Principal Auditor Resume Sample
Moses Rolfson
6618 Vincenza Rapids,
Los Angeles,
CA
+1 (555) 957 1455
Work Experience
Principal Auditor
10/2017
-
PRESENT
Philadelphia, PA
- Knowledge of the Company’s business operations or external manufacturing experience preferable the Consumer Packaged Goods industry (CPG)
- Maintain objectivity and independence at all times
- Solid communication and listening skills and the ability to identify gaps in logic
- Drive Innovation:Generate new or unique solutions and embrace new ideas that help sustain our business (encompassing everything from continuous improvement to new product and package innovation)
- Collaborate with System, Customers and Other Stakeholder:Develop and leverage relationships with stakeholders to appropriately stretch and impact the System (Company and Bottler)
- Act Like and Owner:Deliver results, creating value for our brands, our System, our customers and key stakeholders
- Inspires Others:Inspire people to deliver our mission and 2020 Vision, demonstrate passion for the business and give people a reason to believe anything is possible
IT Risk Management Principal Auditor
04/2015
-
05/2017
Boston, MA
- Develop Self and Others:Develop self and support others’ development to achieve full potential
- Certification in the field of Information Security, IT Risk Management or IT Audit (e.g., CISA, CISSP, CISM)
- Demonstrated knowledge and understanding of COBIT and other IT Controls best practice frameworks
- Demonstrated knowledge and understanding of BS7799/ISO17799 and other Information Security Management best practices frameworks
- Knowledge and understanding of Enterprise Risk Assessment methodology (COSO) and various IT risk assessment methodologies (e.g., FRAP, DRAM, OCTAVE)
- Demonstrated knowledge and understanding of regulatory and audit requirements that relate to IT controls (e.g., HIPAA, SSAE No. 18, NAIC Model Audit Rule, Department of Commerce, Financial Statement Audit, etc.)
- Demonstrated skills in articulating IT risk management principles and strategy to various levels (staff, management and executive) of the company
- Demonstrated knowledge and understanding of an IS operation that includes multi-platform technologies, application development, related infrastructures and support processes
- Demonstrated ability to understand IT strategy and translate that strategy into an actionable IT risk management plan
Dbmn-principal Auditor
03/2011
-
12/2014
Detroit, MI
- Demonstrated strong leadership skills with the related ability to create team building, and generate ideas, support and commitment from others
- Demonstrated strong human relation skills to effectively interact with executives, employees, other members of the department, internal and external customers, vendors and consultants
- Demonstrated strong oral and written communication skills with the ability to make senior management-level presentation
- Demonstrated strong project management skills and proficiency with necessary tools (e.g., SharePoint, Microsoft Office 365, Visio)
- Certification in the field of Information Security, IT Risk Management or IT Audit (e.g., CISM, CISSP, CISA)
- Demonstrated knowledge and understanding of regulatory and audit requirements that relate to IT controls (e.g., HIPAA, SOX, SAS70, Department of Commerce)
- Demonstrated strong human relation skills to effectively interact with peers, subordinates, internal and external customers, vendors and consultants
- Demonstrated strong project management skills and proficiency with necessary tools (e.g., Microsoft Project, VISIO
- CPA, CIA, CFE or CMA (or equivalent) certification
Education
Argosy University - Nashville Campus
2005 - 2010
Bachelor's Degree in Business
Professional Skills
- Demonstrated experience using strong analytical, problem solving and decision-making skills
- Excellent verbal and written communication, planning, organization, problem-solving, critical thinking, analytical and customer service skills
- Excellent partnering skills and stakeholder engagement
- Flexible, pro-active, self-sufficient, and innovative, with strong organizational and multi-tasking skills
- Strong work ethic and attention to details, including thorough audit documentation skills
- Demonstrated success establishing and maintaining strong working relationships with all levels of associates,
- Prior Big 4 audit experience within the following industries: commercial business/manufacturing, utilities, or independent power producers
How to write Principal Auditor Resume
Principal Auditor role is responsible for audit, organizational, analytical, innovative, travel, budget, leadership, strategy, microsoft, ownership.
