VP, Internal Audit Resume Samples

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Guide the recruiter to the conclusion that you are the best candidate for the vp, internal audit job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired. Read the complete guides below for more details.

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KW
K Windler
Keith
Windler
39890 Zieme Unions
Dallas
TX
39890 Zieme Unions
Dallas
TX
Experience Experience
03/2014 – present
Houston, TX
VP, Internal Audit, Mortgage Services
VP, Internal Audit, Mortgage Services
03/2014 – present
Houston, TX
VP, Internal Audit, Mortgage Services
03/2014 – present
  • Work effectively with management to evaluate our mortgage insurance businesses, related risks, and related controls including monitoring of aggregate exposures as well as operational and financial processing risks
  • Preform annual risk assessments, develop annual internal audit plans for the organization's mortgage (re)insurance entities and contribute to the ACGL level risk assessment and internal audit plan
  • Execute the internal audit plans, revise those plans and individual audit scopes as necessary
  • Establish objectives and scopes for audits, oversee the procedures and effectively communicate audit observations and recommendations with senior management
  • Prepare clear and concise written audit reports and Audit Committee meeting presentations
  • Facilitate the sharing of best practices across the Company's entities
  • Audits include areas such as risk management, underwriting, premiums, policy/contract administration, claims, ceded reinsurance, financial reporting and information technology
04/2008 – 02/2014
San Francisco, CA
Second VP, Internal Audit
Second VP, Internal Audit
04/2008 – 02/2014
San Francisco, CA
Second VP, Internal Audit
04/2008 – 02/2014
  • Serve as the senior Audit liaison and strategic business partner to key business area(s), which includes establishing and maintaining productive relationships with area leadership
  • Oversee all assurance and advisory service projects in assigned business area(s)
  • Continuously develop and maintain strong business area expertise; stay abreast of all business area operational changes and emerging risks; provide subject matter knowledge to the Audit Department
  • Lead and manage the corresponding internal audit annual risk assessment process, as well as ongoing risk evaluation, for the assigned business area(s)
  • Develop, plan and oversee the annual audit plan for the assigned business area(s)
  • Complete and support an annual audit opinion on assigned business area(s)
  • Lead, manage and execute complex assurance and advisory projects in accordance with best practices, established methodologies and professional standards
05/2005 – 12/2007
Boston, MA
VP, Internal Audit
VP, Internal Audit
05/2005 – 12/2007
Boston, MA
VP, Internal Audit
05/2005 – 12/2007
  • Collaborate with A&F’s leadership team, ensuring strong communication, support, and buy-in
  • Present findings and recommendations to the Audit Committee and the COO/CFO on the status of outstanding deficiencies and actively monitor audit-related remediation and management action plans
  • Be a key influencer of operational efficiency and well-controlled change management
  • Identify and monitor key significant risks for areas such as fraud, regulatory compliance, and adherence to internal corporate policies (corporate travel, vendor selection, etc.)
  • Drive annual, quarterly and on-going Sarbanes-Oxley 404 compliance, certifications and compliance training
  • Continue to refresh the store audit program to ensure responsive to greatest store-related risks, both in the US and internationally
  • With legal, support annual associate training on Corporate Ethics, Code of Conduct, Insider Trading, Confidentiality and Anti-Corruption (Foreign Corrupt Practices Act)
Education Education
Bachelor’s Degree in Business
New York University
Bachelor’s Degree in Business
Skills Skills
  • Strong analytical, organizational and time management skills, able to work independently
  • Self-reliant and have strong initiative as well as possess solid business judgment
  • Enthusiastic, self-motivated, strong interest in learning, effective under pressure and willing to take personal responsibility/accountability
  • Strong knowledge of information technology systems and infrastructure
  • Strong diplomatic and negotiation skills
  • Commitment and strong work ethic
  • Strong project management, organizational, and presentation skills
  • Ability to synthesize and articulate complex ideas
  • Ability to manage projects within our function and across the company while multi-tasking
  • Ability to develop and maintain effective working relationships with peers and business partners
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1

VP, Internal Audit Resume Examples & Samples

  • Set the direction for the global Internal Audit department with a full understanding of the connection between business strategy and operational execution
  • Lead the Internal Audit team to deploy best in class audit methodologies appropriate to A&F’s business operations
  • Collaborate with A&F’s leadership team, ensuring strong communication, support, and buy-in
  • Demonstrate a confident and well-developed communication style that establishes credibility and facilitates clear understanding of audit issues
  • Recruit and develop high-quality talent to support future needs of the Internal Audit department and to provide a talent pool for rotation into other departments
  • Present findings and recommendations to the Audit Committee and the COO/CFO on the status of outstanding deficiencies and actively monitor audit-related remediation and management action plans
  • Be a key influencer of operational efficiency and well-controlled change management
  • Identify and monitor key significant risks for areas such as fraud, regulatory compliance, and adherence to internal corporate policies (corporate travel, vendor selection, etc.)
  • Perform post-reviews of strategic decisions, such as capital expenditures and key company initiatives, to determine adequacy of decision processes and support culture of accountability
  • Drive annual, quarterly and on-going Sarbanes-Oxley 404 compliance, certifications and compliance training
  • Continue to refresh the store audit program to ensure responsive to greatest store-related risks, both in the US and internationally
  • With legal, support annual associate training on Corporate Ethics, Code of Conduct, Insider Trading, Confidentiality and Anti-Corruption (Foreign Corrupt Practices Act)
  • Partner with external auditor to plan and coordinate internal audit activities so as not to duplicate control testing
  • Deep knowledge of leading internal audit practices
  • Minimum of fifteen (15) years experience, including audit and/or internal audit experience with a major public accounting firm or in a senior leadership position in Finance, Accounting or operations in a public company
  • Executive-level experience presenting to board of directors and senior management
  • Exposure to multinational operations and financial reporting across multiple jurisdictions in Europe and/or Asia
  • Knowledge of U.S. Generally Accepted Accounting Principles (GAAP), International Financial Reporting Standards, and Sarbanes-Oxley requirements
  • Strong academic credentials with a BS/BA
  • Experience working in branded specialty retail or consumer oriented environments
  • CPA, Chartered Accountant or local equivalent preferred
2

VP / Internal Audit Manager Resume Examples & Samples

  • 10+ years of audit experience
  • Background out of an AM, MF, PE, HF, SMAs
  • CIA, CPA, or CFA
  • Business experience within the investment area focusing on Research, Portfolio Management, Buy-Side trading, including quantitative/algo trading, Investment Management Operations, Institutional Sales and Marketing, Regulatory and Investment Compliance across various investment disciplines
  • Experience auditing mutual funds, hedge funds, private equity, separately managed accounts, etc
  • Strong capital markets knowledge
3

VP, Internal Audit Resume Examples & Samples

  • Bachelor’s in accounting or finance
  • 8-10 years of audit, business, risk management, or control function experience in a global investment bank
  • CPA, CFA, CIA, or FINRA at least in progress
  • Accounting experience at a large firm a plus
  • Understanding of concepts related to corporate finance – including debt and equity origination and syndication as well as hedging of market and credit risk
  • Knowledge of recent regulatory changes and how these changes impact audit planning
  • Execute day-to-day operational audit work
  • Discuss exceptions found during fieldwork with principal auditor and principal audit manager
  • Develop and maintain broad financial services experience and keeps abreast of business and industry changes and their effect on the business’s strategy
4

VP Internal Audit Resume Examples & Samples

  • The ideal candidate will come from a leading international or local bank, strong international best practices or strong knowledge of local GCC market
  • CA/ACA/ACCA qualification and have previously worked within the Big 4 prior to joining and international or large local organisation within the Banking space
  • 8 years plus experience (3 years of which from Big 4)
  • Team management experience and operate a hands on approach to that team
5

VP, Internal Audit Capital Management Resume Examples & Samples

  • Bachelor's degree and a minimum of 6 years of relevant experience; or High School/GED and 10 years relevant experience; in risk management or compliance, application/database architecture, audit, governance, internal controls, public accounting, corporate controls or equivalent
  • Fluent (speak, read and write) in English
  • Must be willing to travel up to 30% of the time. This role is eligible for a Referral bonus award that is 4X the current eligibility amount. The 4X Special Incentive Referral Bonus Program begins as of June 1st and runs through November 30th. Referrals will only be eligible for the 4X special incentive referral bonus payout based on date of referral submission during SPIF program eligibility dates. All other guidelines under the WDYK program are applicable
  • MBA, Masters or Bachelor's degree preferred
  • Experience in financial services industry and working with regulators such as FDIC, Federal Reserve, OTS, OCC
  • Understanding of FFIEC guidelines
  • Detailed understanding of industry accepted risk management and governance standards
  • Broad knowledge of internal auditing standards & requirements
  • Experience in flowcharting/process mapping, data mining and using analytical tools such as ACL
  • Excellent analytical/technical skills
  • Possess good project management skills, make sound decisions, and exhibit initiative and intuitive thinking; and
6

