced Excel, Access & Visio skills to perform data analysis/test automated controls
  • Knowledge of audit coding software (SAS, C++, IDEA, ACL, and SQL) is also beneficial
149

IT Senior Audit Manager Resume Examples & Samples

  • Project managing audit execution, reviewing work papers and managing team member performance
  • Identifying and agreeing impactful issues that drive positive change in the organization
  • Agreeing the final audit report and remedial actions with senior management
  • Supporting the Regional Head of Internal Audit and IT Audit Director in the development of the rolling audit plan and performing business risk assessments
  • Manage senior management relationships and stay abreast of business and IT developments
  • Provide proactive risk, control and governance advice to business management
150

Senior Audit Manager Resume Examples & Samples

  • Effective engagement with management responsible for the India ICG Technology Centres that support ICG global businesses. Develop a strong understanding of the key functions under the responsibility of the ICG Technology Centres and develop proposals for effective coverage of these functions at a global level
  • Manages a complex and critical unit within Internal Audit, including a medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Investment Banking, technology management; project/program management; regulatory compliance or supplier management
  • Support the global ICG Technology Audit team in centralising and improving global processes and the execution of global audits
  • Effectively negotiates on matters which will have a major impact on the area managed
151

Senior Audit Manager General Resume Examples & Samples

  • Minimum of ten years proven and progressive audit, experience or equivalent; substantial experience performing FCC audit required
  • In-depth experience and understanding of FCC risks and related controls Ability to apply technology or expertise to business issues or operational problems
  • Professional certification (s) preferred (e.g. ACAMs, ICA, etc.)
152

Senior Audit Manager Resume Examples & Samples

  • At least 5 years of accounting/audit experience or other related financial experience
  • Demonstrated effective leadership and interpersonal skills; excel in a team environment
  • Demonstrated creative and innovative solutions to strategic business issues
  • Demonstrated proficiency in written and oral communication
  • Proficiency in PC skills; technical and software skills a plus; information systems audit experience a plus
  • Must have a broad knowledge of different businesses to be able to evaluate and assess the significance of problems identified during the course of an audit
  • Managerial skills including direct supervision and development of subordinates
153

Gf-senior Audit Manager Resume Examples & Samples

  • Manages a complex and critical audits within Internal Audit, Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations, applies a broad and comprehensive knowledge of high risk areas including: FXLM Sales and Trading, Middle Office, Operations, Technology, project/program management and Regulatory Compliance
  • Leads the professional development of more junior Internal Audit staff
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyzes reporting findings; Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with Directors and Managing Director to develop approaches for addressing broader corporate emerging issues
  • Collaborates effectively with other regional and global audit teams and helps them in achieving their objectives
  • Responsible for reviewing and approving Business Monitoring Quarterly Summaries, Risk Assessments and Issue Validation work papers
  • Specific subject matter expertise regarding local regulatory knowledge and a solid business understanding of markets trading products
154

Senior Audit Manager, Wellington Resume Examples & Samples

  • Appropriate and timely assessment of the risks and controls in place across the business, thereby assisting the business in meeting its objectives and stakeholder obligations
  • Delivery of appropriate profile reviews and strong experience in end to end audit projects
  • Provide value add recommendations and proactively manage audit findings as appropriate
  • Experience in managing medium sized audits or risk teams working on medium to high complexity and profile reviews
  • Banking & finance industry knowledge/experience
  • Strong track record in delivering high quality audit work in complex technical areas
  • Strong relationship management skills - ability to manage and influence key stakeholders in an audit process
  • Tertiary qualified, ideally with Professional (CPA/CA) and / or Post Graduate qualifications
  • Familiar with the auditing of technology risks and controls
  • Ideally, experience in developing people in a project team context and in setting clear performance expectations and providing clear feedback against these
155

Senior Audit Manager Resume Examples & Samples

  • Ensuring the delivery of audits conducted in Germany (risk-based, regulatory and branch exams) to the time commitments and ensuring quality in the work performed and reports produced
  • Ensures the CCO, in-country management, and local governance committees receive prompt, timing and complete information relating to the activities of Internal Audit
  • Ensures that the audits are staffed with the correct technical expertise working closely with regional specialists drawn from different IA groups
  • Develops strong relationships with senior line management as well as external Auditors and local Regulators
  • Completes MSS and other assigned audits within budgeted timeframes, and budgeted costs
  • Is strategic in developing audit coverage, identifying potential risk and driving projects
  • Advising on the resolution of issues and concerns to senior management and regulatory agencies as required
  • Reviewing policy and procedure changes to ensure compliance with all applicable laws, regulations and internal policies
  • Meet all the regulatory requirements for Internal Audit in respect of providing Internal Audit services to German legal entities
  • Professional qualification (Chartered Accountant or similar professional Audit qualification)
  • Candidate must have significant international financial services experience, including in-depth experience in audit of at least 4-6 years
  • Solid business understanding of banking products, especially those associated with the MSS businesses
  • Demonstrable knowledge of advanced Excel & Access functions to perform data analysis/test automated controls. Knowledge of audit software (IDEA, ACL, and SQL) is also beneficial
  • Willingness to travel, sometimes at short notice as this role requires up to approximately 25% business travel within the region
  • Fluent in English and German. Fluency in other European languages an advantage
156

Senior Audit Manager, Risk Resume Examples & Samples

  • Prior experience in auditing and/ or performing job functions in areas including market, investment, credit, counterparty, insurance, liquidity and/or model risks in the financial services industry
  • Strong theoretical and professional knowledge of corporate finance concepts, insurance company asset liability management, and stress testing
  • Strong ability to perform quantitative analysis over large sets of information while thinking critically
  • Ability to effectively and confidently discuss audit topics and issues with management
  • Ability to partner effectively with management, regulators, external auditors and control partners
  • Solid understanding of the Committee of Sponsoring Organizations (COSO) governance framework, the Sarbanes Oxley (SOX) act, risk assessment, control analysis and audit methodologies
  • Knowledge of the financial services regulatory landscape and experience with the analysis and implementation of regulatory standards is a plus
  • Knowledge of US Generally Accepted Accounting (GAAP) and statutory (STAT) insurance accounting concepts is a plus
  • Bachelors degree is required; MBA or advanced degree is a plus
  • FRM, CFA, CPA, CIA, CISA or related certifications are a plus
157

Gf-senior Audit Manager Resume Examples & Samples

  • Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation
  • Reviews and approves Business Monitoring Quarterly Summaries, Risk Assessments and Issue Validation work papers
  • BA/BS or equivalent. Related certifications (ACAMS, ICA, CFE, CPA, ACA, CFA, CIA, or similar) are a plus
  • Specific subject matter expertise regarding Compliance and AML Programs, technology application controls relating to AML and regulatory Compliance and a solid business understanding of Institutional Clients and/or Consumer products
  • Ability to travel for related audit activity 10%
158

Senior Audit Manager Resume Examples & Samples

  • Managing the client portfolio which includes statutory audits, accounts preparation, general advisory, and attending client meetings
  • Support the Partners with business development activities
  • Aid junior members of staff and monitor the quality of their work
  • Assist the trainees with their personal development and objective setting
  • Manage the WIP and monthly billing
159

Senior Audit Manager Resume Examples & Samples

  • Reviews and prepares of risk assessments
  • Completes audit recommendation validation work or 2nd level of supervisory review over non-complex findings
  • Communicates effectively, clearly, concisely, and accurately using written and verbal communications with all levels of management
  • Mentors and develops necessary talent to achieve audit discipline/functional strategic objectives
  • Minimum years of audit and /or risk experience: Typically 8+
  • Work and collaborate with others to assure that Inspection Group objectives are successfully attained
160

Senior Audit Manager Professional Practice Group Resume Examples & Samples

  • Act as the primary liason with Chief Auditors in Latin and Central America and Professional Practice Latin America in the execution of all the Professional Practice Group responsibilities
  • Responsible for the global Quality Assurance and Improvement Program, including
  • Ensure the Program is aligned with regulations, professional standards and industry best practices pertaining to Internal Audit
  • Execution of the Program on a timely basis with value add recommendations that contribute to the effficiency and effectiveness of the Audit Department
  • Responsible for the global Audit Training Strategy, including
  • Development and delivery of training sessions and materials globally
  • Coordination of delivery of targeted training in emerging areas, specialized areas and cross training with other departments of the Bank
  • Conduct a skills gap assessment across the Audit Department
  • Track, evaluate and monitor the quality and appropriateness of training provided to the audit staff
  • Provide strong leadership to motivate both individual and team performance. Build and foster effective working relationships with all levels of audit staff, globally
  • Collaborate with Director, Professional Practice and Director, Audit Technology Support to continuously identify opportunities and lead changes in process, methodology and technology that contribute to the efficiency and effectiveness of the Audit Department
161

Senior Audit Manager Resume Examples & Samples

  • Minimum 10 years proven data analytics or progressive information technology programming experience or equivalent
  • Bachelor degree in information systems, accounting, mathematics or related field or equivalent experience
  • Strong analytical, decision-making, interpersonal, time management and problem-solving skills
  • A track record designing/implementing advanced data analytics solutions
  • Strong and proven project management skills
  • Hands-on experience with Windows OS, Linux, and/or Unix development environments and navigation
  • Fluent in multiple BI tools - SAS, COGNOS, QlikView, etc
  • Extensive knowledge of software development practices/approaches
  • Collaborative and customer oriented
  • Resourceful and results driven
  • Attention to detail – quality focused
  • Effective writing skills
  • Effective influencing skills
162