To write great resume for principal auditor job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Principal Auditor Resume
The section contact information is important in your principal auditor 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 Principal Auditor Resume
The section work experience is an essential part of your principal auditor 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 principal auditor responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular principal auditor position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Principal Auditor resume experience can include:
- Oversee major components of business units and lead small to medium size audits. Perform risk assessments of business activities, potential exposures and the materiality of loss. Design and perform appropriate audit procedures to verify the effectiveness
- Excellent project management and planning skills (particularly at VP level)
- Preparing commercially effective audit conclusions and findings, and presenting to GA senior management and business clients
- Accounting, auditing, financial management, budget/fiscal operations, ERP implementation or related experience
- Strong understanding of banking and capital markets products, as well as key banking regulations
- Previous experience with: Anti Money Laundering; Regulatory Reporting; and, Risk Reporting / Analysis
Education on a Principal Auditor Resume
Make sure to make education a priority on your principal auditor resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your principal auditor 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 Principal Auditor Resume
When listing skills on your principal auditor 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 principal auditor skills:
- Experience identifying risks associated with a specific deficiency and determining cost effective recommendations
- Experience in banking or 2+ year experience in financial services industry
- Synthesize data and observations into findings and effectively communicate conclusions in writing and orally
- To communicate effectively at all levels within Group Audit
- Strong expertise in Basel 3 and CCAR regulations as well as experience on Risk Management within the second or third line of defense
- Strong understanding of banking and capital markets products, key banking regulations, regulatory reports, FRY-9C or FFIEC 101
List of Typical Experience For a Principal Auditor Resume
1
Experience For IT Risk Management Principal Auditor Resume
- Strong audit or business line experience, with key focus on treasury activities such as liquidity risk management, funds transfer pricing, asset and liability management
- Delivering ‘one voice’ to the client in all communications and correspondence
- Leverage audit system and available data and analytical tools during execution of activities
- Design and execute internal control testing for operations of moderate complexity
- Preparation and delivery of Internal Audit programs relating to IHC
2
Experience For Group Audit Principal Auditor Resume
- Independent in judgment with the ability to challenge and be challenged whilst maintaining the highest levels of professionalism
- Develop a thorough understanding of the Company’s affiliates and their operations
- Ensure audit assignments are being completed within established time frames
- Adapt in a high growth, rapidly evolving industry
- Supervise audit staff in performing audits of the general business and information technology functions
- Travel 15-25 percent; including international
- Assist in the development of junior staff members, acting as a mentor and coach
3
Experience For Principal Auditor Deutsche Asset Management Resume
- High aptitude with respect to topical issues in capital and liquidity regulation, such as Basel III
- Responsible for executing audits to the highest industry standards within a global risk-based audit plan covering Enterprise Risk, using GA’s Methodology and Process System audit methodology
- An understanding of banking and holistic risk management practices and techniques, including working knowledge of at least one specific risk management area (e.g. Credit / Operational / Market / Liquidity) or relevant comparable discipline (e.g. Finance / Treasury, Compliance)
- An awareness of risk assessment (financial, non-financial and quantitative), the function of capital within asset and liability management, Basel accords and emerging BCBS / European Central Bank requirements, stress testing, resolution / recovery
- A knowledge of the function and role of key regulatory bodies influencing or governing the Deutsche activities
- A relevant risk / finance / audit professional qualification such as Financial Risk Management (FRM), Diploma in Treasury (AMCT), Association of Chartered Certified Accountants (ACCA), Certified Internal Auditor (CIA), Chartered Financial Analyst (CFA) is desirable
- Develop and maintain broad regulatory knowledge & experience. Stay abreast of business/industry changes and their affect on the department’s audit plan, methodology and risk assessments
- Develops and maintains broad financial services experience and Bank knowledge. Keeps abreast of business/industry changes and their affect on the DB plan/approach
4
Experience For Dbmn-principal Auditor Resume
- Experience in a wide range of business activity and exposure to product lines including Capital Markets, Structured Finance, Fixed Income, Equities Credit and Market Risk