VP-internal Audit Taiwan Resume Examples & Samples

  • Assess the control environment of our CIB businesses based in Taipei, with a view to providing recommendations to local management for improvement where weaknesses are identified
  • Communicate audit results and issues effectively, both verbally and in written form
  • Manage relationships with local stakeholders, where required
  • Minimum Bachelor's degree in Accounting, Finance or related discipline
  • At least 6-8 years' audit or relevant business experience, within a financial services organisation or major accounting firm
  • Strong communication and interpersonal skills, enthusiastic, self motivated, effective under pressure and willing to take personal responsibility/accountability
  • Enthusiastic, self motivated and effective under pressure
  • Ability to travel within the Asia region (up to 20%)
7

Assistant VP Internal Audit Resume Examples & Samples

  • 3+ years' risk/controls audit experience within financial services
  • Familiarity with financial products and services
  • Understanding of relevant regulatory environment
  • Displays willingness and initiative to learn about new products
8

VP, Internal Audit Resume Examples & Samples

  • Participate as an integral member of the Audit Leadership Team, including providing strategic direction and insight into the audit operations through identifying enhancements, areas of focus and personnel skill sets necessary for Charter execution
  • Interact with all levels of Visa Senior Management dealing with high level business and strategic issues and concerns
  • Act as an advisor to the Audit project teams relating to areas of specialization and expertise
  • Act as a quality control to the project execution and project conclusions reached in areas of specialization and expertise
  • Assist in monitoring and providing ongoing coaching to other Audit professionals
  • Prepare performance evaluations and recommend compensation changes for audit directors, senior auditors and auditors
  • Participate in the development of department budget and forecasts as appropriate, as well as adherence thereto
  • Direct and manage the design and successful execution of the audit plan and provide strategic and proactive consultation in identifying risk exposures and in evaluating solutions for internal control weaknesses and regulatory compliance issues
  • Manage progress in executing the Audit Plan, including the audit planning process and approval of audit scope, audit work program, and testing approach
  • Provide reports to managers/executive leadership/audit committee (as appropriate) on the effectiveness of their business unit's internal control structure along with recommendations that improve the effectiveness, efficiency and economic value of a control or process
  • Conduct special audits as requested by executive management or the Audit Committee to identify practices that are not consistent with Visa policies or fail to provide necessary controls. Act as a resource to executive management by conducting special studies of specific operations or issues. Conduct special investigations of unusual events
  • Participate in activities related to systems development, new products, mergers and acquisitions, and the analysis of new policies to ensure that control considerations are evaluated in the early stages of these activities
  • Provide control recommendations to management to assist in redesign efforts that improve the control environment
  • Address issues during the Audit process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem
  • Supervise selected projects involving both Audit professionals (self directed work teams) and professionals from Audit's co-sourcing provider. Supervision should include assessing project status and results and overseeing timely completion, including work paper review and report preparation
  • 15 + years of experience in business, financial institutions, auditing or consulting, preferably internal audit experience and ideally in a technologically sophisticated global financial services environment
  • Bachelor’s degree in accounting, business, finance, systems, information management, etc
  • Expert knowledge of the professional practice of internal auditing, ideally demonstrated by achievement of professional certifications, particularly the CPA, CIA, and/or CISA designations
  • Advanced knowledge of COSO, COBIT, AICPA, IIA and other professional standards
  • Highly skilled in identifying and overseeing the effective and efficient delivery of staff development activities for a large, growing, and dynamic internal audit department
  • Excellent communication and collaboration skills, with an emphasis on client service
  • Outstanding written and oral communication skills
  • Outstanding ability to summarize complex and numerous activities and issues into succinct presentations for a wide-range of internal and external executive constituents
  • Superior skills in project management, project implementation, and cross-organizational networking and coordination
  • Proven ability to multi-task and meet aggressive targets in a high-energy, fast-paced, constantly changing environment
  • For Vice President – IT: Bachelor's degree in business, computer science, or management information systems
9

VP Internal Audit Credit Resume Examples & Samples

  • 7+ years experience in risk based auditing
  • 7+ years of Fixed Income products, relevant regulations and market working practices and trade lifecycle
  • Graduate degree and / or relevant professional qualifications / licenses (e.g. CIA, MIIA, ACCA, CISA, series 3,7, 24, 63)
  • Has practical experience of working in or auditing investment banking environment
  • Experience in dealing with senior client management
10

VP, Internal Audit Resume Examples & Samples

  • CPA, CFE, CISA, CIA or other relevant certification required
  • 12+ years of experience in internal audit and/or public accounting; pharmacy or biotechnology experience preferred
  • 5+ years of experience in an internal audit leadership role
  • Experience with FAR, DFARS and NIH Grant Policy Statement
  • Experience with Sarbanes-Oxley, COSO, COBIT and anti-fraud regulations
  • Flexibility to travel up to 20%
11

VP Internal Audit Equities & Prime Resume Examples & Samples

  • 8+ years experience in risk based auditing
  • Graduate degree and / or professional qualifications / licenses (e.g. CIA, MIIA, ACCA, CISA, series 3,7, 24, 63)
  • Strong audit lead, management and execution skills and experience in risk based auditing
  • Exposure to trade life-cycle for cash equities, listed options, equity structured products, repo and equity financing and agency derivative services
  • You must be able to demonstrate that you live the Barclays values and behaviours
12

VP Internal Audit Macro Rates Resume Examples & Samples

  • Experience leading audits – lead auditor role experience
  • Has practical experience working in or auditing investment banking environment
  • Relevant professional qualifications (e.g. CIA, MIIA, ACCA, CISA, for audit roles; technical qualification for specialist risk team roles such as FRM; and graduate degree for all)
13

VP Internal Audit Resume Examples & Samples

  • Establish a risk-based internal audit program
  • Assess compliance with policy and procedures
  • Conduct audit testing in areas to identify operational and financial risk issues
  • Review effectiveness of controls that govern regulatory compliance programs and activities
  • Manage 3rd party auditors
  • Communicate findings with the audit board, executive leadership and risk committees
  • CIA preferred
  • 5 to 7 years of public accounting auditing experience of financial institutions
  • Supervisory or management work experience in accounting or related field
  • Accounting experience in construction or related industries
14

VP, Internal Audit Resume Examples & Samples

  • 10 years’ experience within a Big 4, or within investment banking audit
  • Proven experience working with teams and businesses across multiple locations and jurisdictions
  • Strong knowledge of regulatory requirements under the Basel framework
15

VP-internal Audit Change Resume Examples & Samples

  • Comprehensive knowledge and practical experience of Programme/ Project Management and the Change Delivery Lifecycle (Waterfall and Agile), either through project delivery, Programme/ Project Management Office, independent assurance or quality/ project assurance functions
  • Relevant professional qualifications (e.g. Prince2, MSP, CISA)
  • Practical understanding of the bank's global regulatory environment
  • Experience of managing and delivering technical Change audits
  • An understanding of Change delivery risks and experience in providing audit assurance
  • Experience in developing and maintaining senior internal audit client relationships and working in partnership with other internal risk and assurance functions
  • Knowledge about new and emerging trends in Change Delivery
16

Senior VP-internal Audit Resume Examples & Samples

  • Bachelor's Degree in Accounting or equivalent
  • Specific subject matter expertise regarding technology application control disciplines
  • Solid business understanding of cross-business products
  • Strong understanding of Product Control processes and some work experience in the area
17

AVP / VP-internal Audit Resume Examples & Samples

  • 5-12 years of substantial exposure to internal audit of counterparty credit risk, or risk review focused on Credit Risk
  • Understanding of US Bank regulations
  • Excellent knowledge of credit risk management gained through experience as a credit risk analyst
  • Sound understanding of risk analysis and ratings assignment processes
  • Advanced understanding of credit risk measurement requirements and methodologies and approaches
  • Understanding of credit risk mitigation approaches and rules
  • Understanding of risk exposure measurement methodologies
  • Good understanding of the Basel Pillar I framework
  • Comprehensive understanding and knowledge of credit risk regulation for key jurisdictions
  • Good product knowledge and substantial experience of credit ratings and analysis across a range of industries
18

Assistant VP-internal Audit Resume Examples & Samples

  • 5-8 years of professional experience
  • Excellent auditing skills
  • Strong communication and interpersonal skills
19

