Senior Auditor, IT Resume Samples
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Senior Auditor, IT Resume Samples
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AB
A Bartoletti
Alvah
Bartoletti
57784 Eloise Via
Phoenix
AZ
+1 (555) 787 8053
57784 Eloise Via
Phoenix
AZ
Phone
p
+1 (555) 787 8053
Experience
Experience
Los Angeles, CA
Senior Auditor IT
Los Angeles, CA
Schulist Group
Los Angeles, CA
Senior Auditor IT
- Plans, supervises, and performs the internal audit in a team environment
- Reviews and evaluates the adequacy and efficiency of accounting, financial, and operating procedures established for IT control purposes
- Plans, supervises, performs, and controls the audit procedures which determine whether application systems are in compliance with the HBI IT Policies, selected regional policies, GAAP, and statutory regulations
- Performs special project work under a manager's instruction/supervision
- Budgets, controls, accumulates and accurately reports time and expenses incurred on the assigned audits or projects
- Assists Audit Services associates to effectively achieve IT audit objectives included in operational and financial audit assignments
- Performs pre-implementation reviews on IT development projects ensuring compliance with policies and procedures during each phase
Houston, TX
Senior Auditor, IT
Houston, TX
Krajcik LLC
Houston, TX
Senior Auditor, IT
- Assist external auditors during Sarbanes-Oxley testing as necessary. Provide guidance to auditors regarding IT audit methodology, SOX 404 framework, and perform audits that substantiate management’s assertion over internal controls for SOX
- Assist in coordinating IT audit efforts with the internal financial audit team, internal IT management, consulting firms and an external auditing company
- Develop and evaluate business continuity templates and plans, identify risks, and ensure risk mitigation, with the business centers and coordinate plan execution
- Collaborate with various Technology Service teams to better understand the changes that are being planned or implemented and to provide guidance on updating process and control related issues
- Develop an audit program prior to field work and receive the concurrence of audit management
- Assist with the planning and execution of IT General Controls (ITGC) and Application Control audits to support the Company’s Sarbanes-Oxley (SOX) compliance review
- Occasionally serve as a liaison with external auditors and regulators to help facilitate timely and efficient external reviews, knowledge transfer, and controls and process education
present
Boston, MA
Senior Auditor, IT Infrastructure
Boston, MA
Reinger, Cronin and Wisoky
present
Boston, MA
Senior Auditor, IT Infrastructure
present
- Takes initiative in identifying and undertaking tasks impacting team performance
- Cooperates with other auditors/audit groups to effectively plan and execute audits
- Liaises with T&O Infrastructure to ensure agreement with content and methodology of audits, as well as significant findings
- Folio Instructions and guidelines
- Privacy Guidelines (signed annually), as well as the Royal Bank’s Code of Conduct (e-test conducted bi-annually)
- Integrity of Records
- Escalate audit progress issues to the Audit Lead on a timely basis
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Portland State University
Bachelor’s Degree in Accounting
Skills
Skills
- Plan and execute audit assignments in an efficient, timely, and professional manner in accordance with the Institute of Internal Auditors (IIA) standards
- Perform audit test work, supervise others if necessary and review work papers of other audit team members as applicable
- Create accurate, logical and detailed work-papers clearly describing the work performed, results of testing and conclusions reached
- Maintaining current knowledge of audit and technology industry trends and practices
- Prepare comprehensive written and oral audit reports detailing the results of the audit
- Partner with more senior members of the team to work with management to develop acceptable solutions to address issues or gaps identified
- Create ways to utilize technology to improve the efficiency and effectiveness of assignments
- Establish a positive rapport with the Global Assurance team, management, and external auditors
- Perform other special projects as assigned
- When not in role of audit in-charge, perform audit steps assigned as part of SOX 404 testing effort and as participants in other risk-rated audit projects
15 Senior Auditor, IT resume templates
Read our complete resume writing guides
1
Senior Auditor, IT Infrastructure Resume Examples & Samples
- Folio Instructions and guidelines
- Custody requirements
- Privacy Guidelines (signed annually), as well as the Royal Bank’s Code of Conduct (e-test conducted bi-annually)
- Integrity of Records
2
ISA Senior Auditor IT Resume Examples & Samples
- Contributes to the development of audit processes improvements
- 3-5 years’ experience in Financial Services in highly respected diversified institutions with complex and diverse products and customers
- Demonstrable career progression within bank/audit institutions for at least 2 years
- University degree in business administration, computer science or equivalent combination of education/experience is preferable
- Must have a good understanding of operational risk management and control best practice across the financial services industry together with a knowledge of MaRisk, and a high degree of familiarity with financial sector regulation more generally. Should have a good level of knowledge of liability issues, the use of different legal vehicles, standard documentation, and other legal risks
- Must hold a recognized professional qualification. Examples being CIA, QiCA, CISA, CISM, CISSP trained or similar professional qualification
- Specific subject matter expertise regarding technology application control disciplines and a solid business understanding of Unix, Wintel, Mainframe and database platforms and other related subject matter in regards to technology infrastructure is preferable
- 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. Strong interpersonal skills for interfacing with all levels of internal and external audit and management
- Effective and articulate communicator in German and English, both orally and written
- There is an expectation that travel will be required and could be up to 30%
3
Senior Auditor IT Resume Examples & Samples
- Plans, supervises, and performs the internal audit in a team environment
- Ascertains the reliability of developed IT applications and the related data processing functions
- Reviews and evaluates the adequacy and efficiency of accounting, financial, and operating procedures established for IT control purposes
- Plans, supervises, performs, and controls the audit procedures which determine whether application systems are in compliance with the HBI IT Policies, selected regional policies, GAAP, and statutory regulations
- Develops appropriate audit programs for testing the controls in each IT platform, required for each audit assignment, with manager approval
- Performs special project work under a manager's instruction/supervision