- Knowledge and experience of financial services particularly Corporate Finance products including Mergers & Acquisitions (M&A), Equity Capital Markets (ECM) and Debt Capital Markets (DCM) coupled with familiarisation of working within the operational requirements and regulatory environment of a global bank
- Obtain an understanding of business processes and leverage an understanding of risk and control concepts to develop risk assessments, audit programs and testing procedures that appropriately address identified risks and project objectives
- Able to successfully navigate a complex and multi-national organisation
- Provide oversight/support for major components of an activity within professional practices operations; lead small to medium size internal activities for Practices and Innovation, such as processes related to audit issues
- Oversee major components of business units and lead small to medium size audits
- Perform risk assessments of business activities, potential exposures and the materiality of loss
- Acting as GA’s Relationship Manager and primary point of contact, maintaining excellent and responsive working relationships with Management, the wider GA team, Regulators and external Auditors
5
Experience For Principal Auditor, Embargoes & Sanctions Resume
- Able to challenge and be challenged whilst maintaining the highest levels of professionalism
- Interpreting stakeholder feedback on key business developments and risks and understanding the clients’ marketplace in order to address their needs and expectations
- Experience of auditing IT applications supporting trading and the trade processing lifecycle. Relevant instruments could include; interest rate products, credit products, commodities, futures and foreign exchange products, or equities
- Understanding the client’s marketplace and expectations and continuing to develop technical expertise relevant to the industry
- Assist Director in preparation to liaise with external regulators to provide assurance of DB’s audit coverage relating to OFAC/Sanctions
- Identify and evaluate risks within the control environment
- Sound judgment on the impact of issues raised
6
Experience For Ofac / Sanctions Principal Auditor Resume
- Supporting the Operational Risk Management (ORM) Principal Audit Manager in providing subject matter expertise to identify and assess operational risks throughout the Bank
- Co-ordinating with the Business aligned teams, and regional Risk & Financial reporting Privat Anlage Management (PAM), in order to drive a comprehensive coverage of key risks in the audit plan
- Develop and maintain broad regulatory knowledge & experience regarding AM and WM products. Stay abreast of business/industry changes and their effect on the department’s audit plan, methodology and risk assessments
- Partners with other audit teams such as Credit, Finance and Group Technology & Operations during audit engagements to ensure comprehensive coverage and an integrated approach to front to back audits and associated support functions
- Excellent written/verbal communication skills in Dutch and English and be able to communicate effectively at all levels
7
Experience For Principal Auditor Embargoes & Sanctions Resume
- Accustomed to operating in a highly regulated environment, and have a good understanding of the regulatory framework in which DB operates
- Strong understanding of front to back end processes (e.g. Front Office, Back Office, Controlling)
- Experience in a financial institution or a professional practice environment with a key focus on risk and control
- Interpreting stakeholder feedback on key business developments and risks, understanding the clients’ marketplace in order to address their needs and expectations whilst delivering ‘one voice’ in all communications and correspondence
- Strong analytical skills and ability to identify and evaluate risks within the control environment
- Understand the client’s marketplace and respond to expectations; continue to develop technical expertise relevant to the industry
- Innovative mindset and develop ideas, which are implemented and have a positive impact; design and disseminate best practice and lessons learned to colleagues and clients
- Effectively challenge appropriateness of COO/ Operations audit coverage undertaken by other Group Audit teams and provide feedback to management
8
Experience For Auditor / Principal Auditor Resume
- Flexible, pro-active, self-sufficient and innovative individual with strong organizational and multi-tasking skills to take ownership and responsibility of agreed targets and meet them within budget to enable a timely and efficient completion of audit projects
- Strong written / verbal communication skills and the ability to communicate effectively at all levels within Group Audit and with the client
- Able to multi-task assignments and prioritize workload with limited supervision and be resilient under pressure and able to deliver to deadlines. Plan, lead and execute program of audit coverage with limited supervision
- Effectively challenge appropriateness of operations audit coverage undertaken by other Group Audit teams and provide feedback to management
- Strong influencer and networker
- Developing and maintaining broad regulatory knowledge and experience. Staying abreast of business and industry changes and their effect on the department’s audit plan, methodology and risk assessments