VP-internal Audit Change Management Ccar Resume Examples & Samples

  • Otherwise, experience gained in Change Management for risk (e.g. Credit, Market) and finance (Capital and Regulatory) and internal controls
  • Experience in auditing or substantial exposure to internal audit would be an added advantage
  • Excellent analytical and communication skills and experience of liaising across control areas
  • A university degree-level education (or equivalent) and/or post-graduate/professional qualifications with in a relevant field
  • Excellent coordination skills
  • Able to operate autonomously and as a part of a wider IA function
  • Ability to present concepts and issues in a simple and concise way to diverse groups
  • Good understanding of regulatory requirements
  • L1-AM2*
20

VP-internal Audit Resume Examples & Samples

  • Develop the annual audit plan which is presented to the Audit Committee for review and approval. Independently create, maintain and improve Internal Audit processes, tools and best practices. Implement a sufficient audit program that encompasses the adequacy of the company’s systems of internal controls, reliability of financial information and financial account controls as well as compliance against Code of Conduct
  • As a member of The Disclosure Committee, review and approve all external reporting and material commercial announcements as it applies to a public listed Company (10Q, 10K, Proxy, Annual Reports, 8K’s etc.)
  • Manage the performance of audit procedures, including identifying and defining issues, analyzing evidence and documenting processes and procedures
  • Lead hiring, training and evaluating staff and taking corrective actions to address performance issues, as necessary. Manage the audit staff in conducting interviews, reviewing documents, developing and administering surveys (as necessary), composing summary memos / reports and preparing work papers. Manage the staff in the identification, development and documentation of audit issues and recommendations
  • Evaluate deficiencies and communicate the results of audit and consulting projects via written reports and oral presentations to Management. Track deficiencies to ensure proper remediation or mitigation
  • Develop materials to support Audit Committee and/or other Board-level reporting requirements
  • Partner with Management and 3rd party service provider(s) to coordinate scope, timing, and resources for audits
  • Continuous dialogue with senior management to discuss and identify any major business issues, business risks and control risks. Create and maintain a network of internal employees and external audit company resources capable of performing the needed assignments
  • Outstanding accounting, auditing, SOX controls testing, and business analysis skills combined with good judgment and credibility
  • Business experience in two or more job functions including Internal Audit, Finance Controls and/or Business Consulting
  • Demonstrated success leading global teams, strong project management skills
  • Good understanding of various business models and the linkage between business success and operational excellence
  • University degree, Certified Professional Accountant (CPA), Certified Internal Auditor (CIA) and MBA degree preferred
  • Individual skills should include
  • Self-motivated and self-directed. Provides proactive added–value to the senior management team
  • High-performer with proven leadership skills, strong manager
  • Excellent communicator, written and oral
  • Excellent networking skills, develops and maintains productive relationships throughout the company
  • Analytical and conceptual thinker who can make decisions. Outstanding technical skills
  • Structured enough to make as many tasks as possible easily repeatable and to facilitate institutional learning and knowledge sharing; flexible enough to understand when a new solution needs to be created
  • Committed to the company’s core values
  • 25% travel expected
21

VP, Internal Audit Resume Examples & Samples

  • Lead the execution of Compliance internal audits
  • Oversee all aspects of internal audit activities, including: risk assessments, audit planning, audit testing, control evaluation, report issuance, and issue remediation
  • Support continuous improvement of overall audit processes
  • Ensure audits are executed in accordance with department and professional standards in a timely and efficient manner
  • Build a close working relationship with Senior Leadership, business units and other audit colleagues. Overall proven ability to influence and partner across an organization
  • Hire, develop, and retain high performing and engaged employees
  • Assist with special projects or other duties as assigned
22

VP-internal Audit Ccar Resume Examples & Samples

  • Managing, coordinating and providing subject matter expertise to IHC and CCAR related audits to ensure that Internal Audit provides effective challenge to the CCAR process, complies with regulatory expectations, and meets its responsibilities to the BoD and the senior management
  • Identifying, interpreting and staying abreast with relevant regulatory requirements and market best practices and ensuring that they are incorporated in CCAR/IHC audit coverage approach
  • Ensuring that audits are executed in line with IA’s audit methodology
  • Undertake continuous risk monitoring of CCAR and IHC processes and components
  • Supporting the Head of Audit in the Quarterly Business Review (QBR)
  • Assisting in developing and producing regularly scheduled and ad-hoc reports to the BoDs, Senior Management and regulators
  • Assisting in developing and maintaining stakeholder relationships
23

VP Internal Audit Resume Examples & Samples

  • Leading and managing audits in Finance, Tax and Treasury areas, including scoping, fieldwork and reporting
  • BIA involvement in the implementation of the Intermediate Holding Company and Comprehensive Capital Analysis and Review (CCAR) processes
  • Attending the various Risk and Control forums
  • Coaching and mentoring Assistant Vice Presidents and Analysts
  • Manage audit teams on a day to day basis, working to ensure that audits progress as planned, with regards to scope, budget and timetable
  • Play a proactive role in supporting the definition of risk profiles; work effectively with colleagues BIA to ensure the audit plan makes the best use of resources
  • 7+ years audit or relevant business line/risk/finance management experience
  • 3+ years experience of working in or auditing Comprehensive Capital Analysis and Review (CCAR) processes
  • Ability to lead audits, manage projects and participate in audit assignments in a team environment
  • Practical understanding of relevant regulatory environment and regulatory reporting
24

VP-internal Audit BIA IT Audit Team Lead Resume Examples & Samples

  • Agency Clearing
  • Post Trade Technology
  • Reconciliations technology
  • Sales and Banking
  • Reference Data Management
  • Manage audit teams on a day to day basis, working to ensure that audits progress as planned, as regards scope, budget and timetable
  • Proven experience in IT Application development or operations processes, auditing or risk and control activities
  • Applicable knowledge of business risk related to IT risks and controls in complex systems environments
  • Practical understanding of relevant regulatory environments and its impact on technology (for example: BCBS 239, The Basel Accords, etc)
25

VP Internal Audit IT Audit Team Lead Resume Examples & Samples

  • 5+ years experience in IT Application development or operations processes, business-integrated auditing or risk and control activities within an Investment Banking environment
  • 5+ years experience of leading and developing individuals/teams
  • Knowledge about various Investment Banking businesses and the technology supporting them
  • You must be able to demonstrate that you live the Barclays values and behaviors as described below
  • Practical understanding of relevant industry regulations and their impact on technology
  • Ability to engage and build relationships with senior client management
26

VP Internal Audit Resume Examples & Samples

  • 5+ years of experience in IT Application development or operations processes, business-integrated auditing or risk and control activities within an Investment Banking environment
  • 5+ years of experience of leading and developing individuals/teams
  • Relevant professional qualifications (e.g. CISA, CISM, CISSP, CRISC or other relevant technical qualification; and graduate degree)
  • Applicable knowledge of business and associated technology risks and controls in complex systems environments
27

VP, Internal Audit Resume Examples & Samples

  • Lead the execution of Compliance internal audit
  • 8-14 years of internal or external audit or 10+ years of relevant financial services compliance or related area experience and 3+ years in a manager/supervisor/lead role. Experience preferred in Broker/Dealer or RIA
  • Licenses/Certifications Required: Broker/Dealer specific license (Series 7, 24, etc.) or one applicable audit designation (CPA, CIA, CFE, CISA, etc.) or other related certifications
  • Lead and execute multiple projects simultaneously. Manage performance of direct reports. Document and report performance of audit team
  • Advanced understanding of Financial Services (Broker/Dealer or RIA) regulatory compliance and audit disciplines
  • Advanced understanding of internal control and the demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks
  • Significant experience interacting with employees at all levels, including executive senior management
  • Demonstrated experience working with external stakeholders such as external auditors or regulators
  • Financial services experience strongly recommended with a demonstrated working knowledge of FINRA, SEC, and/or OCC regulatory requirements
28

Assistant VP Internal Audit FI Credit Resume Examples & Samples

  • Being able to multitask or manage several assignments at one time
  • Provide constructive feedback and evaluation to team members for audit assignments including upward feedback
  • Support / lead in scoping the audit where necessary
  • Proactively take on additional tasks as requested by colleagues
  • Constantly look for ways to improve the way we do things
  • Set an example and support fair and ethical behaviour in all colleagues
  • Build strong relationships and mutual trust with all internal colleagues and external stakeholders (Regulators)
  • Understand the needs of client/customer and make decisions using this knowledge
  • 3+ years in auditing or investment bank
  • Advanced degree
29