Senior Audit Manager, ICG Benchmarks Resume Examples & Samples

  • Contributes to strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing of Global Markets and Treasury benchmark submissions or administration of benchmark calculation and publication of benchmark levels. This includes reporting methodologies, organizational design and effective positioning of the function to ensure provision of effective independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
  • Directs the execution a robust Audit Plan, by benchmark or group of benchmarks, in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
  • Ensures the delivery of audit reports and retrospective assurance on a sample basis for Citi’s benchmark submissions that are complete, insightful, timely, error free and concise
  • Takes responsibility and accountability of audit's coverage and reporting on common high risks areas related to benchmarks, such as conduct risk, and meet Consent Order requirements and other enforcement action compliance
163

Senior Audit Manager Resume Examples & Samples

  • Bachelor’s degree in Accounting and/or MAC/MBA degree
  • Minimum of 6 years of progressive audit experience
  • Strong project and time management skills
  • Strong marketing skills – generating leads, making contacts and securing clients
  • Demonstrated ability to lead, motivate, and coach teams of people, including experience and less experienced employees
  • Strong business management skills and ability to manage for short and long-term profitability
  • Strong leadership and active involvement in firm activities, community service, and firm-wide initiatives
  • Thorough understanding of firm products and services
164

Senior Audit Manager Resume Examples & Samples

  • Develops and maintains a suite of management information (i.e. reporting) across a broad range of Internal Audit programs, projects and Citi systems
  • Manages and maintains presentation support (i.e. governance reporting); including data compilation, research, summarization, and publication
  • Contribute specialist expertise and provide coaching to team members in each MIS workstream
  • Apply modern automation techniques leveraging IA tools to minimize the resource cost of scheduled reporting and repeatable queries
  • Consistently produce quality work evidenced by minimal errors and corrections in a fast paced environment
  • Strong management skills with a minimum of 7 years of practical MIS experience managing both people and process serving multiple clients
  • Possesses in-depth knowledge of the entire lifecycle of complex query analysis, reporting and presentations
  • Demonstrated knowledge and experience with SAS Enterprise Guide, other SQL tools, SharePoint and modern relational databases
  • Demonstrated knowledge of managing quality assurance processes for internal products
  • Experience with Risk, Compliance or Internal Audit is preferred
  • Experience with a Business Intelligence or Data Visualization tools is a plus
  • BS/BA degree or equivalent combination of education/experience. Degree in MIS, Mathematics, Computer Science, Information Technology (IT) or Economics preferred
165

SVP, T&M Senior Audit Manager, Group Audit Resume Examples & Samples

  • To manage and drive risk-based regional audit strategy & coverage of internal controls primarily in Treasury & Markets (T&M), Capital Markets, Securities and Treasury Liquidity Management (TLM). The individual will be responsible for managing a team of internal auditors to ensure that regional audit plans are executed in accordance with the annual audit plan
  • Manage the audit portfolios and actively apprise the Head of T&M Audit for any major risk and control that impact the control environment of the Bank
  • Supervise and execute audit plans in accordance with the Group Audit standards
  • Responsible for overall audit projects in ensuring appropriate risk assessment, coverage and timing. Perform on-going risk assessment of the business and related support units
  • Manage the audit resource allocation and provide inputs to Head of T&M Audit for department strategy formulation
  • Relationship management with senior management and external auditors and ensure that audit coverage and timing are managed properly. Develop effective relationships with middle to top level management while maintaining an independent perspective with the objective to be a trusted advisor to the BU/SU
  • Work closely with peers across teams, contribute as a key Audit Management Team member and develop close interactions within own team
  • Recruit, retain, and develop audit staff
  • Represent Group Audit in control forums with stakeholders
  • Lead special investigations and conduct training for the department
  • Drive changes and development in audit methodologies to ensure execution of effective and efficient audits
166

Senior Audit Manager Resume Examples & Samples

  • BA/BS or equivalent. Related certifications (ACAMS, CPA, ACA, CFA, CIA, CISA or similar) are a plus
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of AML risk, especially those associated with the consumer and institutional business
  • Knowledge of KYC, AML, Risk Assessment and Sanctions is a plus
167

Senior Audit Manager, Auckland Resume Examples & Samples

  • Appropriate and timely assessment of the risks and controls in place across the business, thereby assisting the business in meeting its integral objectives and stakeholder obligations
  • Manage and execute audits in alignment with ANZ Methodology
  • Lead audit projects end to end, motivating and directing the project staff
  • Drive and influence the business at a senior level with audit findings and recommendations
  • Contribute to the development of the annual Internal Audit plan and allocation of IA resources
  • Experience in managing large sized audits, or risk teams working on complex and high profile reviews across geographies
  • Extensive finance and banking industry knowledge/experience
  • Strong relationship management skills - ability to manage and influence senior stakeholders in an audit process
  • CIA, CISA, CRISC, CA qualifications preferable
  • Experienced with the auditing of technology risks and controls, with an Internal or IT audit background
  • Excellent negotiation, influencing and conflict management skills
  • Advanced verbal and written communication skills, along with exposure to communications and presentations at Senior Management level
  • Ideally, experience in developing people, with setting performance expectations and providing clear feedback against these
168

Senior Audit Manager Resume Examples & Samples

  • To provide quality, efficient and effective assurance and influence business managers to improve control
  • Contribute to IA strategic initiatives
  • When approved by the Head of Audit, to deputise for the Head of Audit in their planned or unplanned absence
  • To contribute to continuous monitoring in support of entity assurance planning & reporting, often taking responsibility for a particular area or risk element. Allocates and manages work required in support of this goal
  • Input into the Plan for your business area on an ongoing basis
  • To effectively lead high profile strategic engagements which have the potential to add significant business value, including the effectivel planning of the engagement, undertaking some fieldwork and reporting. Must sign off ESD
  • To ensure engagements are appropriately scoped, scheduled and resourced and to manage the prompt and effective response to ad hoc business requests
  • Manage efficient delivery of audit plans
  • To effectively contribute to strategy and approach papers when required
  • To promptly respond to ad-hoc business requests
  • To effectively recruit and manage the performance of engagement teams and drive their career development
  • To ensure development opportunities are made available to engagement teams through insightful allocation to engagements and through working as one IA team and using resources to best effect
  • To promote and undertake performance management activities effectively and on a timely basis
  • Product experience / understanding of financial markets instruments and risk measures. Ideally this will include Rates and Currencies products
  • Maintaining high impact relationships with executives
  • Ability to demonstrate decisiveness and sound judgement on a consistent basis
  • Understanding of key regulatory requirements impacting the CIB business globally and in Asia
  • Experienced manager with strong risk and internal audit experience
  • An ability to actively identify and help develop talent
  • Financial Markets related qualifications such as CFA, FRM etc will be considered advantageous
  • When deputising for the Head of Audit, ensure that plans and opinions are accurate, insightful and timely
169

Senior Audit Manager Resume Examples & Samples

  • Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation, business monitoring and governance committee reporting
  • Directs complex audit activities (e.g., Securitizations) for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan
  • Manages a complex and critical unit within Internal Audit (e.g., Basel III), including a medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management
  • Specific subject matter expertise in Basel III Regulations and a solid understanding of the technical implementation of Basel III end-to-end framework, including Securitizations
170

Senior Audit Manager ICG Resume Examples & Samples

  • Manage all aspects of TTS related audits in Mexico, in accordance with Internal Audit standards and local regulatory requirements
  • Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas within the main Transaction Services / Institutional Clients Group products and services including associated strategic, operational, compliance and regulatory risk aspects
  • Recruits staff, develops talent, builds effective teams, and manages a budget. Share and develop relevant audit and product knowledge within the Internal Audit team. Leads the professional development of Internal Audit staff
  • Applies an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach. Develop effective relationships with TTS and Risk Senior Management of the audited areas to ensure a strong understanding of the businesses and its strategies
  • Monitor key related processes and industry trends and assess the risks in the assigned business through the Business Monitoring process or required audits, identifying control deficiencies and recommending appropriate solutions
  • Ensure that Internal Audit works constructively with management and Compliance to identify corrective action plans to remediate the regulatory, governance, risk management or internal control issues, and that Internal Audit validates the issues promptly
  • Proactively advance integrated auditing concepts and use of technology (i.e. data retrievals, automated testing)
  • Ensure effective cost management and operation within budget for all Internal Audit activities
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of audit control issues
  • Analyses reporting findings; Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues
  • 10-15+ years of experience in control functions or process design/assessment roles covering Transaction Services related businesses within a financial services organization or with a public accounting or consulting firm that serves such clients. Prior experience in audit or risk is preferable with an ability to understand and analyze risks and controls within business processes, and develop, review and execute audit programs
  • Solid business understanding of Transaction Services products, especially those associated with Local and International Cash Management, as well as Trade Finance and Trade Services for Institutional Clients Group customers (Corporations)
  • Strong interpersonal and negotiations skills for interfacing with all levels of internal and external audit and management. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic and approachable style. Candidates must have a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views
  • Very strong written and verbal communication skills (English and Spanish), including an ability to engage in debate with senior management, are essential
  • Bachelor degree required; Master’s Degree is preferred
171

Senior Audit Manager Resume Examples & Samples

  • Accountability for managing small teams, reporting of findings, messaging to the business, and contributing more broadly to the IA Strategy
  • Maintaining effective working relationships with senior business leaders and risk executives
  • Providing deep technical Markets skills and a strategic and whole of business perspective in order to target Internal Audit efforts into higher risk areas and achievement of outcomes that add value to the business
  • Accomplished Senior Audit or Risk management professional with significant Markets experience, and appropriate tertiary qualifications
  • Ability to lead, inspire and influence a range of stakeholders across the business with emphasis on senior stakeholder management
  • Experience in global and regional investment banking trading businesses will be an advantage
  • Collaborative approach looking for ways to enhance current process and procedures
  • Ability to understand key risks and make time critical decisions
172

