Internal Audit Associate Resume Sample
Gerhard Mills
91208 Alivia Lake,
Boston,
MA
+1 (555) 672 1035
Work Experience
Internal Audit Associate
01/2017
-
PRESENT
Detroit, MI
- BS in Accounting, Finance, or related field
- Industry or public accounting experience
- Thorough documentation skills
- Serve as subject matter expert in accounting, finance, information technology and/or internal controls
- Develop project plan based on agreed upon timeline with business area
- Review process documentation obtained during risk monitoring prior to the commencement of each assigned audit project
- Actively participate in on-site process walkthroughs with the project team and the applicable business area being audited
Senior Internal Audit Associate
12/2014
-
12/2016
Dallas, TX
- Document understanding of the business area’s process with no guidance
- Identify and document relevant controls that mitigate the risks identified within the business area’s process with little to no guidance
- Perform relevant controls testing with little to no guidance
- Document results of controls testing in a clear and concise manner
- Producing high-quality audit work paper documentation. All audit work papers to be well written, accurate, supported, clear and to the point with little to no guidance
- Draft the audit issues and reports for each assigned project that effectively communicate the purpose of the project and conclusions reached in a manner appropriate for senior leadership of the enterprise
- Conduct audit issue follow-up including reaching out to business area contacts, obtaining relevant information from the business area, testing to validate and updating documentation
- Assist the Director of Internal Audit for AI in preparing materials to be presented to the senior management team and other regulatory reporting
Internal Audit, Associate Director
03/2011
-
09/2014
New York, NY
- Carry out such discrete or project-type tasks set by the Chief Compliance Officer
- Experience of auditing and Risk Advisory engagements
- Displays a positive and collaborative attitude
- Contribute to risk assessment, planning, audit scope development, and execution of the annual audit plan. Ensure adherence to US GAAP, regulations, and Company policies and procedures throughout the organization
- Observe physical inventory counts and review subsequent adjustments reported
- Draft findings for audit reports of financial reporting, internal controls compliance, and other audits. Draft cost-effective recommendations for resolution. Contribute to identification of action plans and the parties responsible for implementation
- Perform selected audit steps pertaining to inventory valuation and existence
Education
National American University - Albuquerque Campus
2007 - 2011
Bachelor's Degree in Accounting
Professional Skills
- Excellent communication (verbal, written, and listening) and interpersonal skills; strong writing skills, in English and preferably in Japanese
- Strong analytical skills, particularly in regards to assessing the probability and impact of an internal control weakness
- Strong analytical and detail-orientated skills
- Excellent interpersonal skills to deal with all levels of personnel
- Planning and conducting audit interviews and oral briefings that are logically organized and effectively delivered
- Validating the remediation of issues
- Performing internal audit work, with a priority focus on the company’s Sarbanes-Oxley, SOC1/2, PCI, HIPAA, and HITRUST compliance efforts
How to write Internal Audit Associate Resume
Internal Audit Associate role is responsible for interpersonal, analytical, english, auditing, retail, finance, credit, securities, training, security.