VP, Internal Audit Resume Examples & Samples

  • Oversee and direct the execution of major segments of the Internal Audit Annual Audit Plan, provide functional leadership of the finance and operations audit team and ensure assigned audits are completed in compliance with department policies and procedures, applicable regulatory and legal requirements, and ensuring high professional standards as set form in Internal Audit’s Charter. This includes managing audit client relationships, performing on-going risk assessments, executing audits, assigning audit ratings, identifying risk themes and trends, validating issue closures, and evaluating team performance
  • Participate as an integral member of the Audit Leadership Team, including providing strategic direction, thought leadership in audit approach and delivery of services, and evaluation of Visa Inc.’s overall internal control environment
  • Perform all assigned duties in accordance with the International Standards for the Professional Practice of Internal Auditing
  • Develop a long range global audit strategy that is risk-based and aligned with global business strategies and supporting major Visa initiatives
  • Review, approve and manage progress against audit work plans, delegate appropriately, ensure internal quality control and provide flexible alternatives in order to manage multiple on-going work tasks
  • Prepare reports and make presentations to various management levels concerning the internal audit activities
  • Drive delivery of internal audit’s work on time, within agreed budget, and in accordance with audit methodology and agreed quality standards
  • Lead team in assessing risk, setting project scope, designing and executing audit testing, and identifying information technology general control and/or application control issues
  • Manage team(s) of audit personnel (including both internal and co-sourced contract professionals) in accomplishing audit plan objectives and goal accomplishments. Make hiring and personnel decisions. Ensures each audit team has sufficient and skilled resources, including appropriate supervision
  • Leverage technology-based audit productivity tools and processes
  • Assist the CAE in various matters including reporting to senior management, the Audit & Risk Committee of the Board, and the regulators on audit activities
  • Follow up action plans for key audit findings to ensure timely implementation
  • Identify areas/ processes for improvement and propose recommendations
  • Organize, prepare and present proposals, analytical assessments and other special projects
  • Develop and mentor the audit team; provide enhanced training and career planning
  • Prepare evaluations of applicable staff in accordance with department requirements, including preparing performance evaluations and recommending compensation changes for audit team
  • Maintain comprehensive knowledge of audit techniques and principles
  • Assist in the annual risk assessment process and in developing annual plan and resource forecasts and manages resource allocations and approval of travel expenses, and projects
  • Where applicable, exceed annual CPE credit requirements to preserve professional certification(s)
  • Represent the Internal Audit function on significant cross-functional teams, at times providing leadership to these efforts
  • Work effectively with bank regulators during examinations of the audit process and findings
  • Provide thought leadership in terms of leading internal audit and internal control practices
  • Ensure continuous improvement of audit methodology and practices
  • Exhibits a strong drive for results and success, conveying a sense of urgency and driving issues to closure despite obstacles
  • Bachelors required; preferably with a concentration in Accounting or Finance
  • 15+ years of relevant business experience
  • Advanced collaboration skills, with superior skills in project management, project implementation, and cross-organizational networking and coordination
  • Excellent oral and written communication, interpersonal and presentation skills, including outstanding ability to summarize complex and numerous activities and issues into succinct presentations for a wide range of internal and external executive constituents
  • High level of integrity
  • Willing to travel up to 30% to domestic and international sites
  • Professional Certification (CPA, CIA, CISA, etc.)
  • Exposure to technology and/ or payments industries, ideally in a global/regulated environment
  • Highly skilled in identifying and overseeing the effective and efficient delivery of staff development activities for a large and dynamic internal audit department
  • Alternate language capabilities
30

Ccar-VP-internal Audit Resume Examples & Samples

  • Managing multiple Capital Planning and CCAR audit reviews from planning through reporting, within established budgets and delivery dates, and ensuring workpapers meet internal standards
  • Evaluating the adequacy of design and effectiveness of key controls and potential business concerns by analyzing available documentation and asking insightful questions to identify root causes and drawing the appropriate conclusions
  • Developing audit findings and document business concerns, risks, root causes, and recommendations in writing for inclusion in the Audit Report
  • Participating in follow-up meetings concerning open audit issues and regulatory findings
  • Build credible relationships and interact with regulators and Senior Management within the Firm
  • Supervising and mentoring junior staff
  • Provide Subject Matter Expert support within the department on Capital Planning and CCAR
  • Masters in Finance or Risk
  • Seven to ten years of experience in financial services with a strong understanding of Capital Planning and CCAR
  • A strong understanding of the regulatory environment, and regulatory capital rules, with respect to the Federal Reserve Bank, the SEC, and OCC
  • A team player who supports the broader audit function by leveraging their knowledge to the best use of the Firm
31

VP, Internal Audit Resume Examples & Samples

  • Adopting and executing a risk-based audit approach
  • Leading complex technology process audit engagements as a working manager
  • Develop detailed audit programs in core IT areas including Data Center, Server, UNIX / Linux, Windows,
  • Bachelor's Degree in Management Information Systems or Computer Science preferred
  • CISA and / or other related information system security professional certification (e.g., CISSP)
  • 8+ years IT audit or systems experience
  • Demonstrated team leadership responsibilities and skills supporting diverse groups of technology auditors and / or technology staff
  • Strong working knowledge of critical technology related components including SDLC, IT Governance, Information Security, ESXi / Virtual Server Environments, UNIX,
  • MBA / MS
  • Experience in the banking environment and FFIEC Guidelines
32

Second VP, Internal Audit Resume Examples & Samples

  • Serve as the senior Audit liaison and strategic business partner to key business area(s), which includes establishing and maintaining productive relationships with area leadership
  • Oversee all assurance and advisory service projects in assigned business area(s)
  • Continuously develop and maintain strong business area expertise; stay abreast of all business area operational changes and emerging risks; provide subject matter knowledge to the Audit Department
  • Lead and manage the corresponding internal audit annual risk assessment process, as well as ongoing risk evaluation, for the assigned business area(s)
  • Develop, plan and oversee the annual audit plan for the assigned business area(s)
  • Complete and support an annual audit opinion on assigned business area(s)
  • Lead, manage and execute complex assurance and advisory projects in accordance with best practices, established methodologies and professional standards
  • Provide leadership, direction and support to other auditors on projects in assigned business area(s), ensuring audit reports are clear and concise and effectively communicate observations and opportunities for improvement
  • Demonstrate strong influencing skills when communicating with the business areas and other risk assurance providers aimed to continually improve relationships and enable management to proactively manage risk
  • Assist in recruiting staff, including interviews
  • Act as a mentor to less experienced auditors, including Guest Auditors, by training them on Internal Audit processes, as well as The Guardian’s business lines and related systems, to foster an effective, high performing culture
  • Monitor all outstanding recommendations and action plans for the assigned business area
  • Work with Internal Audit leadership and management to continuously improve departmental policies and procedures beyond scope of direct responsibilities
  • Stay abreast of current issues, standard industry practices, regulations, and obtain continuing education and training
  • Participate in special projects and perform other duties as requested
  • Minimum of 15 years’ experience in internal audit, external audit and/or related functions
  • Experience in the insurance or financial services industry is strongly desired
  • Strategic thinker that is client focused with disciplined execution
  • Highly motivated self-starter, with the ability to work effectively either independently or as part of a team
  • Strong interpersonal skills, with the ability to build effective relationships and clearly articulate thoughts and ideas
  • Strong analytical skills, with the ability to effectively analyze a process and assess risks and controls
  • Proven ability to solve problems and identify root causes of process breakdowns
  • Clear organizational and project management skills, with the ability to manage concurrent projects, drive performance, and meet deadlines
  • Innovative, critical thinker with effective influential and leadership abilities
  • Expertise with risk assessment tools and methodologies
  • Ability to multi-task and quickly adapt to changing priorities
  • Proven ability to discuss technical issues in general business language
33

VP-internal Audit BIA IT Audit Team Lead Resume Examples & Samples

  • Proven experience in IT Application auditing or risk and control activities
  • Understanding of relevant regulatory environments and impact on technology (for example: BCBS 239, The Basel Accords, etc)
  • Management and delivery of control related reviews and identification of improvements and actions for remediation
  • Knowledge of Fixed Income/FX and trading and the technology supporting them
34