Senior Audit Manager Resume Examples & Samples

  • Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses/audit entities in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
  • Delivers on-time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate), branch examinations, as well as business monitoring and governance committee reporting
  • Proactively advances integrated and continuous auditing concepts and use of technology. Closely follows latest trends in regulatory compliance and adapts them for application within own job and the business
  • Advises Product Team auditors regarding the applicability of regulatory risks to their business segments, audit entities, and audits. Serves as an SME for regulatory concerns
  • Develops processes to identify regulatory risks, measurable characteristics, possible measures, and root cause analysis for regulatory coverage reporting
173

Senior Audit Manager Resume Examples & Samples

  • Identify control weakenesses and audit findings based on audit results, determine the root cause and associated impact/risk, and develop practical recommendations as to how risks can be mitigated
  • Manage self-development through confirming/comminicating job expectations and assessing progress; completion and monitoring of the personal development plan; identification of mentors/coaches, etc
  • Candidate must possess at least one fo the following
  • Strong written and oral communication skills – ability to write clear, concise audit reports/communications and present audit issues/findings to management
  • Expert knowledge of the trust business. This includes the types of trust structures, risks and risk management practices, regulations/regulatory framework, operations, and systems
  • Be a self-starter/takes initiative, highly results focused, deals well with ambiguity
  • Be highly proficient in the use of Excel and Visio. Previous experience with auditing software (e.g., Teammate) would be an asset
174

Senior Audit Manager Resume Examples & Samples

  • Deliver appropriate assurance through quality audit reports supported by appropriate audit evidence
  • Ensure the relevant management team within Internal Audit is apprised of any significant audit issues (this includes audit progress, challenges arising and issues) in a timely manner
  • Ensure effective constructive management and leadership of audit teams is provided
  • Ensure risk identification operationally is performed effectively, reducing where possible, the scope of the review without reducing the provision of assurance
  • Ensure line management buy into the audit findings while also proactively and effectively managing any disconnect in opinions that may arise between senior parties during an audit
  • Ensure relevant management and Chairman and members of Audit & Risk Committee of ANZ Royal keep informed of progress of audit plan, areas of concerns, open and overdue issues
  • Experience in managing large audit or risk teams working on complex and high profile reviews – with complexities such as multi geographies, multiple stakeholders, different areas of subject matter expertise, coupled with significant banking & finance industry knowledge
  • Tertiary qualified, ideally with Professional (CPA/CA) and Post Graduate qualifications with technically relevant skills (i.e. accounting, audit, credit risk, technology)
  • Excellent negotiating, influencing and conflict management skills
  • Significant demonstrated experience in managing audit or risk project teams
175

Senior Audit Manager Resume Examples & Samples

  • Developing the IT Audit strategy, in close cooperation with the Chief Audit Executive, and translates the audit strategy into objectives of individual audits. Takes responsibility for building and maintaining contact with executives
  • Takes responsibility for adequate assignment of auditors to conduct individual audits, in accordance with their competence and supervises the execution of the audits. Signs audit reports and discusses draft audit reports with executives at ING Bank Śląski S.A
  • Takes responsibility for the quality and co-ordination of audit tasks within the Audit Department. Ensures compatibility of actions with the audit methodology, and systematic documentation and completion of audit tasks. Supervises the process of verification of the effective implementation of audit recommendations
  • Manages a team of professional auditors, i.e. Audit Managers, Senior Auditors and Junior Auditors. Takes responsibility for development of the team, , including training and knowledge sharing
  • Takes joint responsibility for the Department’s contacts with: PFSA, External Auditors, Courts and other authorized bodies of the Republic of Poland in the area of his/her responsibility
  • Ensures good co-operation with Corporate Audit Service ING Bank, through a proactive stance in the course of joint audits and sharing the knowledge and results of the auditor work, in compliance with Polish law
176

Senior Audit Manager Resume Examples & Samples

  • 6+ years of financial services experience in a sales, account management and/or product support role or related audit/control function position
  • Bachelors degree is required
  • Knowledge of risks associated with FINRA and State Department regulations is preferred
  • Ability to write and communicate business recommendations that strengthen controls
  • Licenses or designations including one or more of the following: CLU, ChFC or CFP designation are a plus but not required
  • Ability to travel to locations outside of Newark on occasion and work outside of “normal” business hours when interactions with our international offices arise
177

Senior Audit Manager Resume Examples & Samples

  • Senior level experience in a related role with experience in audit, business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Ability to conform to shifting priorities, demands and timelines through analytical and problem-solving capabilities. Multitasking skills is a must
  • History of success working in a team environment
  • Technological proficiency. Strong Excel and PowerPoint skills are required
  • Bilingual (English/Spanish) is a plus but not required
  • Understanding of or experience working in a TTS Regional Processing Center servicing multi regional businesses is a plus but not required
  • Travel requirement: 30%
178

Senior Audit Manager Resume Examples & Samples

  • Develop a thorough understanding of the business, risks, control processes and emerging issues
  • Design and document an audit program to efficiently assess control effectiveness in areas of risk within assigned areas
  • Supervise assignment planning including scheduling, effective use of staff, and ensuring efficient travel arrangements are made
  • Supervise a team responsible for completing steps in the detailed audit program within established timelines
  • Efficiently evaluate the adequacy of system design and the internal control framework
  • Make timely decisions related to audit execution, prioritizing areas of risk, and identifying areas where scope can be reduced to address resource constraints
  • Identify and assess the materiality of control weaknesses, understand the underlying root causes and provide practical recommendations for resolution
  • Obtain management updates quarterly to track open audit issues until resolution
  • Ensure written communication is clear and concise and demonstrates a comprehensive understanding of the subject matter
  • Review written reporting from team members and provide coaching as needed to ensure submissions meet department standards
  • Prepare and present audit findings and issues to line management. Obtain management agreement with the findings, root cause and recommendations. Negotiate appropriate action plans and expected resolutions dates
  • Assist in drafting audit reports for review by the Director
  • Responsible for training and coaching direct reports as well as other officers who are assisting on audit projects lead by the Senior Manager
  • Direct and in-direct reporting relationships will overlap as you are involved in multiple projects
  • Participate or manage specific projects or investigations as assigned
  • Proven ability to coach, and provide effective feedback to others
  • High degree of flexibility to adapt to a variety of tasks as well as deadline and scheduling changes
  • Ability to multitask when managing a large team covering several concurrent assignments
  • Strong interpersonal, communication (written and oral) and relationship management skills to effectively manage the work of others
  • Thorough knowledge of MS Word and Excel
  • Attention to detail and strong analytical skills are essential
179

Senior Audit Manager Resume Examples & Samples

  • Works with Audit's senior leadership to develop, implement and communicate Corporate Audit's mission, goals and strategies. Provide advice, counsel and influence to critical decisions
  • Demonstrates and fosters critical thinking, strategic mindset, leads and drives change adoption
  • Provide coordination, management, and oversight of all administrative activities related to the development and implementation of the mission and goals of the Audit function for the group. Facilitates detailed planning of strategic programs, change initiatives, and roadmap against divisional priorities
  • Coordinates with leaders of audit teams, peers within audit operations, and partners with a high degree of focus on quality standards and conformance with policies and procedures. Fosters relationships with external peers, thought leaders and members of active roundtables to benchmark audit performance
  • Cultivates a deep knowledge of audit guidance, standards and evolving practices paired with hands on experience with innovative approaches, solutions, and systems
  • Work confidentially on issues related to departmental budget, headcount, and staff planning
  • Possesses strong communication skills, both verbal and written to facilitate interactions with all levels, in and outside the organization. Influences across the organization on key change programs and capable of proactively identifying opportunities as new priorities emerge
  • 7-10 years audit experience in a large, complex, financial services environment with demonstrated track record of advancement, leadership and business success
  • Strong interpersonal, leadership, and communication (both written and oral) skills
  • Able to lead change and integrate work in a fast-paced, highly matrixed environment, establish priorities and achieve results
  • Results driven, outcome-oriented leadership style with a high degree of energy and work ethic that suggests personal drive and dedication
  • Professional executive demeanor; decisive with highly versatile interpersonal skills
  • Ability to work as a leader or participant of large, cross-functional teams or as an individual contributor
  • Bachelor’s degree required; CPA, MBA or CFA preferred
180

Senior Audit Manager Resume Examples & Samples

  • The IT business processes supporting business objectives and maintaining the safety and soundness of the Bank
  • The application systems used for authentication, transaction processing, decision making and electronic delivery of products or services
  • Data that is entered and stored on behalf of the Bank and its customers
  • Third party service providers
  • Develop a thorough understanding of the business, risks and processes for assigned projects
  • Ensure facts are gathered and their full meaning is established; determine the root cause of the problem and provide practical recommendations as to how they can be mitigated
  • Present findings to senior Audit staff (OIC and Principal) and occasionally assist in audit closing meetings; follow-up for corrective action/progress against reported issues in the Audit Issues Tracking Database on a quarterly basis and escalate when necessary
  • As directed by management, carry out specific projects or investigations
  • Conversant with web technologies and frameworks, outsourced IT services, cyber security and cloud computing, gained through a combination of advanced education and work experience in a technical capacity. Deep knowledge on Agile principles and possess the flexibility to adapt to new and evolving environments would be an asset
  • Good project management, planning, organizational and analytical skills
  • Ability to problem solve and multi-task
181