- Assisting the Director with preparations to liaise with external regulators to provide assurance of Deutsche Bank’s audit coverage relating to Embargoes and Sanctions
- Taking responsibility for developing GA’s audit approach for specific business(es), maintaining key stakeholder relationships and building knowledge to enable a high quality risk assessment of the given areas
9
Experience For Asset & Wealth Management Principal Auditor Resume
- Developing and maintaining broad regulatory experience. Keeping current on business / industry changes and their effect on the audit plan and approach and risk assessments
- Sound audit and business knowledge and experience with an understanding of the risks and regulatory requirements in one or more of an Investment Bank’s business / functional areas
- Sound audit/business knowledge and experience, with an understanding of the risks and regulatory requirements in one or more of the Bank’s business/functional areas
- Global SME team interaction: Contribute to the development of a high-performing global Risk SME team through delivery on own objectives aligned with team delivery objectives and strong communication with, and contribution to the aligned global SME team
- Stakeholder relationship management: Acting as GA’s relationship manager and primary point of contact for regional ERM stakeholders, maintaining excellent and value-add working relationships with management, regulators and external auditors
10
Experience For CIB IT Principal Auditor Resume
- Minimal 7 years of experience in the investment-banking arena, in either a financial institution or a professional practice environment, with a key focus on risk management
- Excellent partnership skills and stakeholder management. The ability to navigate successfully a complex organisation, build strong relationships and work collaboratively with management teams and with other control functions
- Excellent analytical and communication skills, oral and written, together with presentation and interactive skills. Ability to convey complex concepts and ideas on issues requiring interpretation and opinion. Able to represent GA’s viewpoint in regional forums and settings
- Excellent communication, organization and time management skills with appropriate attention to detail
- Communicate identified control deficiencies to management timely and effectively
- Maintain effective relationships with internal and external contacts
List of Typical Skills For a Principal Auditor Resume
1
Skills For IT Risk Management Principal Auditor Resume
- Good written/verbal communication skills and be able to communicate effectively at all levels within Group Audit and with the client
- Experience evaluating the adequacy and effectiveness of financial and administrative controls, and the effectiveness and efficiency of operations
- Effectively multitask in a fast paced environment; prioritise their workload with minimal supervision and be resilient under pressure
- Strong, effective communicator (verbally and in writing) with management, and external parties
- Have gained a min. of 8+ years PQ experience in Audit / Risk or Assurance positions, with Australian work experience essential
- Extensive experience within financial services in an Internal Audit role covering OFAC/Sanctions or relevant first/second line OFAC/Sanctions experience
- Strong experience within financial services in an Internal Audit role covering Anti-Financial Crime topics (e.g., AML, anti-bribery and corruption, fraud)
2
Skills For Group Audit Principal Auditor Resume
- Work effectively alone or as part of a team on projects
- Review audit evidence and demonstrate the ability to draw appropriate conclusions regarding the state of the client’s control environment
- Experience in consumer compliance, or at least 3 years of experience in regulatory examinations, or a combination of both
- Banking experience, either in a financial institution or a professional practice environment
- Previous experience of trading, risk managing and/or auditing credit products
- Experience developing engagement level risk assessments including identifying potential fraud risks
3
Skills For Principal Auditor Deutsche Asset Management Resume
- Experience applying theories and principles of auditing and accounting
- Effective in operating in a diverse team, appraising and developing your own and Team Member’s abilities and potential
- 6+ Credit Risk Audit experience in a Public Accounting and/or Private Industry setting
- Solid understanding of Risk Management frameworks for the Regulatory / Operational Risks in a global Banking Control environment
- Strong understanding of Regulatory / Operational Risk issues in a global Banking control environment
- Experience in internal or external auditing, accounting, financial analysis, information systems, compliance or other related field
4
Skills For Dbmn-principal Auditor Resume
- Demonstrated success interacting with and influencing various stakeholders within a large organization
- Experience interpreting results of individual audits and presenting an overall opinion on the adequacy of the management of information resources
- Experience solving problems by applying professional knowledge or expertise from more than one discipline
- Experience in leading audits and/or performing in the role of auditor-in-charge on small to moderate audits or projects