VP, Internal Audit Resume Examples & Samples

  • Assist the Chief Audit Executive in developing and continuously refining the Internal Audit strategy for Visa Europe region by providing thought leadership in the approach and delivery of audit services and evaluation of overall control environment, being responsive to the Company’s operations, international business and regulatory environment
  • Assist the Chief Audit Executive in ongoing risk assessment, development of the annual audit plan, and stakeholder [e.g., executive, regulator, and Visa Inc. and Visa Europe Audit & Risk Committee (ARC)] reporting
  • Make presentations to regional executives on audit plans, results and issues, and potentially occasional in-person reports to the Visa Inc. Corporate Risk Committee and ARC
  • 90% of the role is providing independent assurance to the board, 10% is acting in an advisory capacity to the business
  • Lead and build a highly successful team of audit professionals based in London. Provide guidance, direction and career development including the development of goals and performance assessment
  • Manage and direct the audit team in executing a major segment of the annual Audit Plan as it relates to Visa Europe, and ensure audits are sufficiently sourced with skilled talents and effectively supervised
  • Work in partnership with the Audit Leadership team of VPs to coordinate audit work across business operations (countries and regional/global) functions, corporate functions, and technology functions, especially ensuring the appropriate level of assurance over IT operations, governance and security related to Visa Europe
  • Lead audit team in assessing risks, setting audit engagement scope, evaluating the control environment, developing recommendations for improvements, and communicating results to various management levels
  • Execute internal audit activities with the appropriate balance of internal resources and external service providers including the use of specialists. Develop and maintain relationships with appropriate external service providers
  • Promote the role of Internal Audit within the Company and provide input into the continuous improvement of risk assurance services
  • Partner with key leaders in Operations, Technology, Finance, Risk, Legal and Compliance to foster an effective environment of risk management and controls
  • Maintain business relationships with appropriate levels of management to ensure Internal Audit is aware of changes in business activities and objectives, and partner with management to improve internal controls within their respective areas
  • Maintain knowledge of audit techniques and principles as well as industry, and technical best practices and issues, and actively impart knowledge to the audit team
  • Liaise with European, UK and any relevant regulators as appropriate, as well as maintain strong knowledge and understanding of European and UK regulatory environment and requirements
  • Lead the execution of selected complex projects or audits requested by management or the ARC
  • Leverage advanced technical knowledge and professional judgment in the practice of internal auditing to
  • Assist executive and line management in developing innovative and cost-effective solutions to close control gaps
  • Make audit scope decisions, assess the significance of control gaps, evaluate the effectiveness of control design and the overall control environment, and assign issue and overall audit ratings
  • Maintains authoritative knowledge of Visa businesses and systems, and leverage this knowledge in the assessment of audit universe risk and the development and maintenance of the annual audit plan
  • At all times, maintain objectivity and independence as defined by department and IIA standards
  • Extensive experience in business, financial institutions, auditing or consulting, preferably internal audit experience and ideally in a technologically sophisticated global financial services environment. A mix of 1/3 rd Technology and 2/3 compliance and regulation would be ideal
  • Ability to work well with European, UK and other relevant regulators, as well as strong experience and understanding of European and UK regulatory environment therefore must have a very strong regulatory background
  • Expert knowledge of the professional practice of internal auditing, ideally demonstrated by achievement of professional certifications, particularly the ACA, CPA, CIA, and/or CISA designations
  • Advanced knowledge of COSO, COBIT, ICAEW / AICPA, IIA and other professional standards
  • Highly skilled in managing the effective and efficient delivery of staff development activities for a team of audit professionals
  • Excellent communication, interpersonal and collaboration skills, with an emphasis on client service
  • Strong critical thinking, analytical and organization skills
  • Ability to foster good working relationships across geographies and time zones and deftly work in all cultural settings
  • Proven ability to multi-task and meet aggressive targets in a high-energy, dynamic and fast-paced environment
  • Able to travel approximately 20% (both domestically and internationally)
  • Ideal candidate will have a typically have more than 2 years tenure in prior roles
35

VP-internal Audit Resume Examples & Samples

  • 8-15 years of experience out of a Public Advisory or a Financial Services firm, Broker Dealer or Asset Management
  • Fixed income and/or Equities knowledge
  • Broker Dealer experience
  • Trade life cycle experience
36

Assistant VP, Internal Audit Resume Examples & Samples

  • Bentall Kennedy, a real estate investment manager operating in Canada and the U.S
  • Prime Advisors, a U.S.-based investment management firm specializing in customized fixed income portfolios primarily for U.S. insurance companies
  • Ryan Labs, a New York-based asset manager specializing in fixed income and liability-driven investing; and
  • SLIIC Inc. (Sun Life Institutional Investments Canada, Inc.) our Canadian institutional asset manager which provides investment expertise in alternative asset classes and liability-driven investing to pension funds and other institutional investors
  • Lead the audit portfolio for Investments’ processes ensuring a high standard of quality in all work
  • Responsible for planning and managing a team of audit staff including coaching, staff development, and planning audit engagements to facilitate staff development
  • Responsible for maintaining open communication with the investment audit leaders in Asia
  • Work to influence management decisions to ensure the organization maintains a strong control environment
  • Develop and maintain relations with senior executives, to be aware of emerging risk issues and key initiatives in the business. Liaise with external auditor as needed to maximize efficiency
  • Maintain knowledge of business developments for the purposes of continuously assessing risk in the portfolio. Provide assistance in preparation of the annual worldwide Audit Plan and quarterly Report on Controls presented by the Chief Auditor to the SLF Audit and Conduct Review Committee
  • Maintain knowledge and skills by staying current with developments in auditing and in the business risks assigned
  • Understand Sun Life’s strategy, objectives, and risks and align work and insights to Sun Life’s overall risk appetite, strategies, and vision
  • Knowledge of essential investment business operations and product knowledge
  • Relationship Skills
  • Client-centric leadership including value creation for clients; demonstrate by actions and added value that the client is at the centre of all we do
  • Role models behaviours expected of others
  • Resolve and mediate decision outcomes related to complex, sensitive, or contentious issues where conflict exists
  • Can negotiate resistance effectively and achieve concessions without damaging the relationship
  • Co-ordinates with other functions (Compliance, Risk Management) on scope and timing of work
  • Talent & Performance Management
  • Develop high performers and can effectively deploy talent across the organization
  • Coaches and provides candid feedback
  • Can differentiate performers and rewards
  • Supports and nurtures opportunities for collaboration
  • Ensures all team members are heard and considered
  • Builds strong, diverse and effective teams
  • Professional Audit related designation required, such as: CIA, CISA, CPA
  • Undergraduate degree or equivalent required
  • Minimum 12 years audit experience required, a significant percentage of which has been focused in a financial services organization, in an environment of similar scale or complexity as SLIM
  • Expert knowledge risk identification, assessment, internal controls, and reporting processes, particularly in the areas of Credit, Market, Operations, Regulatory, and Financial Reporting risks
  • Experience in Insurance, Investments or Financial Services is an asset
  • Well-developed relationship building skills with a client-centric mind set
  • Proven ability to develop high performers and can effectively deploy talent across the organization
37

VP, Internal Audit Resume Examples & Samples

  • Developing and executing the annual internal audit program, as approved by the Supervisory Committee
  • Performing necessary internal audits to validate & maintain the safety and soundness of Patelco Credit Union. This may be in addition to the approved audit plan as deemed appropriate to protect member and credit union assets
  • Responsible for Internal Audit staff development and securing external resources as needed to effectively manage the internal audit function
  • Oversees our whistle-blower program and related confidential reporting
  • Manages, in concert with the Supervisory Committee chairman, NCUA/DBO complaints
  • Serves as the Supervisory Committee liaison. Prepares Supervisory Committee materials and works with the Chairman to establish committee agendas
  • Works closely with the Supervisory Committee to select and oversee the external CPA audit process
  • Responsible for developing strategic analyses at the highest organizational levels in areas including assessing risk and internal controls, and procedures to address internal and external concerns and issues
  • Must be able to develop and perform department programs consistent with Risk Management Assessments, requirements of the Supervisory Committee, external auditors, government regulations, and the Board and Management’s strategic plans
  • Prepares, implements and ensures adherence of the annual audit plan, department budgets and standards. Ensures that the soundness, adequacy, application and level of risk of all internal controls are appropriate for the credit union
  • Oversees audit staff to encourage proper performance of all audits and audit functions designed to ensure adequate control of credit union assets and to facilitate the safe, efficient and effective functioning of credit union operations
  • Responsible for recruiting, training and managing professional staff to ensure the timely and effective performance of the internal audit program. Responsible for securing external resources as needed to effectively manage the internal audit function and augment internal team
  • Reviews audit reports; work papers and other communication prepared by assigned staff to ensure accurate documentation, pertinence and clarity before issuance; reviews and evaluates audit findings and security warnings for inclusion in the final audit reports to credit union management and Supervisory Committee
  • Ensures adherence with policies and procedures and applicable laws and regulations and demonstrates a solid understanding of the credit union’s business, core strategies and risk tolerance
  • Reports risk management issues and internal control deficiencies directly to the Chief Risk Officer and to the Supervisory Committee; and provides recommendations for improving the credit union's operations, in terms of both efficient and effective performance
  • Initiates follow-up action and approves responses to audit reports to ensure appropriate corrective action is taken by operating management/personnel
  • Leads activities and sourcing of external auditors. Considers the scope of work of the external auditors and regulators, as appropriate, for the purpose of providing optimal audit coverage. Performs, coordinates and reviews audit work requested by external auditors and regulatory agencies
  • Maintains confidentiality of information and controls, protects all credit union sensitive information and materials within the scope of the audit function
  • Responsible for working with Management and staff on training, monitoring for adherence to, and enforcement of policies and procedures, and recommending corrective action as required
  • Minimum of 10+ years of professional related experience and at least 5 years in a senior level position
  • BA/BS Accounting/Finance or related fields required
  • MA/MS/MBA in Accounting/Finance or related fields preferred
  • IIA, CPA or other audit certifications is a plus
  • A good working knowledge of personal computers (Microsoft Office programs), data processing systems (Summit Information Systems preferred), and other audit related computer programs
  • The applicant should also be familiar with credit union core computer systems, internet security protocol, AML computer systems, I.T. security management, fraud and forensics techniques and banking systems (i.e. Federal Reserve Bank System, Fedline, ATM Networks, Fiserv, Fin Cen Electronic Filing Systems, etc.)
  • Must maintain independence and demonstrate fairness during investigations and make recommendations on issues involving policies, procedures, regulations, and laws
  • Must be able to communicate effectively at the a high level with senior management and Administration, as well as with the Supervisory Committee, Board of Directors, government regulators, attorneys, law enforcement, and with others within and from outside the credit union industry,
  • Must maintain a position of independence while being jointly responsible to the Supervisory Committee and to the Management Team
  • Must be literate at a high level on issues involving audit management, regulatory compliance, and security administration
  • Have outstanding verbal and written, as well as in person communication skills for correspondence at all levels and over other mediums
38