To write great resume for internal audit associate job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Internal Audit Associate Resume
The section contact information is important in your internal audit associate resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Internal Audit Associate Resume
The section work experience is an essential part of your internal audit associate resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous internal audit associate responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular internal audit associate position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Internal Audit Associate resume experience can include:
- Perform continuous auditing projects, internal control reviews, as well as, operational, compliance and financial audits of 81 Alsco branches in the U.S. and Canada
- Strong analytical, data analysis, and problem-solving skills, including a strong attention to detail
- Demonstrate advanced writing skills and complete detailed audit reports
- Strong communication skills in English; proficiency in other language(s) is an advantage
- Effectively prepares clear and concise audit work papers
- Microsoft Excel, Word, Power Point and Outlook skills
Education on an Internal Audit Associate Resume
Make sure to make education a priority on your internal audit associate resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your internal audit associate experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Internal Audit Associate Resume
When listing skills on your internal audit associate resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical internal audit associate skills:
- Experience in analyzing evidence, reaching logical conclusions, issue identification, and developing strategic recommendations
- Identifies and analyzes internal control deficiencies in operating effectiveness, inadequate documentation/evidence and other irregularities
- Self-motivated audit professional that effectively analyses risk and proactively identifies issues
- Evaluating process design and operations to analyze the effectiveness and efficiency of these processes
- Exhibits a strong understanding of business risks, controls, testing methodologies as they relate to auditing of financial reporting and SOX controls
- Strong, comprehensive understanding of financial products (including Equities, Fixed Income, Derivatives etc.) as well as current regulatory developments
List of Typical Experience For an Internal Audit Associate Resume
1
Experience For Senior Internal Audit Associate Resume
- Solid understanding of internal control concepts and strong analytical skills
- Proven team management skills and ability to drive group consensus
- Strong written and oral communication skills in both Mandarin and English is essential
- Prior financial services experience is preferable, including understanding of financial instruments and asset management processes and risks
- Effectively communicates with other risk partners to build relationships and discuss relevant work that has been performed
2
Experience For Summer Intern, Internal Audit Associate Resume
- The ability to learn quickly with strong foundation in understanding and assessing processes and controls
- Knowledge of accounting principles and standards, proper financial and administrative control procedures and good business practices
- Experience in Investment Banking is essential
- Experience in internal or external audit, accounting, finance or related field
- Assist external auditors, in year-end audits of consolidated financial statements
- Recommend controls and other actions to improve the effectiveness and efficiency of operations
3
Experience For Internal Audit, Associate Director Resume
- Perform audit validation work to the control issues identified by the Regulators
- External/ internal audit experience or related field
- Evaluates the effectiveness of policies, procedures, systems, and internal controls to mitigate these risks
- Experience in an organization of appropriate scale and complexity
- Public/private audit experience required
- Related professional experience
- Skill in evaluating, analyzing, interpreting, reasoning and making conclusions based on the data
- Manage conflict and successfully build good relationships
4
Experience For Cib Internal Audit Associate Based Resume
- Keep a current US Passport (entry/exit from Canada) and a valid license to drive
- Demonstrated ability to interact management
- Several years’ IT Audit or IT Risk Management Experience
- Providing value add consulting services to the organization’s management
- Providing written commentary for the Group Board of Directors Audit Committee material
- Develop IT audit testing programs and testing key IT controls within SVB’s environment leveraging the SVB internal audit methodology
- Evaluate the reliability of financial reporting practices and the integrity of the underlying financial records
- Assisting with compliance, and information technology audit projects in a fast paced and growing organization
5
Experience For Senior Data Analytics Internal Audit Associate Resume
- Provides support in data entries and updating information in the audit and compliance databases and generating reports, as directed
- Evaluate and review data analytics to perform continuous auditing work from Salt Lake City
- Test the operation of existing controls
- Perform inquiries and testing as needed to identify and resolve vulnerabilities
- SOX Controls’ review and testing
- Support the local management / regulatory reporting and other local tasks
- Track record of risk assessment, problem identification, analytical problem solving, and issue resolution
6
Experience For Internal Audit, Associate Resume
- Knowledge of higher education systems, applications, and software including Banner, WorkDay, and GMS desired