MCI Senior Audit Manager Resume Examples & Samples

  • Assist Director in working with senior management to develop and implement a robust audit plan for MCI on an annual basis, which appropriately covers key risks to the business. Lead (to include plan, perform and review) these internal audit projects across the MCI LACA and wider MCI business unit as required. Ensure internal controls within business processes are efficient and effective to mitigate operational and strategic risks to acceptable levels, assets are adequately protected, and significant financial, managerial, & operating information is accurate, reliable, and timely. In addition, provide added value insight and process improvement to drive efficiency and consistency across global business units
  • Perform special local and global projects across one or more of the MCI business unit. Act as the MCI specialist for larger projects and global advisory audits which require cross-functional or multi-location complexities
  • Identify management action plans jointly with senior management. Ensure action plans properly address the risk as well as drive necessary improvements and efficiencies. Where further commitment is desired, work with appropriate management in an advisory capacity until the matters are appropriately resolved
  • Internal audit experience required. Big 4 external audit experience or equivalent
  • Strong technical audit skills with a comprehensive understanding of Internal Auditing Standards
  • Ability to develop and coach direct and indirect reports, peers and team members, assign responsibilities and hold people accountable
  • Knowledge of the complexities of a global company and ability to work within a matrix environment
  • Proven ability to work well with senior executives, leveraging strong intellectual, conceptual and analytical skills
  • Strong overall business acumen with the ability to align department resources against the real needs of the business
  • The presence, credibility and communication skills (written and verbal) required to influence others at all levels within the organization
  • Strong report writing and presentation skills
  • Demonstrated experience of attention to detail, time management and prioritization skills
  • Establish Internal Audit as a value add to the MCI organization
  • Demonstrates a level of high professional integrity
  • Proficient with respect to trends in Internal Auditing
  • Strong client service perspective
182

Senior Audit Manager Resume Examples & Samples

  • Provided assurance across the sourcing and third party supply chain or you will have worked in a sourcing/procurement environment
  • A strong understanding of sourcing and shoring model practices, industry themes, technology developments and regulatory focus areas
  • Practical experience of managing the risk and control environment associated with the identification, selection and management of the third party supply chain
  • Influence – ability to influence all stakeholders on things that really matter to their business. In doing so, we expect impeccable judgement considering costs and risks of decisions
  • Customer excellence – everyone within the Group puts customers at the heart of what they do – do you?
  • Project Management – demonstrate strong disciplines and deliver audits when we say we are going to and to desired quality. You demonstrate excellent analytical, presentational, verbal and non-verbal communication skills
  • Leadership – We leave people feeling happy and enthused. Do you? You will embrace change, lead our people through change and execute change to make the Group a better place for colleagues and customers
183

Senior Audit Manager Resume Examples & Samples

  • Provide quality, efficient and effective assurance and influence business managers to improve control, and contribute to Internal Audit (IA) strategic initiatives
  • Effectively lead high profile strategic engagements which have the potential to add significant business value, including the effective planning of the engagement, undertaking some fieldwork and reporting
  • Ensure engagements are appropriately scoped, scheduled and resourced and to manage the prompt and effective response to ad hoc business requests
  • Contribute to continuous monitoring in support of entity assurance planning and reporting, often taking responsibility for a particular area or risk element
  • Manage the delivery of audit plans, adding your input as an expert
  • Line manage a team, effectively recruiting and coaching them to success, allocating and managing workflow
  • Leverage IA's methodology and tools, identifying key risks, making sure appropriate tools are used
  • Ensure that your portfolio of engagements are delivered to budget and on time
  • When needed, deputise for the Audit Director
  • Experienced manager with strong risk experience
  • Proven competence to deliver projects on time and to budget
  • A relevent professional qualitication or equivalent work experience
184

Senior Audit Manager Resume Examples & Samples

  • Collaborate with cross functional process owners to build knowledge and understanding of risks and controls
  • Conduct risk assessments and determine the annual ICRM audit scope to ensure adequate risk coverage
  • Plan and execute internal financial and operational audit projects as outline in the approve annual ICRM audit plan
  • Develop and maintain collaborative, team-driven relationships and effective communication between financial and operational teams, top management, control functions and external audit
  • Support continuous effort to streamline and improve processes and internal controls to mitigate risk and maintain a strong internal control environment
  • Contribute, and enhance the ICRM documentation (charter, template, follow up file, leveraging the Bwise/Nasdaq GRC Solution)
  • Prepare and support quarterly reporting to Internal Control Committee, Audit Committee and Senior Management
  • Allocate and manage internal and external resources appropriately to ensure efficiency and effectiveness in achieving the planned coverage within budget
  • Provide recommendations on standards of control in proposed systems and operations within company projects
  • Contribute to the overall strategy and execution of the Internal Control and Risk Management of Criteo
  • BS/MS in finance (equivalent experience may be acceptable)
  • 8+ years of experience in external audit and/or internal audit
  • A strong understanding of SOX and internal controls
  • Experience in “Big 4” public accounting/consulting firms and CA, CPA, CIA Certification preferred
  • To be fluent in English, spoken and written – any other language a plus
  • To be extremely proactive, organized, responsible and agile in approach to problem solving
  • Ability to drive internal control strategy beyond the specifics of meeting the letter of compliance
  • Ability to sell meaningful ideas within an assertive, highly motivated Criteo culture
  • Ability to work in a very fast-paced and continuously changing environment
  • Strong customer focus; good listening, negotiation and problem-resolution skills
  • Excellent analytical, accounting and audit skills including project management and engagement closure
  • Confidence, poise and diplomacy when interacting with all levels of management
  • Excellent written and verbal communication skills. Able to articulate complex concepts in a concise manner in both written and verbal presentations across all levels of the organization
  • Understanding of: GAAP; SEC reporting requirements; Sarbanes Oxley Act and PCAOB Auditing Standards
  • System skills in SAP, Microsoft Office and Governance Risk and Compliance (GRC) Tool preferred
185

Senior Audit Manager Resume Examples & Samples

  • Bachelor’s degree and 15+ years of Internal Audit experience, including experience with large complex financial institutions
  • Related experience with fiduciary and asset management activities (such as trust and estate services and operations, corporate trust, global custody, broker dealer and registered investment advisor)
  • Knowledge of: fiduciary laws and requirements in the areas of personal trust, corporate trust and global custody; SEC and FINRA regulations related to a dually registered Broker Dealer / RIA; and fiduciary risks associated with outsourced arrangements
  • Management and leadership skills, including the ability and interest to train and mentor other team members
  • From 25 – 40% may be required
186

Senior Audit Manager Resume Examples & Samples

  • Plan, execute, and direct audit coverage for Consumer Banking functions based on corporate and industry risks and regulatory guidance, seeking efficiencies in audit coverage
  • Oversee audit staff assigned to each audit, appropriately assigning staff based on experience level and knowledge of audit subject. Ensure compliance with Internal Audit Methodology in all aspects of audit execution
  • Provide the Audit Director with appropriate information regarding the status of the audit plan, controversial issues, strategic business initiatives, etc., that impact the overall goals of the department
  • Prepare well-crafted, factually accurate, and concise issues, discussing and agreeing the issues with business line management
  • Draft audit reports in line with Internal Audit’s Methodology, determining an overall opinion on the adequacy and effectiveness of the audit subject’s control environment and the effectiveness of management’s control approach. Ensure audit reports accurately reflect audit findings documented in audit work papers. Finalize audit report by established deadlines
  • Develop strong working relationships with business line managers for assigned lines of business through proactive communication with management
  • Obtain and demonstrate the strategic goals of business lines, providing management with proactive guidance and assistance on the internal control environment
  • Demonstrate marketplace awareness as it relates to assigned lines of business and apply this knowledge to audits, special projects, and the overall operations of the team
  • Proactively and effectively manage team resources. The Senior Audit Manager will have overall responsibility and accountability for hiring and developing team members, providing team members with challenging opportunities, timely feedback, training, and overall career development guidance. The Senior Audit Manager will develop a professional staff capable of meeting team, department, and organizational goals; preparing staff to adapt to changes in the corporate environment; and motivating them to higher levels of performance
  • 10+ years financial industry experience preferred in the auditing, consumer lending, finance, or regulatory areas
  • Strong knowledge of consumer lending products, operations, and regulatory requirements
  • Audit experience in the financial services industry
187

Senior Audit Manager Resume Examples & Samples

  • Develop and document findings and recommendations in the audit report
  • Ad hoc process improvements for continuous improvement
  • 5+ years of related experience working in public accounting or gained while working on an audit team for a mid-sized to large corporation
  • Excellent oral written communication skills
188

Senior Audit Manager Resume Examples & Samples

  • Conducts all aspects of complex investigations, across all product lines, functions, or legal entities at the regional or country level and at the direction of Ethics Office, CSIS or other investigative function. This may include development of investigative work plan, conducting inquiries, analyzing data and records, coordinating with other investigative functions, reporting and investigation closure and working with Internal Audit teams or other functions on knowledge sharing of investigation lessons learned
  • Comfortable and able to adapt to changing priorities
  • Knowledge of accounting concepts would be beneficial although is not required
189

Senior Audit Manager Resume Examples & Samples

  • Plan and manage operational, and compliance audits, and investigate special circumstances as requested by the Auditor
  • Issue audit reports that accurately and effectively communicate audit results, evaluation criteria, root cause of exceptions, recommendations for improvement, and corrective action to be taken by management
  • Manage assigned staff to ensure that audits are completed timely, within budget, and include required deliverables
  • Ensure that deliverables (work papers, reports, analyses) for assigned audits are consistent with departmental quality standards and regulatory expectations
  • Assist the SVP/Auditor in developing process flows, departmental standards, and related policies
  • Support and assist in the coordination of external audit and regulatory examinations, as needed
  • Assist the Auditor in developing the Annual Audit Plan
  • Provides feedback to the Auditor during the annual performance review process relative to staff performance on assigned audits
  •  Position requires a Bachelor’s degree from a four year college or university in accounting, or finance or business administration with a concentration in accounting. Masters degree preferred
  •  CPA, CIA, or CRCM required
  •  Candidates must possess excellent organizational and verbal/written communication skills, and demonstrate a high level of attention to detail
  •  Must be comfortable in research and interpretation of accounting literature and banking regulations
  •  Communicate effectively, both in writing and verbally, at all levels within the company
  •  Ability to work on multiple, concurrent projects, as part of a team or independently, and research, understand, and evaluate Bank operations, rules and regulations
  •  Posses the ability to organize, prioritize, and complete work assignments in a timely manner
  •  Demonstrate a high level of personal integrity and reflect an appropriate level of judgment, maturity, and confidentiality
  •  Computer proficiency with Microsoft Office is required
  •  Must have valid Washington state driver’s and be insurable under the Company policy
190