- Previous experience in Banking or financial services industry
- Experience in banking or financial services industry
5
Skills For Principal Auditor, Embargoes & Sanctions Resume
- Audit experience in public accounting required
- Two or more year(s) of experience leading audits or significant portions of audits at the “in-charge” or “senior” level
- Establish and maintain good client relations during engagements
- Experience of working in either Audit or Compliance
- Internal or External Audit experience with a major Bank, Broker/Dealer, Asset Manager or other financial services firm
- Extensive experience in managing the delivery of diverse audits to agreed program timelines and quality standards
- Manage and prioritize multiple tasks and meet deadlines
- Ten years of audit experience (combined internal and external audit)
6
Skills For Ofac / Sanctions Principal Auditor Resume
- Experience with Energy Procurement activities
- Experience in both Financial and Operational audits
- One or more year(s) of experience leading audits or significant portions of audits at the “in-charge” or “senior” level
- At least two years of data retrieval and analysis experience in support of an audit function
- Experience performing operational, financial and compliance audits
- Maintain flexible attitude and approach towards assignments and successfully operate under ambiguous guidelines
- Audit experience within a relevant Risk or Finance discipline
- Experience within financial services in an AFC Internal Audit role
- Experience in auditing
7
Skills For Principal Auditor Embargoes & Sanctions Resume
- Audit (8-10 years VP), business, risk mgmt, control function experience in a global investment bank
- Establish and maintain good client relations within and outside the department
- Design and perform appropriate audit procedures to verify the effectiveness
- The ability to multi-task assignments and prioritize workload, deliver to deadlines with limited supervision and be resilient under pressure
- Audit (5-7 years AVP), business, risk mgmt, control function experience in a global investment bank
- Executing a global risk-based audit plan covering Market Risk, using GA’s Methodology and Process System audit methodology
- Participating in department-wide initiatives aimed at continually improving GA’s processes and supporting Infrastructure
- Understanding of Banking, Brokerage Risk and Control environment
- Leading/supervising a team of audit professionals that includes all aspects of an audit engagement and protocols
8
Skills For Auditor / Principal Auditor Resume
- Understanding the client’s marketplace and responding to expectations
- Understanding of front to back activities and controls within the Sales and Trading environment
- Understanding of the front to back processes
- Acting as GA’s relationship manager and primary point of contact for areas of responsibility as agreed with Market Risk PAM
- Participating in audits abroad, which can require international travelling
- When required assisting in training other group audit staff on AFC and overseeing execution of the AFC audit program
- Responsible for planning, leading, and executing financial, operational and compliance/ governance audit projects (primarily SOX)
9
Skills For Asset & Wealth Management Principal Auditor Resume
- Lead the timely delivery of credit trading audit assignments from audit planning through fieldwork to reporting
- Structured analyst, capable to adopt and use data-driven auditing including data analytics to assess risks, scope audits and test controls
- Audit clients include managers at all levels of the organization, depending on the audit being performed
- Has achieved or working towards a relevant certification/ industry accreditation, e.g. CPA, CFA, CIA, FINRA series
- Places the customer at the centre of all decision making
- Certified or working toward a professional certification such as a CIA, CPA, CRCM or CISA
10
Skills For CIB IT Principal Auditor Resume
- Available and willing to travel to such locations and with such frequency as determined necessary to meet business needs
- Begin communicating the results of some audit projects to management via written reports and oral presentations
- Good understanding of Institutional / Retail Asset Management, Private Banking, including Offshore Banking, Real Estate Asset Management, Hedge Funds and Private Equity
- Audit or relevant Business Line / Risk Management experience
- Possesses a deep understanding of the organization’s primary systems and reporting mechanisms, troubleshooting when necessary and suggesting areas for improvement
- Provides expertise regarding company system use and application, challenging viewpoints when proper systems aren’t being utilized
- Experience in financial services and Investment Banking products, particularly flow and structured credit trading products, coupled with familiarization of working within the operational requirements and regulatory environment of a global Bank
- Thorough understanding of global banking control environment and compliance issues in the banking/finance industry in particular conduct and Front Office control topics
- Strong strategic/analytical thinking abilities
List of Typical Responsibilities For a Principal Auditor Resume
1
Responsibilities For IT Risk Management Principal Auditor Resume
- Experience in a professional or internal audit role within the financial services / banking industry or a related control function