- Basic knowledge of finance and accounting concepts and procedures
- Able to communicate audit issues verbally and in writing in a concise and coherent manner
- Conceptual thinking aptitude
- Document financial and other processes at Alsco Inc. to identify controls and weaknesses in line with the “Three Lines of Defense” model
- Create written reports and summaries
- Evaluate compliance with established Company policy and procedures, and applicable laws and regulations
- Execute a risk based audit approach and regulatory required plan for the location
- Prepare quarterly reports of Internal Audit to the Audit Committee
7
Experience For SOX Internal Audit Associate Resume
- Certified Internal Auditor designation or similar qualification
- Focus on material matters
- Adapt to the requirements of a young and success oriented team
- Accept and live the transparent, debate-culture and result-oriented culture
- Risk Management Audit – covers Market, Operational, Credit and Quantitative Risk as well as the Firm's Treasury function
- Asset Management Audit - covers the Firm's retail brokerage business, Private Banking activities, Merchant Banking, Real Estate Investing and Traditional Assessment Management businesses and associated operations processes
8
Experience For Cib-internal Audit Associate Based Resume
- Ensure that Management Action taken or required along with any target dates set are appropriate
- Preparation of Summary of Findings and lnternal Audit report
- Ensure that the audit assignment is completed within timeframes agreed with lnternal Audit Management
- Assists in performing analysis and reviewing documents in audit and internal investigation cases Provides support in data entries and updating information in the audit and compliance databases and generating reports, as directed
- Provides day-to-day administrative support for the department, such as meeting setup, event planning and logistics, as needed
- Documents or updates annual walk-throughs, narratives and/or flowcharts of business process documentation based on interviews with auditees for identified key internal controls
- Completes annual SOX testing within assigned deadlines
- Collaborates with process owners to document key controls and significant process changes
9
Experience For Internal Audit Associate Resume
- Maintains up to date knowledge of compliance guidelines, interpretations and standards
- Assists team members in various internal audit projects on an ad-hoc basis
- Participates in internal audits
- Prepare reports that reflect audit’s results and document process
- Obtain, analyze and evaluate documentation, previous reports, data, flowcharts etc
- Analytical, with attention to detail
10
Experience For Senior Internal Audit Associate Resume
- Travel approximately 20 - 25%
- Assists in assigned work for risk-based audits and advisory engagements (including research, evaluation and analysis, and testing) to aid in identifying issues related to risk, governance, processes, technology, controls, and operating practices for areas under review
- Attends team and client discussions throughout the engagement to assist the team with execution of audit methodology, including assessment of risk and testing effectiveness of controls
- Learns the Vanguard businesses and audit methodology and applies knowledge in team discussions related to audit scope, testing approach, and data analysis
- Contributes to high-quality internal workpapers and client facing deliverables such as process/control narratives, flowcharts, testing documentation, conclusions, recommendations and audit report findings to be shared with the audit team and clients
- Function in fast paced, ambiguous environment working with multiple and diverse responsibilities
- Assists with special projects and initiatives, as needed
List of Typical Skills For an Internal Audit Associate Resume
1
Skills For Senior Internal Audit Associate Resume
- Auditing experience in insurance, financial services industry or professional accounting firms with international exposure
- Data analytics experience using SQL, ACL Analytics, IDEA, Tableau, etc
- Internal Audit experience out of a Public Accounting and/or Private Industry
- Internal Audit experience in a Public Accounting and/or Private Industry
- Internal and/or External Audit experience for a Consulting or Financial Services firm
- Public accounting experience or industry equivalent
2
Skills For Summer Intern, Internal Audit Associate Resume
- Demonstrated ability to perform in a changing environment, flexibility
- Demonstrate ability to work independently, self-motivation, initiative and broad thinking
- Deep understanding of control concepts and processes with practical experience in Sarbanes-Oxley, Internal Audit, and Enterprise Risk Management
- SOX audit experience
- Analytical, with strong attention to detail
3
Skills For Internal Audit, Associate Director Resume
- Financial Services audit experience
- Audit or relevant business experience
- Previous experience with Internal Controls and CCAR
- Participating in audit walkthroughs, assessing the internal control environment and performing controls and substantive
- Communicating audit findings to the audit lead and assisting with finalisation of issues with key stakeholders in the
- Preparing process narratives and briefing memos
- Working knowledge of Business Processes, Financial Instruments, and Derivative Products
- Engaging with BlackRock stakeholders to understand and document key processes and risks
- Understanding of reinsurance business is an advantage
4
Skills For Cib Internal Audit Associate Based Resume
- Performing regulatory and industry-driven audit reviews
- Planning and execution of the audit assignment