Senior Audit Manager Resume Examples & Samples

  • Responsible for execution and review of the audit work completed
  • Develop and manage a team of IT audit professionals
  • Liaise with IT and business leaders to maintain positive and transparent working relationship and represent Audit on management committees and key projects
  • Execute and manage ongoing audit communications and the reporting process with Executive Management, external auditors, and regulators
191

Senior Audit Manager Resume Examples & Samples

  • Develop and agree the BAESSA/KPC annual audit plan
  • Manage the delivery of the BAESSA/KPC audit programme on time and in line with agreed budgets
  • Provide oversight that the Global Audit Process is applied effectively in audit work carried out in the BAESSA and KPC businesses
  • Co-ordinate the production of papers for, and attend, BAESSA Audit Review Board and KPC Audit Committee meetings
  • Manage the accuracy, timeliness and effectiveness of Internal Audit reporting to senior management in the local business units, Group and the Internal Audit leadership team
  • Co-ordinate the effective and timely closure of audit issues, where actions have been completed by the business
  • Assess business risks to allow an appropriate challenge to the business: for example during the Operational Assurance Statement (OAS) process
  • Manage the internal audit department’s relationships with the leadership teams in BAESSA and the KPC’s, and other relevant stakeholders
  • Create a positive team environment while managing the performance of team members. Develop the capability of the team through on the job training and mentoring, facilitating their next moves to roles within the business
  • Plan, execute and report on audit investigations and other ad hoc work as required
  • Contribute to the development of processes within Internal Audit to continuously improve the overall quality of audit work and its value to Group
  • Transport allowance
  • Tawnia health care scheme for Employees and immediate family
  • Discounted Tawnia health care scheme for Employees Parents
192

Senior Audit Manager Risk Functions Resume Examples & Samples

  • Develops a risk based audit methodology for the coverage of the Bank’s risk functions and related businesses across the enterprise, including risk identification, assessment and monitoring
  • Develops audit approach and audit programs and provides comprehensive training to Audit Division on appropriate testing and coverage of the risk functions and related business areas
  • In support of the Chief Auditor, develops a risk-based audit plan that ensures the appropriate coverage of the key risk functions/ business areas, ensuring that audits are conducted according to relevant auditing standards. Perform continuous monitoring and conduct ongoing risk assessments of key business processes as part of the development/ modification of the annual audit plan
  • Leads/ participates in impactful special projects/ reviews (i.e. change assurance reviews, new businesses/ processes, investigation of incidents, etc.) in close coordination with the Chief Auditor
  • Communicate risk based findings to senior management, providing root cause analysis and suggesting/ monitoring corrective actions until findings are resolved
  • Provide subject matter expertise and support to the Audit Division on matters relating to the key risk functions (i.e., Credit Risk, Treasury, etc)
  • Responsible for driving / managing certain key strategic initiatives in close coordination with the Chief Auditor. Successful execution will require the development of strategic relationships, developing an effective continuous risk monitoring/audit approach and training IAD personnel regarding requirements for audit coverage
  • Manage a team of senior and staff auditors, including participation in the hiring process, onboarding, training and performance management
  • Keep current on industry, regulatory and business specific changes in the areas of coverage. Evaluates on an ongoing basis, internal and external risks to assigned business lines and designing audit plan to ensure proper coverage of significant risks
  • Responsible for managing relationships with senior stakeholders within the Risk and related business functions. Understand the key risks and influence and deliver messages to the appropriate stakeholders. Adds value through consultative interactions with business line management, participation in senior business management control/ governance meetings/forums, etc
  • Responsible for managing relationship with regulators for topics within remit
  • Minimum of 10 years’ progressive internal audit and/or risk experience in a Bank or the Financial Services industry required
  • Knowledge of bank operations and risk related functions required
  • Bachelor’s degree in Accounting, Finance or related field is required
  • CPA, CIA or other related professional certification a plus
  • Fina ncial Risk Manager (FRM) or other risk management related certifications also preferred
193

Senior Audit Manager Resume Examples & Samples

  • Reviewing effectiveness of risk management controls and measurement technique, limit design and monitoring, risk reporting and traded products valuations based on a detailed understanding of the trading strategies and products
  • Reviewing adequacy of risk management methodologies employed to manage the Banking book such as Structural Interest Rate Risks and various Liquidity measurements
  • Working with auditors within the audit departments to perform end-to-end business line reviews, as directed by Director / V.P. Global Banking and Markets Audit
  • In-depth knowledge of complex capital markets and banking products with superior understanding of various risk management techniques
  • 3-5 years of experience in capital markets risk management or audit functions. Prior auditing experience with respect to trading and treasury activities, especially exposure in working with traders and risk management personnel would be an asset
  • Strong and up-to-date knowledge in capital markets and banking regulatory requirements and trends
  • Ability to quickly understand the risks associated with new products, processes, routines and formulate audit procedures to ensure that the controls are adequate
  • Strong written and oral communication skills with superior issue and audit report writing skills
  • Working knowledge in risk based audit methodologies
194

Senior Audit Manager Resume Examples & Samples

  • Provide strong leadership to the audit team
  • Perform Medicare and Medicaid managed care and general healthcare assurance engagements
  • Oversee analyses and audits relating to healthcare engagements
  • Review policies at regular intervals and track developments in the relevant law or regulation
  • Update policies and procedures in accordance with new developments
  • Develop and manage staff
  • Develop testing procedures and draft corrective action plans
  • Maintain successful client relationships
  • Oversight of work plan functions, due dates, and preparation of deliverables
195

Senior Audit Manager Resume Examples & Samples

  • 5+ years of audit experience with a technical proficiency in certified financial statement audits and reviews
  • Significant nonprofit experience with A-133
  • Excellent client relationship and interpersonal skills
196

Senior Audit Manager Resume Examples & Samples

  • Develops the annual audit plan to achieve departmental and corporate objectives. Works closely with management in the planning, development and execution of short and long term goals. Demonstrates initiative and creativity in independently recommending and implementing solutions
  • Performs inquiries of key management personnel to assist in developing the strategy of the audit
  • Approves the audit strategy for each audit
  • Reviews and approves audit reports and other communications to management. Assists the Audit Director in preparing communications to the audit committee
  • Establishes and maintains effective working relationships with unit, department and division management, as well as PricewaterhouseCoopers
  • Participates in the development of departmental and project budgets. Reviews expenses and ensures that the team is operating within budgetary guidelines and the Vanguard Unmatchable Excellence dashboard
  • Ensures operational efficiency and effectiveness within the unit. Sets measurable goals and examines ways to raise standards, to increase quality and to improve overall performance of the unit
  • Accepts overall responsibility for the team's progress and measures success in completing the annual audit plan for the division, and in meeting departmental objectives
  • Manages multiple projects, both Departmental and Divisional, and performs other related duties as assigned
  • Participates in special projects and performs other duties as assigned
  • Undergraduate degree or equivalent combination of training and experience. (BS or BA in a business related field of concentration. Professional certification or advanced degree (e.g., CPA, CIA, MBA) preferred)
  • Eight to ten years of business experience, with two to four years of previous management experience. Five or more years of Internal Audit experience with two to four years of previous management experience preferred
  • Advance Organization Integration
197

Senior Audit Manager Resume Examples & Samples

  • Ten or more years of experience in an applicable risk management environment
  • Applicable certifications
  • Expert knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
  • Expert knowledge of the business line’s operations, products/services, systems, and associated risks/controls
  • Advanced knowledge of Risk/Compliance/Audit competencies
  • Strong leadership and management skills of processes, projects and people
  • Strong analytical, problem-solving and negotiation skills
198

Senior Audit Manager Resume Examples & Samples

  • Partner with company leaders company leaders and finance associates regarding the identification, monitoring and testing of key controls. while being, competitive and cost effective
  • Design a systematic risk assessment framework to identify and rank risk areas including all business units and processes
  • Draft audit programs. to ensure complete coverage and analysis of assigned areas
  • Develop 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. Work closely with process owners to ensure corrective action plans are in place and to remedy gaps in controls
  • Develop a strong working relationship with the independent auditors and coordinate when possible to ensure maximum efficiency from the internal and external audit resources
199

Senior Audit Manager Resume Examples & Samples

  • Dynamic Audit Focused Role
  • Sydney CBD Work Location
  • Attractive Salary and Benefits Package
  • Extensive experience in delivering a risk based internal audit methodology, or similar experience, such as external audit or risk management. Preferably with experience in designing, executing and leading audits to high quality standards and drafting and communicating key audit messages, recommendations and reports effectively
  • Demonstrable experience of working in internal audit, risk or business roles in the wealth industry, including investments, superannuation, insurance and financial advice
  • Strong verbal and written communication skills, as well as good listening and interpreting skills
  • Strong relationship management of key business stakeholders. Communicates sometimes difficult messages with courage and overcomes resistance to audit work and recommendations, whilst demonstrating pragmatism and commercial awareness
  • Constantly delivers on assigned goals and strives to better these goals despite obstacles, set-backs or uncertainty
200