- In internal audit or equivalent experience
- Evaluate the effectiveness of controls in new systems and other business procedures
- Demonstrated ability to coordinate audits/projects
- Monitor the remediation status of reported issues and perform independent validation of issue closure
- Support the development of an environment where people management and development is a top priority
- Developing and maintaining an in-depth understanding of business areas, its products, and supporting functions
2
Responsibilities For Group Audit Principal Auditor Resume
- Advising the Internal Audit Department on all relevant matters pertaining to data retrieval and business intelligence and recommending appropriate actions
- Providing data analysis expertise for the department, supporting operational and investment audits as well as the timely assurance program
- Advising the Internal Audit Department on all relevant matters pertaining to data analysis and business intelligence and recommends appropriate actions
- Interfacing with the Office of the Auditor of Public Accounts regarding business intelligence and data retrieval activities
- Consulting within the agency with respect to VRS’s data retrieval, analysis and business intelligence activities
- Review exceptions in continuous transaction monitoring tools to help assure compliance with the Foreign Corrupt Practices Act
- Remain current on new audit techniques and work with the Manager - Auditing and other staff members to implement if appropriate
3
Responsibilities For Principal Auditor Deutsche Asset Management Resume
- Interfacings with the Office of the Auditor of Public Accounts regarding business intelligence and data analysis activities
- Manage audit staff and participate in the performance of integrated operational, compliance, financial and SOX audits
- Develop and/or review audit risk assessments
- Perform independent appraisal of policies and procedures
- Ensure audit projects are documented in accordance with departmental standards
- Draft or review audit reports and conduct exit conferences with management to discuss findings and management’s response
- Complete audits assigned per the annual audit schedule within +/- 10% of budgeted hours
- Prepare audit reports that are well written, contain pertinent issues, meaningful recommendations and resolutions that reflect a balance between effective controls and efficient operations
- All reports are distributed to various members of senior management. Unsatisfactory reports are issued to and reviewed with the Audit Committee of the Board of Directors and the Management Committee
4
Responsibilities For Dbmn-principal Auditor Resume
- Determine the adequacy and effectiveness of the organizations system of internal control and the quality of performance to ensure compliance to policies, plans, procedures, laws and regulations which could have a major impact on operations and the company’s overall financial results
- Work with people and gain their cooperation as well as work independently
- Arrive at logical and unbiased, fact-based conclusions and relevant recommendations
- Performance audits: Review organization and/or functional activities, programs, or units with the ability to address multiple issues involving a wide range of subject matter. Analyze and synthesize a broad array of quantitative and qualitative information about an organization's
- Support the PAM - Credit Trading (NY) in developing the team and building out its technical expertise, particularly of more complex credit-related product offerings
- Risk assess the full extent of the Division's Credit Trading activities and those of related control and support functions
- Develop a comprehensive audit plan that achieves robust audit coverage of the Credit Trading business's end-to-end control environment
5
Responsibilities For Principal Auditor, Embargoes & Sanctions Resume
- Perform audits in line with the agreed audit approach to include documenting activity/process flows, identifying key risks and testing the design and operating effectiveness of key controls in accordance with Group Audit's standards
- Draft audit issues including root cause and risk statements for review by Group Audit management
- An appetite for continuing to develop of technical expertise
- Execute day-to-day audit work in accordance with our Group Audit Methodology and Group Audit's Quality Standards
- Complete all assigned audit work, ad hoc projects and special investigations in line with agreed budgets
6
Responsibilities For Ofac / Sanctions Principal Auditor Resume
- Support Group Audit's continuous audit assessment (CAA) process between risk-based audits to identify changes in the Credit Trading business's risk and control profile
- Proactively develop and maintain professional working relationships with colleagues, the business and control and support functions
- Provide input to risk assessments across CIB
- Partner across CIB and other audit teams globally to ensure comprehensive audit coverage and an integrated approach to key risk topics
- Communicate openly with Group Audit management and internal stakeholders; keep them informed of potential issues and escalate problems/delays accordingly
7
Responsibilities For Principal Auditor Embargoes & Sanctions Resume
- Deliver and sustain own performance against key objectives in the context of functional strategies