VP Internal Audit Resume Examples & Samples

  • Defines the vision of HMH’s internal audit department. Sets measurable goals and objectives that are aligned with corporate strategic plans. Strikes an appropriate balance between technical auditing and financial/operational skills in staff to optimize talent development and drive an integrated audit approach. Recruits and develops high potential internal audit talent
  • Leads the development of the company’s annual enterprise risk assessment and internal audit plan. Works directly with the company executive leadership team and external advisors to identify financial, operational and compliance risks. Uses the annual risk assessment to recommend an internal audit plan for approval by management and the Audit Committee of the Board of Directors
  • Ensures appropriate, competent resources are assigned to audit projects. Provides clear and balanced recommendations to resolve important audit and compliance matters requiring professional judgment. Clearly communicates with stakeholders from the inception of audits through report generation and follows up on findings previously reported. Completes audits and projects on time and within budgets previously established. Uses data analytics, dashboards and metrics to identify and communicate results
  • Evaluates the internal control environment to ensure the accuracy of reported financial results and disclosures and to protect the company’s assets. Stays current with changes in the business to determine impact on the company’s control environment and drives the corporate governance program at HMH
  • Drives positive change in the organization based upon high quality work, thoughtful preparation, detailed findings and strategic direction
  • Maintains a high-performing internal audit organization (including external resources). Evaluates talent using desired finance/accounting and technology based competencies, and effectively implements the company’s performance management practices. Actively develops audit talent and contributes to the development of future leaders
  • Performs on-going risk assessments with senior management to identify risks cross-functionally for all business units at HMH. Assesses the adequacy of manual and systemic controls in mitigating significant risks to a business process or application
  • Meets with key members of senior management to identify changing tactics, project improvement initiatives and considers the implications for the nature and intended timing of audit plans and procedures
  • Reviews financial results by analyzing financial statements, reports, performance ratios, and trend analysis to isolate potential accounting problems. Participates on the Disclosure Committee and reviews all 10-Q’s, 10-K’s, Proxy Statements and Earnings Press Releases for completeness and accuracy
  • Builds long-term relationships with senior management to better understand the Company’s culture and management directives. Develops and maintains working relationships, particularly executives, and demonstrates a commitment to continually improve the perception of the Internal Audit function throughout the company
  • Oversees the execution of audit procedures, analyzes evidence, reaches conclusions, identifies issues, develops strategies, and makes decisions for complex judgmental issues related to the audit procedures executed. Consults with others in the company, as necessary, on complex issues. Reviews, in a timely manner, working papers, draft audit reports, and memoranda as consistent with authoritative guidance and departmental requirements
  • Assists the audit management team in reaching their full potential, including conducting meaningful and timely performance reviews, serving as a positive role model and mentor and assisting in the design and implementation of individual development plans
  • Closely interfaces with third party service providers directing independent reviews
  • Maintains professional certifications and related educational requirements
  • At least 10+ years of Audit experience, preferably inclusive of a Big Four Audit firm. Possession of a professional certification (e.g., CISA, CIA and/or CPA) is required. Prior Internal Audit and/or SOX Compliance work within a publicly traded company is required. MBA and experience in Publishing preferred but not required. Six Sigma Process Improvement certification preferred
  • Bachelor’s Degree in Business Administration, Finance/Accounting or Information Systems is required. MBA or MSA preferred
  • Highly effective at driving change and managing teams to achieve desired results. Capable of articulating a vision, gaining organizational commitment to action, and managing through others to achieve results
  • Superior interpersonal, communication (both written and verbal), and presentation skills. Has executive presence and is capable of representing the CFO in high-visibility settings (e.g., with Audit Committee). Maintains effective external industry and professional network
  • Proven experience with the integrated audit approach. Experience in collaborating with all levels of an organization’s management team. Exceptional interpersonal and presentation abilities. Fully developed written and verbal communication skills are required
  • Extensive knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Sarbanes–Oxley implementation as well as fundamentals of COSO, COBit and financial statement assertions and other regulatory requirements
  • Strong business acumen and judgment with current knowledge of the company’s markets/products, operations and industry trends. Demonstrated ability to think strategically about business issues
  • Excellent at workload prioritization, resource management, and project management. Develops and manages processes that are efficient and effective
39

Assistant VP, Internal Audit Resume Examples & Samples

  • Assisting the Head of Internal Audit in the planning, organizing, directing and monitoring of internal audit operations, including assisting in hiring, training and evaluating staff
  • Managing internal and co-sourced resources and overseeing their execution of the audit plan
  • Managing the audit staff in conducting interviews, reviewing documents and workpapers
  • Managing the audit staff in the identification, development and documentation of audit findings and recommendations
  • Drafting and presenting audit committee and other internal audit meeting materials
  • Designing audit procedures for high risk and complex audit areas, including identifying and defining issues
  • Identifying, developing and documenting audit issues and recommendations using independent judgment concerning areas being reviewed
  • Drafting audit reports and communicating the results via verbal presentations to management
  • Developing and maintaining productive relationships through individual contacts and meetings
  • Pursuing professional development opportunities via professional associations and internal/external training; and
  • 6 years of audit experience
  • Internal audit experience in asset management industry
  • Experience applying internal auditing and accounting principles and practices, management principles and business practices
  • Experience collecting and analyzing complex data, evaluating information and systems and drawing logical conclusions
  • Experience planning and project management; and
  • Knowledge in Microsoft Office products including, Word, Excel, Outlook and PowerPoint to prepare reports, memos and summaries
40

VP, Internal Audit Resume Examples & Samples

  • Proven internal audit leader with significant prior experience designing and implementing corporate internal audit plans
  • Strong strategic thinker with significant business acumen. Prior operational experience a plus
  • Lead and mentor a team of five internal auditors. Ensure that the department maintains the right level of talent and resources at all times to effectively execute the audit plan
  • Engage and effectively manage external audit assistance as needed
  • Directs business function including, approval of overall project plan, budgets, and work breakdown structure
  • Oversight of the corporate enterprise risk management process
  • Routine presentations to the corporation’s Board of directors and senior leadership
  • Serve as a key member of the Compliance Department leadership team
  • Fifteen or more years of related experience
  • Superior written and oral communication skills
  • Substantial prior experience presenting to Boards and/or executive leadership
41