Senior Audit Manager, Audit Resume Examples & Samples

  • Coordination of quarterly and annual reporting to the Audit and Conduct Review Committee
  • Ensuring that key performance indicators are accurately summarized and depicted
  • Ensuring that the audit plan numbers are accurately summarized and reported; and
  • Conducting quality assurance reviews of risk assessments, resource requirements and audit strategies
  • Assist Audit Senior Management in managing the Department’s activities by
  • Performing ongoing data mining and analysis and providing accurate and timely management information including quarterly audit dashboards
  • Ensuring high availability, integrity and reliability requirements are met for each of the Audit databases that feed the reporting processes. This includes
  • Performing data integrity checks and reconciliations to ensure the data in the databases are appropriate and timely; identifying discrepancies, and undertaking resolution where necessary; and ensuring consistency across the databases
  • Ensuring input, processing, output and access controls are in place across all audit databases; and
  • Participating in the systems implementation/enhancement to Audit databases and processes by defining business requirements and processes, developing test strategies and test cases, performing testing, defining user procedures and workflows, verifying conversion, providing user training, and post-implementation support; and
  • Updating and maintaining of databases as required, to reflect changes in business or environment
  • Providing complete and accurate audit MIS to Bank’s management, regulators and external auditors
  • Contribute towards the enhancement and effective management of the global Audit function by participation in
  • Development and maintenance of the Audit Methodology and communicating new, and/or changes to existing methodology/standards
  • Preparation of the annual Human Capital report
  • Audit Department’s training program, by developing training materials and delivering training sessions; and
  • Keeping abreast of changes in laws, regulations, professional standards, and industry best practices pertaining to internal audit
201

Senior Audit Manager Resume Examples & Samples

  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of AML Risk, especially those associated with the consumer and institutional business
  • Experience with compiling information from numerous alerts and transactions
  • Experience in working with AML programs that have been established to comply with the local and U.S. regulatory requirements, second line of defence policies and procedures, provisions and guidelines established by the federal regulators and other related agencies as related to prohibited activities, money laundering and financing of terrorism, and all applicable regulations governing banking activities and operations
  • Working knowledge of regulatory requirements and the related risks and controls and demonstrate the ability to work with senior management and lead audit team execution
  • Knowledge of KYC, AML Risk Assessments and Sanctions is a plus
202

Senior Audit Manager, AML Resume Examples & Samples

  • Develop a thorough understanding of the business, risks and processes for assigned projects through a review of the Business overviews, Risk Assessment Database, Bank manuals and other related information
  • Assist in scheduling audits and identifying necessary resources, ensuring the approved audit plan is implemented
  • Direct the planning of AML audits for diverse units by ensuring scope and extent of work is in accordance with the approved plan, timing and budget are reasonable, procedures are efficient, appropriate resources are assigned, and risks understood. Prepare planning documentation and sample selection in accordance with the Audit Methodology including the Audit Project Outline and commencement activities
  • Complete on-site review of assignments as required to ensureensuring adequacy of work performed to support the audit conclusions and compliance with Department Audit Methodology
  • Prepare and/or review audit findings for presentation to management
  • Document reported issues in the Audit Issues Tracking Database as required
  • Present findings to line management and conducts audit closings including a discussion/presentation to management with an overview of the audit results and findings for those assignments with some assistance from more senior audit personnel
  • Follow-up for corrective action/progress against reported issues in the Audit Issues Tracking database on a quarterly basis. Escalate where necessary
  • Prepare/review (for direct reports) periodic and annual performance self-assessments, personal goals and objectives for measurement of performance, a career development and training plan and monitor for achievement/completion
  • Manage self development by/through confirming/communicating job expectations and assessing progress ; identifying mentors/coaches and inquiring about training needs; ensuring timely completion of performance appraisals; recruiting, interviewing and selecting candidates
  • Continue self-development to expand or maintain an understanding of the business line’s key processes and business applications
  • Provide advisory services as assigned (E.g. recommendations for procedure changes, review/advise on internal control design, etc
  • Make presentations to other staff to share information for areas of specialization or information obtained in training programs and external courses
  • OSFI and international regulatory compliance frameworks and requirements
203

Senior Audit Manager Resume Examples & Samples

  • Support the Head of Department in executing the annual audit plan
  • Manage the audit assigned and ensure that they are delivered on time, on budget and to the required standard
  • Assess and evaluate the governance framework, risk management and regulatory compliance processes and internal controls systems and provide value-added opinions and recommendations
  • Ensure audit work is completed and documented in accordance with required standards and Key Performance Indicators
  • Track and assess the implementation of audit recommendations
  • Support the department in ad-hoc assignments/ special projects
204

Senior Audit Manager, Operations Resume Examples & Samples

  • Joining us as a Senior Audit Manager in our Internal Audit function will position you in a highly visible part of the bank, and give you the opportunity to gain a great insight into how we work
  • You'll enjoy a great deal of variety as you'll oversee multiple audits, run high profile projects, and contribute significantly to the Operations strategy
  • This is a fantastic opportunity to be recognised for your rigour, leadership, and integrity
  • Managing your team as they deliver engagements which will be at times complex and high profile in nature
  • Building credibility and trust with business stakeholders to enhance Internal Audit's reputation as an objective and trustworthy business partner
205

IT Senior Audit Manager Resume Examples & Samples

  • Provides the Audit Director with appropriate information regarding the status of the audit plan, issues, strategic business initiatives, etc., that impact the overall goals of the department
  • Develops strong working relationships with line managers responsible for assigned lines of business. Relationships are predicated on proactive communication lines with management
  • The incumbent must understand the strategic goals of business lines and help provide management with proactive guidance and assistance on the internal control environment
  • Minimum 10+ years of public accounting, internal auditing or related experience
  • Experience and familiarity with Cyber Security programs, framework, National Institute of Standards and Technology (NIST), Federal Financial Institutions Examination Council (FFIEC) and strategies
  • In-depth technical experience with emerging Cyber Security domains including cloud security, Network/Host Intrusion Detection Systems (N/HIDS), penetration testing and insider threat/ user behavioral analytics
  • Experience with configuration and security features for IT Infrastructure and products including Operating Systems (Windows, UNIX and z/OS), Storage, Database, Middleware, Batch Processing, Data Loss Protection/Prevention and Identity and Access Management
  • Ability to understand and synthesize technical issues in discussions with technical and non-technical stakeholders
  • Experience developing staff capable of meeting team, departmental, and organizational goals; preparing staff to adapt to changes in the corporate environment; and motivating them to higher levels of performance
206

Senior Audit Manager Resume Examples & Samples

  • Regarded as a Subject Matter Expert within business unit and shares knowledge
  • Make recommendations on internal department procedures
  • Recognize business opportunities for our clients and for CBIZ
  • Manage staff on engagement deliverables (such as financial statements, tax returns, work papers, etc.); complete technical and strategic reviews as a member of the final engagement review team to ensure quality control standards are met
  • Responsible for billing and realization on assigned clients; develop overall engagement budget, explain variances
  • Work to develop responsible, trained staff by conducting performance feedback and evaluations
207

Senior Audit Manager Resume Examples & Samples

  • Develop the internal audit team through recruitment, training, performance management and providing regular feedback as well as on-going coaching
  • Represent Internal Audit on management committees and on key projects
  • Perform reporting for the group; and
208

Senior Audit Manager Resume Examples & Samples

  • Knowledge of the Agile development methodology
  • Previous IT project audit experience
  • SOX controls testing experience
  • A recognized professional designation (e.g., CISA, CISSP) specifically related to technology auditing or having successfully completed the necessary work period and examination
  • Strong knowledge of Encryption with PCI-DSS exposure
  • Strong client relationship experience
  • Excellent knowledge of banking application systems
  • Knowledge and experience in the design and architectural review of banking application systems
  • Knowledge of SQL, RDBMS and OLAP database design or DBA experience
  • Knowledge of application development environment & technologies – platforms, programming language skills , Web integrated systems, testing methodology, and various development tools
  • Knowledge of data extraction and analytical tools like ACL and SAS
  • Verbal and written communication skills to deal with executives
  • Knowledge of various ISACA (COBIT) and ISO Frameworks for assessing risk and controls
209

Senior Audit Manager Resume Examples & Samples

  • Supervising Audit Project Managers, Senior Auditors and Staff Auditors in the completion of audit engagements. Includes planning audit engagements; assessing work performed by Audit Project Managers; performing sufficient work paper review to ensure work papers contain relevant facts to support audit scope and conclusions and adhere to CAS Policies, Standards and Guidelines; and drafting Audit Reports which communicate audit opinions and audit issues in a timely, clear and concise manner. Also includes monitoring progress of audit engagements against plan and schedule and making necessary adjustments
  • Performing other duties as requested by CAS management
  • Bachelor’s degree (preferably in Accounting, Finance, MIS)
  • Ten or more years of experience in internal auditing or public accounting
  • Three or more years of managerial experience
210

Senior Audit Manager Resume Examples & Samples

  • In coordination with the CAE, develop the annual audit plan, completion of risk assessments, and manage a comprehensive audit universe covering complex areas of the bank such as DFAST, Model Risk Management, Allowance for Loan Loss, Commercial and Specialty Lending, and various finance and operational areas
  • Responsible for the execution of the risk-based audit plan and other projects as assigned by the CAE. Such work includes, but is not limited to, conducting and/or supervising all phases of the audit process (planning, fieldwork and reporting) to the testing of controls compliant with bank policies and regulatory requirements and production of a written report
  • Strong analytical skills to evaluate root causes of issues and work with management to recommend remedial actions and perform ongoing monitoring of the effectiveness of management’s action plan
  • Communicates ideas related to complex or controversial issues appropriately, using information or data effectively to persuade others to support viable recommendations
  • Performs risk assessments of business units and functions of the company that include operational, financial, and compliance components
  • Maintain high level of awareness of business, economic, regulatory, and emerging risks and subsequently, coordinate with CAE to adjust applicable risk assessments, audit plans and resources
  • Coordinate internal audit activities with those of the external auditors and third party providers engaged to assist internal audit with SOX, IT, and other outsourced projects
  • Recruit, manage, mentor, train, and retain a strong team of talented audit professionals. Ensure the staff is continuously exposed to the required range of training opportunities needed to keep them abreast of changes in the banking industry and in the discipline of internal auditing
  • Evaluate the performance of subordinates; recommends promotion, salary adjustments within approved guidelines, counsels and/or disciplines employees as necessary
  • Participates in meetings and serves on committees, representing the audit function in an advisory capacity in ensuring effective risk management and internal control practices are designed and built into operational, financial, and compliance processes
211