- Ensuring the review is completed in accordance with department standards
- Provides support to internal audit team in planning, field work, reporting, and monitoring phases of scheduled audit activities
- Comprehensive understanding of internal auditing, GAAP, PCAOB standards, SEC regulations, SOX Compliance, COSO Framework
- Knowledge of current accounting (US GAAP, IFRS), auditing (GAAS) principals and internal control concepts (COSO, COBIT)
5
Skills For Senior Data Analytics Internal Audit Associate Resume
- Exposure working in dual shore model and reporting
- Institutional Securities Audit - covers the Firm's Sales and Trading business and associated operations processes, Investment Banking and Research
- Assists in the annual risk assessment activities, supporting the performance of quantitative and qualitative data gathering and analysis
- Assists in maintaining ongoing communication with external auditors
- Provides administrative support including scheduling audits, timelines and the department budgets
- Basic knowledge of concepts, practices, and procedures with Generally Accepted Accounting Principles (GAAP) and fiscal control theories and practices
- Communicate with all areas of the business including
- Participate in reliance programs to help the external auditors complete reviews timely while reducing overall costs to the Firm
6
Skills For Internal Audit, Associate Resume
- Conduct and document interviews with all levels of personnel throughout the organization including field locations and headquarters
- We have the backing of a Fortune 500 Company'Xerox'and have been in business for almost 25 years
- Interest in broad exposure to investment management, sales, trading, operations, risk
- In-depth understanding of the insurance industry and international regulatory developments
- Sufficient understanding of information technology
- Actively participate in initiatives aimed at improving Internal Audit’s processes and procedures
- Proficiency in Microsoft Office, including Excel, Word, and PowerPoint
- Corporate Audit – covers the Company Management functions, including Finance, Human Resources, Legal and Compliance
7
Skills For SOX Internal Audit Associate Resume
- Preparation of the Audit Planning Memorandum and Terms of Reference
- Preparation of working papers to support the work undertaken and opinions reached
- Responsible for the execution of the company’s SOX compliance program, including
- Performs process reviews and prescribed audit testing procedures and communicates observations and recommendations under the supervision of audit team lead
- Participates in meeting and interviews with internal stakeholders and process owners under the assigned internal audit and compliance reviews
- Keep up to date with IT developments, legislation and regulatory requirements
8
Skills For Cib-internal Audit Associate Based Resume
- Audit complex systems to ensure that the data within the system is correct and sufficiently protected
- Works on assignments that are with limited scope under supervision
- Gathers, organizes, and analyzes financial information and other data
- Reviews and documents compliance with laws and regulations
- Researches, investigates and analyzes data
- Prepares written findings; presents recommendations supported by facts
- Elevates identified issues of significance through proper channel within the organization
- Errors in judgment or failure to achieve results timely would impact work schedule and deliverables
9
Skills For Internal Audit Associate Resume
- Experience with key Asset Management Business Processes, including Portfolio Management, Trading, Settlement, Valuation, and other Middle and Back Office Operations
- An understanding of associated Risks and Controls in the Investment Banking and Broker Dealer industries, including Front, Middle, and Back-Office Capital Markets activities
- Conducts assessments and evaluations through analysis and interpretation of objective and subjective to evidence to verify compliance to standards and applicable quality plans. Determines level of process and product quality. Report findings; escalates unresolved issues to appropriate level
- Evaluates work products to assess quality and report findings. Researches alternative solutions to problems, determines proper approaches and makes verbal and/or written recommendations to appropriate parties
- Coordinating the resolution of accounting and auditing issues with the client
10
Skills For Senior Internal Audit Associate Resume
- The Associate is responsible for supporting the planning and execution of our projects. This includes
- Works within a team of auditors/accountants and accounting technicians to conduct day-to day testing procedures
- Preparing clear and concise workpapers and deliverables such as Summary Memos, Testing Matrices, and other statements of facts noted during the audit that are well written and timely
- Interacting with clients and team members and reporting to project seniors and managers
- Ensuring that the compliance reviews, related system reviews, and internal control assessments are performed with technical proficiency, in a timely manner and in accordance with applicable professional standards
- Assisting the project manager in reviewing the accuracy of weekly status reporting to the client
- Preparing reports to ensure findings and recommendations are objective, factual and in conformation with overall report-writing procedures and best practices
- Assists in the annual risk assessment and quarterly enterprise risk management activities, supporting in the quantitative and qualitative data gathering and analysis
List of Typical Responsibilities For an Internal Audit Associate Resume
1
Responsibilities For Senior Internal Audit Associate Resume