VP, Internal Audit Resume Examples & Samples

  • Designs a systematic framework to increase the effectiveness of risk management, control and governance processes
  • Reviews financial controls and certifies the adherence to the applicable accounting procedures within acceptable risk tolerances, as required by SOX
  • Develops formal process for conducting audit investigations according to International Professional Practices Framework
  • Determines risk thresholds for large scale company practices and implements tracking mechanisms to identify present or potential process issues
  • Conducts regular conferences with Sr. Management, Board of Directors and external partners to highlight priority items and demonstrate results of control implementation
  • Provides advisement to department leaders on control design and manages the execution of process modification(s)
  • Manages monthly, quarterly and annual risk assessment reviews and ensures all processes and controls perform according to predetermined benchmarks
  • Minimum ten years of experience in a Corporate Internal Audit leadership capacity or related role
  • Bachelor’s degree in Finance or Accounting or equivalent
  • CIA (Certified Internal Auditor) certification required
  • Expertise in reviewing system controls within business processes
  • Experience in the review of all SEC regulated consolidated financial statements
  • Advanced knowledge of generally acceptable accounting principles, FASB and SOX regulations
  • In-depth understanding of financial reporting and ERP software
  • Knowledge of IIA principles and standards
  • Excellent organizational skills, ability to prioritize multiple priorities and strong attention to detail
  • Computer skills including MS Office programs such as Outlook, Word, Excel PowerPoint
  • Strong interpersonal skills and ability to communicate (verbal/writing) effectively
  • Self-motivated and strong analytical / problem solving skills
  • Ability to collaborate at all levels of the organization and across other functional areas
  • Ability to maintain a high level of confidentiality
  • Preferred knowledge of the Consumer Product Goods Industry
  • Work with minimal supervision execute for results in a fast paced environment
  • Ability to empower, motivate and inspire staff
  • Ability to lead change and execute on strategic decisions
42

VP, Internal Audit Resume Examples & Samples

  • Bachelor’s Degree in Accounting; MBA a plus
  • Minimum of fifteen (15) years’ experience, including audit and/or internal audit experience with a large public accounting firm and/or a senior leadership position of Internal Audit function of a public company
  • CPA and/or CIA required
  • Unique capability to connect business strategies and “see around corners” to ensure leading edge audit practices
  • Strong executive presence and experience presenting to board of directors and senior management
  • Decisiveness and willingness to make tough decisions with time sensitivity
  • Strong diplomatic and negotiation skills
  • Superior leadership, supervisory and managerial skills
  • Ability and personality to build a strong, trusting relationship with the external auditors, while maintaining appropriate professional audit function propriety
  • Exposure to multinational operations and financial reporting across multiple jurisdictions in Europe
  • Working knowledge of integrated accounting and reporting systems
  • Demonstrated managerial decision making and problem solving skills
  • Superior interpersonal, verbal, and written communication skills, with the ability to communicate and interact effectively with people from multi-functional and diverse backgrounds
  • Demonstrated success in leading, directing, managing, and developing staff
  • Ability to effectively analyze, organize, and prioritize workflow according to internal and external deadlines in a fast-paced environment
  • Uncompromised integrity and work ethic
  • Willingness to take ownership and dedicate the time needed to complete departmental and company-wide objectives
  • Ability to pass a thorough background check
  • Strong internal customer relationship management skills
  • Epitomizes the Company’s cultural values, demonstrating an ability to put the goals of the brands ahead of individual considerations
  • Detail-oriented approach
  • Ability to think and work effectively in a high-energy, fast-paced environment
  • Understands the challenges of, and thrives in, an international organization
  • Ability to work collaboratively and openly with cross-functional business partners in a non-bureaucratic and non-hierarchical business environment
  • Creative approach to problem solving with a humble, team-oriented and optimistic attitude
  • Ability to travel as needed between Houston and Fremont headquarters
43

VP, Internal Audit Resume Examples & Samples

  • Must be an effective, highly professional finance professional that inspires confidence in colleagues and within the broader organization
  • Must possess excellent interpersonal skills and will serve as a member of the senior finance management team
  • Energetic, entrepreneurial self-starter capable of self-direction
  • Self-reliant and have strong initiative as well as possess solid business judgment
  • Bachelor’s Degree in Accounting or related Finance field
  • Minimum of ten (10) years of related Accounting and/or Auditing experience, with at least 5 years of audit experience in a management position
  • Advanced degree along with CPA and/or CIA is a plus
  • Up to 50% -75% travel (unknown at this time until program really established
  • Solid understanding of US GAAP, IFRS and SEC reporting requirements
  • Advanced understanding of SOX Section 404 (Sarbanes-Oxley Act Section 404) and COSO 2013
  • Comprehensive knowledge of auditing practices, procedures and principles, sufficient to interpret and analyze complex concepts and apply them in innovative ways
  • Thorough understanding of and familiarity with the concept and practice of self-auditing institutions, as in the COSO framework and control self-assessment approach for the review of reliable financial reporting, operational effectiveness and efficiency, and compliance
  • Prior audit experience in auditing publicly-traded companies and/or in TMT industry is a plus
44

VP, Internal Audit Resume Examples & Samples

  • Minimum of ten years banking experience and five years management experience, or the equivalent managerial know-how, to be able to act as a process and management consultant to management in any area of the company. Must have knowledge of finance and operations as well as information technology
  • Understanding of banking regulations and compliance as related to financial services
  • Strong teamwork, analytical, and communication skills
  • Ability to travel to various locations throughout the United States
  • Professional certification, such as CPA, CISA, CFE or CIA is expected
45

VP, Internal Audit Resume Examples & Samples

  • Contributing to ongoing business monitoring and optimization activities, including: Identifying emerging firm-wide and business risks, understanding organizational changes through periodical engagements with business units, and completing risk assessments of these areas; Leading projects aimed at optimizing business processes and control activities; Providing advisory services during the development of new businesses and systems; Performing regulatory and industry-driven audit reviews; Leading or contributing to department-wide initiatives to meet the KPIs for the Internal Audit function and ensure progressive growth of the department to be best in class in the next 3 years
  • Build and maintain key relationships across the Audit department and establish a culture of engagement and adding value to the department Manage audit staff, while providing timely and candid feedback and coaching
  • Advanced knowledge of processes, risks and controls in the area of large scale system implementations including change and release management
  • Knowledge of Data Analytics usage in internal auditing
  • Relevant professional certifications CIA and/or CPA is a requirement. Any other certifications and/or MBA are a plus
46

VP, Internal Audit Resume Examples & Samples

  • Bachelor's degree (e.g. accounting, finance, business administration, computer science, management information systems)
  • CPA, CIA, CISA, CFE preferred
  • 15 years related audit thorough public accounting/auditing and/or industry experience
  • Knowledge of general system controls such as change management, system operations monitoring, and business continuity
  • Ability to audit operational processes and general application controls
  • Defines audit objectives and prepares audit programs. Develops and coordinates audit schedules, budgets and manpower requirements to ensure that each area of the organization is audit regularly, initiating spot audits when necessary
  • Directs and review activities of the Internal Audit/Loss Prevention and assigns department resources to ensure that established audit programs are achieving their objectives
  • Manages external regulatory requirements and peforms duties in accordance with such regulatory requirements
  • Ensures that auditing procedures for automated systems are developed, including internal computer check and balances as required
  • Proactively selects, develops, motivates and deploys a diverse staff of highly competent leaders
  • Provides consultation and advice to all levels of management through independent review of procedures, practices, controls and documentation. Identifies weaknesses and proposes improvements
  • Furnishes periodic reports of audits conducted to the CEO, Senior Vice Presidents, Supervisory Committee and others as appropriate
  • Coordinates the internal audit program with outside vendors. Serves as primary liaison between the Company and outside auditors and examiners
  • Prepare an initial compliance program that takes advantage of the most recent guidance to create a cost effective approach to SOX compliance that is suited to the organization
  • Develop and implement the full audit cycle including risk management and control management over operations’ effectiveness, financial reliability and compliance with all applicable directives and regulations
  • Conduct risk assessment of assigned department or functional area in established/required timeline
  • Produce clear documentation and enforce audit department standards
  • Engage in continuous knowledge development regarding sector’s rules, regulations, best practices, tools, techniques and performance standards
  • Any other related duties/tasks as may be assigned
47

Senior VP, Internal Audit Resume Examples & Samples

  • Minimum of a Master’s degree in business, accounting, finance, MIS, related field or equivalent experience required
  • Must have a minimum of 15 years related experience. “Big Four” background preferred. Must have experience with the supervision of professional auditor staff
  • Must have one or more of the acceptable professional designations (CPA, CIA, CISA or CFE)
  • Comprehensive understanding of the audit process
  • Prior experience advising C-suite and Board Audit Committee on operational and audit issues preferred
  • Must demonstrate practical knowledge or application of the COSO framework as well as demonstrate an understanding of the current corporate governance issues facing companies (e.g., Sarbanes-Oxley)
  • Working knowledge of U.S. GAAP, PCAOB and IIA Standards for the Professional Practice of Internal Auditing
  • Possess strong task management, attention to detail and prioritization skills. Demonstrated ability to follow-through on all assigned tasks
  • Must be a team-oriented individual
  • Must have effective communication and presentation skills, and willing to collaborate with key stakeholders in the organization
  • Proficient in the use of MS Office applications (Excel, Word, PowerPoint)
48