Senior Audit Manager Resume Examples & Samples

  • Work collaboratively with Senior Managers to develop strategies to meet 2017 goals/objectives identified by General Auditor. In addition, identify risks, foreseeable challenges to the Audit Department and develop potential solutions (e.g., resourcing, utilization, etc.), as they relate to the global audit department. Present this information to the General Auditor for consideration
  • Promote audit quality and provide critical leadership by (1) clearly defining the scope/objective of each audit/project, as well as the key risks to be evaluated during the planning phase; (2) review in detail and approve testing strategies prior to test performance as required by IIA Standards; and (3) ensure potential issues are thoroughly vetted prior to issuing draft reports
  • Direct and review the activities of the audit team and work collaboratively on audit reports
  • Provide overall leadership to the audit team in connection with performance of the work and personal development and growth
  • Plan and conduct effective meetings with departmental staff and internal clients
  • Participate in business line oversight committee
  • Participate in more KYC/AML audits and/or subject matter and deliver industry expertise and perspective to the team and business line management
  • Assist Audit Committee in fulfilling its oversight responsiblities as it relates to AML/BSA/KYC subject matters by providing the Committee with relevant, concise and understandable audit deliverables (e.g., assurance reports/memos, advisory communication, audit committee material, etc.)
  • Review and finalize draft audit reports/memos to ensure work products provided to the GA as relevant, concise, factual and understandable
  • Demonstrate organizational agility by knowing how the Firm works; how to get things done both through formal channels and informal network. Understand the origin and reasoning behind key policies, practices and procedures; understand the culture of the Firm
  • Identify the auditable entities that make up assigned line of business(es), and the related auditable units. Determine the number of size of auditable units for the purpose of ensuring full coverage and adequate transparency to the Audit Committee. Review and approve all Risk Assessments for my assigned line of business(es)
  • Maintain/develop balanced relationships with BBH management: routinely meet with Senior Management to discuss current and future changes that may impact the risk profile and control infrastructure within the business. Facilitate effective brainstorming with management and project how potential ideas may play out in mitigating risk and redefining the Firm's control environment. Share with BBH management key topics/information obtained from industry roundtables, seminars, current events, etc., that are relevant to meeting business objectives and managing risk. Become the business' trust advisor, while still maintaining independence and objectivity
  • Escalate significant audit issues, set direction/communicate proposed manner of resolution of audit issues and concerns that have a significant impact
  • Develop and maintain peer relationships with internal auditor groups/associations to share best practices
  • Assist external auditors in accomplishing their goals
  • Recruit, train, supervise and develop staff
  • Present audit results and recommendations to senior management
  • Bachelors Degree in Finance, Accounting or related field of study
  • 12+ years audit, audit-related or relevant business line experience
  • Excellent analytical, communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
  • Demonstrated technical abilities in accounting, regulatory, etc
  • Advanced knowledge in policies, procedures and controls designed to comply with the Bank Secrecy Act (BSA) as amended by the United and Strengthening America by providing tools required to intercept and obstruct Terrorist Act of 2001 (PATRIOT ACT) and the Executive Orders and regulations administered by the U.S. Treasury Department's Office of Foreign Assets Control (OFAC). Also, knowledge in local regulatory requirements: Regulators (Federal Reserve, OCC, etc.)
  • Professional audit certifications preferred (CIA, CPA, CISA, etc.)
  • Certified Anti-Money Laundering Specialists (CAMS)
212

Senior Audit Manager Resume Examples & Samples

  • 4+ years of current and/or recent financial statement audit experience within a public accounting firm with demonstrated supervisory experience in the Financial Services Sector
  • Licensed Connecticut State CPA
  • Applied working knowledge of US Generally Accepted Accounting Principles (GAAP), US Generally Accepted Auditing Standards (GAAS), and Public Company Oversight Board (PCAOB) Auditing Standards
  • Industry and public accounting experience
213

Senior Audit Manager, Consumer Resume Examples & Samples

  • Reviews and approves Business Monitoring Quarterly Summaries and entity Risk Assessments
  • BA/BSc or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Consumer Banking products, especially those associated with the Retail Banking and Mortgage businesses and the consumer credit risk function
214

Senior Audit Manager Resume Examples & Samples

  • Contribute to IA strategic initiatives, when approved by the Head of Audit; contribute to continuous monitoring in support of entity assurance planning and reporting, often taking responsibility for a particular area or risk element
  • Input into the Plan for your business area on an ongoing basis, effectively lead high profile strategic engagements which have the potential to add significant business value, including the effective planning of the engagement, undertaking some fieldwork and reporting
  • Ensure engagements are appropriately scoped, scheduled and resourced and to manage the prompt and effective response to ad-hoc business requests; manage efficient delivery of audit plans
  • Effectively contribute to strategy and approach papers when required; promptly respond to ad-hoc business requests; promote and undertake performance management activities effectively and on a timely basis
  • Ensure development opportunities are made available to engagement teams through insightful allocation to engagements and through working as one IA team and using resources to best effect
  • Technical skills auditing either applications or supporting infrastructure - operating systems, databases, networks, firewall; knowledge of IT General Controls, Information Security, COBIT and ITIL IT processes
  • Certified professional designation(CISA, CISSPS and CISM) will be an added advantage, understanding of Technology risks with the ability to translate this into business issues
  • Strong project/audit management experience having managed multiple audit engagements simultaneously across geographies
  • Experience of working within a matrix management structure and has experience of managing, and being managed by, colleagues in other geographies
  • Broad technical experience across the application, cyber and infrastructure technologies
215

IS Senior Audit Manager Resume Examples & Samples

  • Research information system assurance and regulatory issues that arise during an audit engagement to determine client compliance with regulatory statutes
  • Develop whitepapers and thought leadership documentation
  • Manage business development activities, such as proposals, capture, account teams, conferences, and/or other thought leadership materials
  • Minimum six years of experience in one or more of the following capabilities: IT internal controls testing/auditing
216

Senior Audit Manager AML Resume Examples & Samples

  • Act primarily as Project Lead for moderate to highly complex AML audits that focus on the processes and internal controls of the Global - Compliance unit and other major compliance units in higher risk areas globally
  • Support the Director, AML Audit to develop, maintain and monitor application of audit programs for high risk compliance processes, and to collect, analyse and report cross bank AML audit findings
  • Review and provide input to changes to compliance policies, handbooks etc
  • Develop and/or update Detailed Audit Programs (DAPs) when changes in AML/ATF and Sanctions regulations and processes occur as required
  • Ensure audit results are gathered, determine the root cause of the problem and associated impact, and report accordingly with limited supervision. Confirm results of the audit work with the auditee
  • Written reports and correspondence demonstrate good understanding of issues with key risks clearly articulated and materiality and associated impact clearly explained in accordance with the Department Audit Methodology. Recommendations build in best practices observed in other units
  • Manage self development by/through confirming/communicating job expectations and assessing progress ; identifying mentors/coaches and enquiring about training needs; ensuring timely completion of performance appraisals; recruiting, interviewing and selecting candidates
  • Manage assigned staff
  • Assist/OIC work performed on behalf of the external auditors as assigned
  • Attend to conference and seminars to acquire a comprehensive update of the AML/ATF and sanctions regulations and legislation affecting the financial services industry. Complete required CPE credits to comply with CAMS certification renewal requirements
  • AML requirements and Bank policy regarding AML/ATF/KYC and sanctions including Canadian regulatory requirements as well as FATF recommendations
217