- Budgets, controls, accumulates and accurately reports time and expenses incurred on the assigned audits or projects
- Recommends cost effective and reasonable IT controls. Ascertains the extent company assets (data) are accounted for and safeguarded from losses of all kinds
- Assists Audit Services associates to effectively achieve IT audit objectives included in operational and financial audit assignments
- Develops and documents Computer Assisted Automated Techniques (CAAT) procedures for automating various IT test procedures and performing routine operational/financial audit tasks as needed
- Performs pre-implementation reviews on IT development projects ensuring compliance with policies and procedures during each phase
- Develops or revises audit procedures for all audit assignments
- Assists managers with the development of IT Staff auditors or other staff auditors
- Ensures the quality and thoroughness of the work of assigned staff auditors by monitoring their activities and reviewing their working papers and memos
- Represents Audit Services and is a contact for IT management on a daily basis
- Prepares the audit report with detailed recommendations based on the materiality and relativity of audit results, adequacy of audit documentation, and client response (if known), subject to manager approval
- Effectively communicates audit findings via update meetings and closing conferences with appropriate management personnel
- Document business process flows and identifies system control weaknesses/points within the process
- Determine the appropriate scope and procedures for each assignment and obtain management approval
- Perform fieldwork and complete audit documentation in accordance with the above-mentioned guidelines and audit timeframes
- Ensure objectives for pre-audit and exit conference meetings are met
- Utilize internal audit skills to perform procedures related to the company’s Sarbanes Oxley compliance program, which is managed by Audit Services
- Undergraduate degree in Computer Science, MIS, Business Management, or other relevant field required. MBA preferred
- Achieved certification (CIA, CISA, CPA) by examination. CISA preferred
- Minimum of 3 years IT audit experience
- Strong knowledge of computer system platforms, terminology, and technology
- Working knowledge of Word, Excel, PowerPoint, Access, ACL, SAP and AutoAudit required
- Foreign language skills, (especially Spanish, French or German) desirable
- Some Travel Required, domestic and international
- Strong understanding of generally accepted accounting principles and auditing standards (IIA and ISACA)
- Ability to work and communicate effectively with all levels of management and staff
- Ability to supervise associates; work independently, or with a team of associates
- Appropriate skills or knowledge to instruct, educate, and develop IT skills of associates
- Effective presentation skills
- Analytical skills to review and analyze business operations and to identify accounting and operating problems as well as opportunities
- Leadership capability with apparent management potential
4
Senior Auditor, IT Resume Examples & Samples
- Assist external auditors during Sarbanes-Oxley testing as necessary. Provide guidance to auditors regarding IT audit methodology, SOX 404 framework, and perform audits that substantiate management’s assertion over internal controls for SOX
- Participate in planning audit engagements including identification of audit areas, analysis of business information and security risk, determine scope of audit work and develop appropriate IT audit procedures
- Develop an audit program prior to field work and receive the concurrence of audit management
- Reassess risk during fieldwork; make appropriate recommendations to adjust scope to both audit management and the audit client
5
Senior Auditor IT Resume Examples & Samples
- Applicable experience and knowledge of risk, data governance, data privacy, and continuity of business
- CAATTs experience will be beneficial
- BA/BS or equivalent combination of education/experience
6
Senior Auditor, IT Resume Examples & Samples
- Plan and execute assigned audits and projects in accordance to the three-year audit plan. Lead engagements as assigned, monitoring either internal or co-sourced teams in the performance of normal or special request audit assignments. All audits must be of high quality, completed accurately, and in a timely manner
- Maintain effective relationships with business/technology groups at OCC and support a partnership with Management in achievement of goals
- Minimum of four years of audit experience in conducting risk-based operational and compliance audits and projects, business process reviews and internal audits across various environments
7
Senior Auditor, IT Resume Examples & Samples
- Assist with the planning and execution of IT General Controls (ITGC) and Application Control audits to support the Company’s Sarbanes-Oxley (SOX) compliance review
- Draft accurate and appropriate test plans, perform testing and clearly document test results and remediation support
- Assist in coordinating IT audit efforts with the internal financial audit team, internal IT management, consulting firms and an external auditing company
- Assist in ensuring all current projects conform to requirements of all areas, i.e., policies, procedures, workflow, etc
- Collaborate with various Technology Service teams to better understand the changes that are being planned or implemented and to provide guidance on updating process and control related issues
- Train Technology Services teams to help develop and reinforce a process and control mindset
- Develop and evaluate business continuity templates and plans, identify risks, and ensure risk mitigation, with the business centers and coordinate plan execution
- Perform complex project research analysis when necessary and miscellaneous duties as required and assigned
- Lead ITGC audits to full completion including supervising staff and other senior auditors during assignments
8
Senior Auditor IT Resume Examples & Samples
- When not in role of audit in-charge, perform audit steps assigned as part of SOX 404 testing effort and as participants in other risk-rated audit projects
- While performing internal control testing, use experience to make judgments as to effectiveness of controls in both design and operation
- Recognize unmitigated risks or controls that are deficient and make decision as to risk rating assignment for the identified issues
- Present issues and recommendations along with possible solutions to business unit management along with expectations for the nature and timing of corrective action
- Incorporate data analysis tools into the audit process when possible
- Create ways to utilize technology to improve the efficiency and effectiveness of assignments
- Monitor and update assigned outstanding audit issues through resolution
- Provide technical guidance and expertise to audit department members, which may at a minimum, include the following
- Technical training and mentoring
- Maintaining current knowledge of audit and technology industry trends and practices
- Working with other auditors to evaluate technology impacts in their audits
- Two or more years work experience in the information technology industry or information systems auditing