VP, Internal Audit Resume Examples & Samples

  • BS/BA in Accounting, or equivalent required
  • Minimum of 10 years of combined experience in public accounting and internal audit required. Prior work experience in industries other than banking required
  • Minimum of 5 years of experience managing finance / accounting professionals required. Must have proven ability to lead cross functional teams
  • Previous experience with Sarbanes Oxley compliance preferred
  • Must be a proactive individual with strong leadership skills
  • Excellent written and verbal communications skills are required to develop and maintain working relationships with senior leaders as well as internal / external customers
  • Must have outstanding project management, presentation, and organizational skills
  • Ability to travel up to 25%, primarily within North America with the potential for international travel
  • Willingness to work the required schedule, work at the specific location required, complete Penske employment application, submit to a background investigation (to include past employment, education, and criminal history) and drug screening are required
49

Assistant VP Internal Audit FI Credit Americas Team Resume Examples & Samples

  • Undergraduate degree and/or Industry qualifications
  • 4+ years experience in Investment Bank, or auditing
  • Masters Degree or other advanced academic learning
50

VP Internal Audit Resume Examples & Samples

  • Manage the maintenance of audit methodology and documenting changes in the Audit Policies and Procedures
  • Obtain and capture changes to the audit plan and schedule including changes in budgets hours, milestone dates, and resource schedules
  • Monitor, create, and run various reports that support various Internal Audit metrics and oversight of audit projects
  • Manage collection and packaging of Internal Audit requests from investors, regulators, and other business partners
  • Support department staff understanding of the audit approach, methodology & tools
  • Maintain regular communication with Audit Management
  • Oversee processes to track and report on Internal Audit issue statuses from issue identification to validation and closure issues
  • Perform ad hoc projects as assigned
  • Develop and maintain proactive working relationships with personnel across the Company
  • Graduation from a 4-year college or university with major course work in a discipline related to the requirements of the position is preferred. Will consider the equivalent combination of job experience & education that demonstrates the ability to perform the essential functions of this job
  • 12+ years of public accounting or internal audit experience in the financial services industry
  • Strong knowledge of internal audit methodologies and practices, including IIA standards, and the implementation of such methodologies
  • Detail-oriented, deadline driven, self-directed and organized individual
  • Able to understand risk and control concepts
  • Strong knowledge of Microsoft Office applications (Word, Excel, and PowerPoint), specifically, skills with Excel including filtering, pivots, charting and graphing; and PowerPoint skills used in creating various reports for senior management
  • Strong project management skills coordinating assignments, tracking/monitoring progress, and reporting on status
  • Understanding of data and data structure
  • Strong management skills to evaluate opportunities with process improvement within department for area of responsibility) and demonstrated ability to facilitate change
  • Proven experience and deep knowledge in auditing or managing the following IT audit domains
51

VP, Internal Audit Resume Examples & Samples

  • Overseeing internal audit activities, which includes planning and directing a variety of audits and ongoing Sarbanes-Oxley compliance efforts and strategies
  • Co-sourcing with the in-house internal audit department and an externally hired internal audit service provider
  • Performing financial statement risk assessment, recommend policies, procedures and control activities to mitigate identified risks
  • Overseeing all phases of internal financial, operational, and compliance audits, including planning, control analysis and testing, issue development and reporting
  • Leading the activities of assigned staff by ensuring the department function is efficiently performed in a quality-oriented environment reflecting the West values, providing support and assistance as necessary
  • Developing and implement a strategic plan to establish long-range goals, strategies, and policies while remaining consistent with West's corporate policies, procedures, and philosophies
  • Proactively working to continuously improve expense controls, cost savings measures and budget products for assigned area
  • Develop a strong partnership with internal departments to ensure the successful completion of internal audits
  • Establishing a good working relationship with staff and division contacts in order to meet and maintain goals and objectives
  • Minimum 10 years of increasingly responsible finance, accounting, public accounting, or a related experience required, which includes a minimum of 6 years audit experience
  • Minimum of 3 years supervisory experience required
52

VP, Internal Audit, Mortgage Services Resume Examples & Samples

  • Work effectively with management to evaluate our mortgage insurance businesses, related risks, and related controls including monitoring of aggregate exposures as well as operational and financial processing risks
  • Preform annual risk assessments, develop annual internal audit plans for the organization's mortgage (re)insurance entities and contribute to the ACGL level risk assessment and internal audit plan
  • Contribute to ongoing business monitoring and optimization activities including: identifying emerging business risks and opportunities, understanding organizational changes through routine interaction with management and provide advisory services during the development of new businesses and systems
  • Execute the internal audit plans, revise those plans and individual audit scopes as necessary
  • Provide executable recommendations that improve operations, controls and how the business is managed
  • Ensure audits are executed and reported on within agreed-upon timetables and budgets
  • Establish objectives and scopes for audits, oversee the procedures and effectively communicate audit observations and recommendations with senior management
  • Prepare clear and concise written audit reports and Audit Committee meeting presentations
  • Facilitate the sharing of best practices across the Company's entities
  • Audits include areas such as risk management, underwriting, premiums, policy/contract administration, claims, ceded reinsurance, financial reporting and information technology
  • Manage team to accomplish results through effective recruitment, selection, training, development, performance management and recognition
  • Coordinate with the Company's other assurance functions (Risk Management and SoX) and interact with external auditors
  • Display teamwork, integrity and leadership
  • Work collaboratively and develop strong relationships with business units and operational areas
  • Evaluate the effectiveness of business and operating groups' actions in response to internal audit recommendations
  • Evaluate internal audit policies and procedures to enhance internal audit effectiveness and capabilities
  • Strong desire to add value and succeed as a member of Arch's mortgage segment leadership team and the IA team
  • Ability to assume increased responsibilities within a dynamic and growing organization
  • Ability to quickly differentiate the importance of various processes, risks and related controls
  • Highly effective interpersonal and communication skills; ability to write clear and concise reports
  • Strong work ethic and ability to work autonomously while effectively managing expectations
  • Ability to function in a team environment
  • CPA or CIA
  • 12+ years of related experience
  • Insurance, financial services or similar industry experience, experience with mortgage insurance or mortgage lending preferred, but not required
  • Expert knowledge of internal auditing (procedures, testing, and reporting), internal controls, risk management, and finance and accounting practices and methods
53

VP Internal Audit FI Credit Resume Examples & Samples

  • Collaborate and support the Director to define the appropriate coverage strategy and audit plan for Fixed Income Credit and Municipals, taking into consideration the Audit Risk Appetite, the current and expected business environment, the regulatory requirements and the resourcing levels within the Function
  • Lead discussions with clients regarding audit observations, consulting with the Director where necessary
  • Build independent and respected relationships with clients on each audit and develop on-going relationships with key clients in aligned business area
  • Develop a wide network of contacts across BIA and the business to identify and work towards strategic goals
  • Engage and motivate others to develop their skills/knowledge/experience to contribute to the success of BIA
  • Celebrate the success of self and others and take pride in achievements
  • Contribute to the attraction of the best people through their role in the recruitment process
  • Create an environment to encourage knowledge sharing, asking questions and sharing viewpoints with BIA colleagues
  • Ensure the inclusion of all colleagues, regardless of background or circumstances
  • Sets an example and supports fair and ethical behaviour in all colleagues
  • Make sure colleagues are equipped to be able to protect our reputation at all times
  • 8+ years of experience in auditing or investment banking industry experience
  • Experience / specialist regulatory knowledge in one or more of: Volcker, TRACE Reporting
54

Assistant VP-internal Audit Resume Examples & Samples

  • 4+ years experience in risk based auditing or risk/control activities
  • Knowledge of sales and trading functions for Macro Products (FX & Rates)
  • Relevant professional qualifications (e.g. CIA, MIIA, ACCA, CISA)
55

VP, Internal Audit Resume Examples & Samples

  • Articulate deep experience with one or more of the following: SAP, new technologies including cloud computing, data analytics, fraud prevention/detection, and/or music/entertainment
  • Demonstrate exceptional communications skills, both written and verbal, with the ability to speak the language of the business not just ‘audit speak&#8217
  • Speak persuasively and defend complex positions effectively
  • Exhibit a strong understanding of GAAP, SOX, COSO, IT audit concepts, and leading business practices
  • Thrive in a creative, dynamic, fast-paced environment and manage multiple projects and resources simultaneously
  • Be a highly motivated self-starter that is innovative with a desire to continuously improve the business, the control environment, and processes
  • Display a high standard of ethics and professionalism
  • Effectively mentor, coach, and develop teams
  • Demonstrate strong knowledge and experience with Microsoft Sharepoint and Microsoft Office applications including Powerpoint, Excel, Access, Word, Project, and Visio
  • Travel domestically and internationally up to 30%