Senior Audit Manager, IT DA Resume Examples & Samples

  • Reliance on third party service providers
  • Annual Planning - Assist the Director in the development of the annual GBM/GT business line audit plan and the IT Risk Audit Plan. In addition, with the team perform continous evaluation of the plan to ensure that all high risk areas are being addressed, as it relates to the trading , treasury and wealth business IT processes. Development of detailed risk assessments is key.Assist in the development of specific Project Outlines for assigned projects following the development of the Annual audit plan
  • Engagement Planning -Ensure when acting as Audit Principal or as Officer In Charge that the engagement plan addresses all risk areas, the audit programs are appropriately designed and general adherence to the Audit Department's methodology. Manage the planning of audits or assigned areas of low to high complexity ensuring scope and extent of work is in accordance with the approval plan, timing and budget are reasonable, procedures are efficient, appropriate resources are assigned and risk understood. Develop a thorough understanding of the business, IT risks and processes for assigned projects. Identify emerging issues that may impact the audit plan. Develop and/or update Detailed Audit Programs (DAP) as required
  • Audit Execution - Execute and manage assigned activities independently in accordance with the Department Standards ensuring the nature and extent of testing is appropriate to support the audit opinion. Evaluate the adequacy of system design and internal control framwork in meeting business, operational and control objectives. Ensure that the incumbent and the audit team executes the audit plan to meet the audit objectives within the budgeted time. Also complete review of workpaper files to meet Internal Audit Quality control standards. Determine the efficiency, effectiveness, integrity and reliability of internal controls in relation to defined control requirements by conducting the audit of assigned processes/units/projects.Work with Director and VP in ensuring appropriate audit coverage and minimize duplicate audit efforts between internal and external auditors
  • Problem Identification - Ensure facts are gathered and their full meaning is established; determine root cause of the problem and provide practical recommendations as to how they can be mitigated. Review of audit findings with the team member to validate the accuracy of the finding and clearly highlight the risks for presentation to management. Followup with staff responsible for timely resolution of the findings in the Issue Tracking Database
  • Reporting/Communication- Prepare audit reports that are clear and concise prior to submission to Director/VP. Present findings to line management and conduct audit closing without assistance; follow-up for corrective action/progress against reported issues in the Audit Tracking Database on a quarterly basis and escalate when necessary. Assist in ensuring that reports are issued in a timely manner to senior management. Ensure that TeamMate is updated on completion of the audit, all sections are reviewed, findings have been uploaded to Issue Tracking Database and project transferred to TeamCentral
  • Emerging Developments in IT -- As the incumbent is a senior member of the team covering the GBM/GT , Wealth, Risk Management IT environment, a key accountability is to maintain knowledge of IT developments and emerging issues and to be proactive in ensuring that the Audit Dept. is addressing the key risks to the Bank in this area
  • Human Resources - Prepare periodic and annual perfromance self assessments, personal goals and objectives for measurement of perfromance, career development and training plan and monitor quarterly for achievement/completion.Provide on the job training, coaching, mentoring for more junior IT auditors. Conduct regaulr team meetings during assigments
  • Internal/External Communication - Maintain effective internal communication through the ongoing sharing and acquiring of information. Maintain effective communication with auditees and line management including appropriate handling of conflicts and issue resolution
  • Special Projects - As directed by management, carry out specific projects or investigations. Plan, doument and seek agreement in advance to the project approach. Assist in the due diligence of potential acquisitions
  • Expert knowledge and skillsets in data governance, application controls, systems development, outsourcing and IT infrastructure, gained through a combination of advanced education and work experience in a technical capacity
  • Excellent verbal and written communication skills to write/present audit findings to Audit and Bank Management
  • Good project management, planning, and organizational skills.Requires an undergraduate degree in Computer Science or equivalent at a minimum
218

Senior Audit Manager Resume Examples & Samples

  • Ensures that audits are performed in compliance with an appropriate risk based approach. Insures that proper planning takes place for each audit including contact with division/department heads and other key staff. Focuses on efficient, effective and timely performance producing audit reports that contain clear and concise findings and recommendations. Maintains high quality audit standards, work papers and current methodologies
  • Maintains personal contact with selected members of management as guided by the CAE. Assists in the preparation of reports to the audit committee and others under the direction of the CAE
  • Ensures that the quality of audit department staff is maintained at a high level including the appropriate mix of staff. Ensures that individual staff members have realistic performance goals and that appropriate feedback is provided on a regular basis. Develops an annual training plan to provide staff with the needed skills to perform their respective tasks proficiently. Encourages the use of and training with automated audit tools including the use of CAATS
  • Provides input into the annual audit plan and quarterly risk assessment processes based upon updated risk analysis. Establishes appropriate audit cycles based upon risk assessment and in coordination with management input. Annual plan should also conform to any third party regulatory or statutory audit requirements
  • Provides leadership and direction to the group: this includes promoting initiative, creativity, teamwork and integrity as well as serving as a professional role model
  • Minimum 10+ years of audit experience or equivalent work experience, as well as in subject matter expert fields (e.g. retail, commercial, operations, compliance, technology, wealth, and broker/dealer)
  • Professional designation in assigned areas; i.e., CIA, CPA, CISA, CFSA, CFIRS, CRCM preferred
  • Must possess well-developed understanding of audit techniques, in-depth knowledge of general banking activities and of subject matter fields
  • Demonstrated proficiency and expertise with personal computers in a networked environment and Microsoft applications (Outlook, Word, Excel, Access and PowerPoint) or similar software
  • Demonstrated verbal and writing communication skills
  • Demonstrated analytical, organizational and problem solving skills
  • Demonstrated leadership skills to train, develop and coach internal audit staff
  • Able to work flexible hours including holidays, weekends and evenings as necessary
  • Must be able to provide own transportation or to operate a vehicle with a valid driver’s license, and commute as required
219

Senior Audit Manager Resume Examples & Samples

  • Lead highly complex engagements and coordinate the execution of the audit scope across multiple sites
  • Supervise direct reports and promote their professional development through mentoring, career coaching, and participation in the Performance Management Process (PMP)
  • Lead multiple engagement teams in preparing for engagements by reviewing the audit scope, determining the work plan, and participating in the risk assessment of the client environment prior to fieldwork
  • Manage the execution of the work plan in close collaboration with the Engagement Director and the team to identify potential issues, areas for improvement, and formulate recommended actions through review of documentation and client inquiry
  • Actively monitor the progress of team members and work closely with the Engagement Director by providing timely status updates, communicating observations, and potential roadblocks
  • Support the team in the execution of the audit methodology and assigned tasks. Actively provide clarification amongst team members on engagement task requirements, processes, controls and technical matters as needed
  • Review working papers of team members and discuss critical audit findings with the Engagement Director. Discuss cleared audit findings with the client and agree on management planned actions. Review initial sections of the audit report and lead discussions with management
  • Prepare engagement performance feedback of individual team members to support and promote their professional development
  • MBA or Master’s degree
  • Related professional qualification (ASQ, CEQ, or CQA)
  • Certified ISO 13485 / 9001 auditor with experience as an auditor in the medical devices, in-vitro diagnostics, or pharmaceutical industry
220

Senior Audit Manager Resume Examples & Samples

  • Complete on-site review of assignments as required to ensure adequacy of work performed to support the audit conclusions and compliance with Department Audit Methodology
  • Provide advisory services as assigned (Eg. recommendations for procedure changes, review/advise on internal control design, etc
  • Expert knowledge of retail and small business banking lending and operations
  • Working knowledge of all audit processes and methodologies
  • Thorough ability to write clear, concise audit reports as well as internal and external communication. (ie to presents audit findings
221

Senior Audit Manager Resume Examples & Samples

  • Manage the planning of the annual independent review of AML/ATF and Sanctions regulations
  • Manage the execution of the annual independent review of AML/ATF and Sanctions regulations
  • Attend to conference and seminars to acquire a comprehensive update of the AML/ATF and sanctions regulations and legislation affecting the financial services industry
222

Audit Manager / Senior Audit Manager Resume Examples & Samples

  • 6+ years of Internal Audit experience
  • Banking and/or Broker-Dealer background
  • Degree in Accounting, Economics, Finance, Mathematics, Statistics, Engineering, and/or a related field
  • One of the following certifications: Certified Public Accountant, Financial Risk Manager (FRM), Certified Financial Analyst (CFA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA)
  • Background in Market, Credit, Liquidity, and Quantitative / Model Risk Management
223

Senior Audit Manager Resume Examples & Samples

  • Have experience in working with AML programs that have been established to comply with the local and U.S. regulatory requirements, second line of defense policies and procedures, provisions and guidelines established by the federal regulators and other related agencies as related to prohibited activities, money laundering and financing of terrorism, and all applicable regulations governing banking activities and operations
  • The candidate must have working knowledge of regulatory requirements and the related risks and controls and demonstrate the ability to work with senior management and lead audit team execution
  • Understanding of information identified in an AML Investigation of various alerts and knowledge of how this is then pulled together to incorporate into SAR recommendations
  • M.S. in Statistics (or related quantitative field) preferred, BA/BS or equivalent in quantitative filed required. Related certifications (ACAMS, CPA, ACA, CFA, CIA, CISA or similar) are a plus
  • Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of AML RIsk, especially those associated with the consumer and institutional business
224

Senior Audit Manager Resume Examples & Samples

  • Bachelor's degree with a major in accounting or related field required
  • 8+ years of Audit experience within a public accounting firm is preferred
  • Strong analytical and report writing skills
  • A comprehensive understanding of data analysis techniques
225

Senior Audit Manager Resume Examples & Samples

  • Plan and lead all aspects of audit activities in accordance with the Internal Audit Group’s Global Audit Methodology, from audit planning, control design assessment & evaluation, testing, report drafting, workpaper documentation, and follow-up and verification of issues closure
  • Supervise, train and coach other team members, including reviewing audit workpapers and provide honest and constructive feedback for continuous improvement
  • Manage multiple audits/projects, involvement within a team environment
  • Provide assurance on risk management processes, evaluation of risks and risk management
  • Effectively deliver difficult messages to clients, including drafting reports that clearly captures key messages for management action
  • Draft reports and effectively edit findings/narratives of others to ensure client understanding, and captures the key messages in executive summaries
  • Partner with colleagues and internal clients to evaluate, test, and report on the adequacy and effectiveness of management controls
  • Validate regulatory issues (MRAs/MRIAs) and communicate with regulators
  • Global coordination of audit work
226

Senior Audit Manager Resume Examples & Samples

  • Manage a portfolio of audits relating to the Global Treasury business and operations, and a team of internal auditors ensuring consistent audit approach and adequate audit coverage
  • Support the HoD in the annual risk assessment and audit planning relating to the Global Treasury business and operations, including the regular, on-going continuous risk monitoring of the businesses and operations to identify high risk areas and emerging risk themes, facilitating timely updates of risk assessment and driving potential changes to the audit plan
  • Establish and maintain effective working relationships with internal and external stakeholders
227

Senior Audit Manager Resume Examples & Samples

  • 4+ years of relevant experience in predictive modeling, stress testing , regiulatory models or risk reporting
  • Exposure to IFRS 9 methodologies and related areas
  • Sound understanding of various modelling techniques and statistical tests. Working knowledge of analytical tools such as SAS, R, Python ,Matlab etc
  • Excellent written and presentation skills