- Demonstrates a strong understanding of the Higher Education industry and proactively monitors and communicates industry trends and risks
- Develops practical and effective solutions to improve processes, systems, and the control environment
- Tests transactions (utilizing automated and/or traditional auditing methods) and analyzes results to identify the themes and underlying root causes
- Performs activities that include interviews, inspection, and testing to determine the implementation status of agreed-upon action items
- Work on client engagements and consistently deliver quality services on a timely basis
- Develop and maintain long-term relationships with clients, networks, and team members across EXL practices to serve client needs
2
Responsibilities For Summer Intern, Internal Audit Associate Resume
- Assistance in the business engagement and risk assessment of selected business, risk and operational units
- Identifies and assesses financial, operational, compliance, and strategic risks, and their components
- Understands current manual and automated operating processes and related internal controls operating centrally and at the unit level through research, interviews, observation, and testing
- Prepares formal written reports that provide proper perspective and summarizes observations that effectively communicate issues, control deficiencies, and additional opportunities to improve and mature processes and controls
- Monitors project status and issues on a timely basis and reports progress and issues to project lead or Chief Audit Executive timely and regularly
- Works in a team and independently, and interacts appropriately with all levels of personnel, building working relationships, and establishing a network of internal and external contacts
- Excellent written/verbal communication skills with the ability to regularly present to groups
- One to five years of External or Internal Audit experience
- Experience with Microsoft Office and audit tools (for example, ACL)
3
Responsibilities For Internal Audit, Associate Director Resume
- Availability and willingness to work as needed outside of usual business hours of Georgetown University and to travel between Georgetown campuses
- Coordinates specific audit activities with external auditors, consultants, regulatory authorities, various departments (Legal, Security, R&D, etc.) and others as necessary
- Experience with testing IT General Controls and performing substantive procedures in complex and/or specialized areas of system technology
- Knowledge of IT process and exposure to security frameworks and systems hosted in cloud environments
- Preparation of annual risk assessments
- Preparation of annual audit plan
- Adhere to the policies and procedures of the Group Internal Audit Procedures Manual and also make use of automated workpapers and the internal Audit Management System
4
Responsibilities For Cib Internal Audit Associate Based Resume
- Work in cooperation with other team members and Audit Management
- Work globally and across teams
- Flexible travel requirements; 15-20%
- Perform work on multiple projects at the same time
- Proficient MS Office tools (Word, Excel, Access)
- Professional Certification such as CPA / MBA - Finance / CFA / Other similar professional certifications
- Pro-active, high energy and strong interpersonal skills with a team-focused attitude, demonstrating the ability to collaborate and compromise while building effective relationships
5
Responsibilities For Senior Data Analytics Internal Audit Associate Resume
- Professionally and competently represent the internal audit department when interacting with all levels of company staff
- Demonstrated written and verbal communication skills for the purpose of writing audit findings and recommendations, identifying risks and performing internal control assessments
- Understand and communicate highly complex issues to different audiences supported by a strong understanding Ability to navigate through ambiguity and accepting ownership and accountability of the process and deliver on commitments
- Our Perks: Along with health & financial benefits, our athenistas are offered a variety of perks that promote employee wellbeing such as commuter support (We were named one of the 2018 Best Workplaces for Commuters!), collaborative workspaces and dog-friendly offices - just to name a few
- Use computer applications to review/test large volumes of data to perform continuous audit work
- Demonstrate thoroughness, creativity, foresight, and use of sound business judgment in the application of accounting principles, corporate policies and business practices
- Experience with SAP is beneficial
6
Responsibilities For Internal Audit, Associate Resume
- Employs highly competent, well-credentialed personnel applying audit best practice standards; whose priorities are deeply aligned with the interests of the firm’s clients and unit holders
- Up to 3 years audit experience on the buy-side of the global financial services industry
- Customer/client service background with high standards in business ethics
- The ability to travel internationally (5%) to attend NY Group Internal Audit Meetings and to participate in audits in the Asia Pacific Region
- Supports production of quarterly compliance newsletter and other outreach publications/materials by coordinating with staff and assisting in performing content research, drafting articles, proof-reading, and liaising with designer and printer
7
Responsibilities For SOX Internal Audit Associate Resume
- Maintains and organizes the department’s Intranet site, electronic document library, and tracking tools by accurately categorizing information and documents, filing, and updating contents
- Travel to domestic and foreign locations
- Organized and collaborative
- Mentor Staff Auditors
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