- Knowledge and at least 8 years of experience of financial services and Investment Banking products, particularly flow and structured credit trading products, coupled with familiarization of working within the operational requirements and regulatory environment of a global Bank
- A thorough understanding of global banking control environment and compliance issues in the banking/finance industry in particular conduct and Front Office control topics
- Previous experience of trading, risk managing and/or auditing credit products (among them bonds, loans, credit default swaps, credit indices - iTraxx and CDX, collateralized debt obligations (CDOs), collateralized loan obligation (CLOs), collateralized mortgage obligations (CMOs), and synthetic securitizations) would be an advantage
- Complete audits based on risk assessment, data analysis, and multidisciplinary reviews (compliance, financial, operations, information system, and investigative reviews)
- Use specialized internal auditing knowledge in completing financial control assessments, determining compliance with accounting standards, as well as University policies and procedures, laws and regulations, etc
- Identify institutional risks, controls that mitigate risks, and provide an assessment to demonstrate the effectiveness of those controls
- Analyze evidential data as a basis for an informed, objective opinion
8
Responsibilities For Auditor / Principal Auditor Resume
- Independently conduct audit fieldwork
- Managing the complete audit lifecycle for assigned areas of review (engagement planning, fieldwork, and reporting) in accordance with the professional practices framework issued by the Institute of Internal Auditors
- Communicating and interacting with the VRS Audit and Compliance Committee where directed and, as needed, and other outside parties (APPFA, APA, JLARC, BNY Mellon, etc.) to obtain information and/or respond to their requests
- Review Approval markings, critical drawings, documentation control, quality procedures and inspection, equipment calibration and product validation
- Providing data retrieval expertise for the department, supporting operational and investment audits as well as the timely assurance program
- Attending other Board of Trustee and committee meetings, as assigned
- Managing the complete audit lifecycle for assigned areas of review (engagement planning, fieldwork, and reporting) in accordance with the International Professional Practices Framework issued by the Institute of Internal Auditors
- Communicating and interacting with the VRS Audit and Compliance Committee where directed and, as needed, other outside parties to obtain information and/or respond to their requests
9
Responsibilities For Asset & Wealth Management Principal Auditor Resume
- Assist in staff development, training and oversight of Auditors and Senior Auditors
- Ensure the integrity of FM Approved products through performing surveillance audits throughout the FM Approvals customer base
- Manage, cultivate and maintain partnerships with a variety of FM Approved product manufacturers
- Independently examine the procedures, processes, systems and records for conformity requirements
- Effectively perform audits and capably evaluate audit/test results, weighing the relevancy, accuracy and perspective of conclusions against the accumulated audit/test evidence
- Attention to detail and organizational skills are key
10
Responsibilities For CIB IT Principal Auditor Resume
- Significant travel required. Approximately 60% - 80%
- Knowledge of Compliance, Regulatory Risk and / or Conduct Risk management functions within a financial / banking institution or other organisation operating in the financial services / banking industry including: Government & Regulatory Affairs, Corporate Governance, Operational Risk Management and Regulatory Reporting
- Experience in auditing, at least 3 years of experience in accounting, at least 3 years of experience in financial analysis, at least 3 years of risk management, at least 3 years of experience in compliance, or a combination
- Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) or Certified Regulatory Compliance Manager (CRCM) or Certified Information Systems Auditor (CISA) or Certified Bank Auditor (CBA)
- Five years of relevant audit experience or working in a compliance environment Excellent communication, presentation, interpersonal skills, both written and spoken, with an ability to inform, influence, convince, and persuade Ability to travel as necessary (approximately 30%)
- Five years' of progressive experience in data analysis, including experience in analysis and presentation of data and working with a variety of data files and information systems
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Professional Skills
• Knowledge of one or more IS/IT areas: gove...
• Demonstrates a good understanding of Gener...
• Experience with auditing, specifically in ...
Auditor Internal Audit Resume Sample
Work Experience
• Networking opportunities, direct contacts with the bank’s senior management and a platform for career progression
• Experience in audit or in the financial industry with business expertise in a specific area (e.g., Anti-Money Laundering, Private Banking, Risk Management, Corporate Finance including...
Professional Skills
• Demonstrate strong professional judgment, ...
• Excellent written and verbal skills with d...
• Strong judgement and decision making skills,