Senior Internal Auditor Resume Samples

Description :

1. Participate, actively, in the preparation of the annual and long term audit plans.
2. Participate in identifying those activities subject to audit coverage, evaluating their significance and assessing the degree of risk involved in the activity in terms of cost, schedule and quality.
3. Conduct Financial and Operational Audits based on the annual plan in a highly professional manner and in accordance with the Internal Auditing Standards.
4. Identify measures and prioritize the risk in the audit process to address the auditable areas of greatest significance and determines the scope of the audit.
5. Analyze and assist to evaluate the security over information systems to determine if it is adequate and effective in controlling data and assets, conduct Audits following the applicable standards relative to Information Systems Audit.
6. Prepare formal written reports and action plans on the adequacy and effectiveness of the system of controls and the efficiency with which activities are carried out.
7. Conduct follow up of the agreed action plan with the concerned Departments to ensure adequacy and timeliness of remedial action.
8. Participate in on-the-job training for staff, coordinate the training programs for the Departmental staff.

Experience

7-10 Years

Level

Management

Education

MBA

Description :

1. Conducted process walk-through meetings and data gathering activities to ensure a sound understanding of business processes and potential measurements to aid in the identification of testing approaches and key risk areas.
2. Documented key business processes in partnership with process owners and subject matter experts.
3. Verified control design and test approaches to ensure appropriateness and risks are identified Prepared clear, concise, and consistent documentation to adequately support all controls, testing, conclusions, and findings.
4. Communicated audit results to multiple management levels (from business unit to Enterprise-level) in a clear and concise manner, including any issues and recommendations for corrective action or improvement where applicable.
5. Prepared testing summaries and reports for presentation to management, including scope, approach, findings, conclusions, and recommendations.
6. Completed audit fieldwork effectively and efficiently to meet budget and scope requirements.
7. Planned and executed the requirements of external auditors when they are performing their testing and/or review.
8. Identified and shared controls, documentation, and testing best practices among business entities.

Experience

2-5 Years

Level

Executive

Education

B.S In Accounting

Description :

1. Coordinate with SOX Process and Control owners and external auditors to ensure all SOX documentation; narratives, risk control matrices and process diagrams are accurate and current.
2. Assist external auditors with SOX coordination efforts by providing populations, sample support, perform testing and discuss process related findings.
3. Led engagements with a team of 1 to 2 auditors, including outside consultants; delegate assignments, review workpapers, and provide feedback as part of the annual assessment and during each audit.
4. Research updates to accounting guidance, audit programs and audit methodology of the Defense Contract Audit Agency (DCAA) and present to audit team prior to performing audits.
5. Perform work in accordance with audit program, department methodology and Institute of Internal Auditors (IIA) standards; review work of peers and staff to ensure in accordance with the same standards.
6. Draft audit reports and present to management including background, audit approach, observations, findings and recommendations.
7. Perform follow-up audits to ensure management's remediation plan was implemented and operating effectively.
8. Develop department protocols, procedures and policies on an as needed basis.

Experience

7-10 Years

Level

Management

Education

Information System

Description :

1. Senior Internal Auditor Provide independent reviews and evaluations of the company's operations, information systems, controls, major business processes, records and reporting functions and provide recommendations to the VP of Internal Audit.
2. Act as a subject matter expert within Mortgage Banking business to understand the various regulatory, investors, federal and state requirements.
3. Perform risk assessments of functional areas utilizing the COSO framework to develop appropriate audit programs and evaluate the impact of the control environment on the effectiveness of the organization's operations.
4. Implement and effectively execute an internal audit plan for the business by proactively managing competing priorities.
5. Perform corporate, operational and regulatory audits of functional areas and report significant issues related to processes and controls, including risks inherent in and potential improvements to those processes and controls.
6. Key Accomplishments - Led and managed risk based audit engagement in the Originations and Corporate Division as individual contributor.
7. Specific special projects included Underwriting, Vendor Management, and Marketing Strategic Alliances.

Experience

2-5 Years

Level

Executive

Education

BS In Accounting

Description :

1. Conduct financial, operational, information system, compliance, and fraud audits to improve operational and financial controls and efficiencies.
2. Ensure successful completion of assigned audit engagements, from start to finish, inclusive of preplanning and wrap up activities.
3. Manage and review daily activities of junior team members on assigned engagements.
4. Specific duties and accomplishments include: Manage ongoing financial reporting review process of Form 10K and quarterly Form 10Qs including supervision and review of five internal audit members.
5. Coordinate the review process between internal audit, management, Sarbanes-Oxley compliance department, and the external accounting firm.
6. Execute various information system audit objectives including review of SSAE16's, system access controls, data encryption, physical security controls, and disaster recovery/business continuity controls.
7. Perform various operational and financial analysis reviews including the identification of $22 million in unreconciled claim transactions aged over 180 days.
8. Facilitated the development of new reconciliation processes and procedures across three departments.

Experience

2-5 Years

Level

Junior

Education

BS In Accounting

Description :

1. Conducted audits of assigned departmental, financial, and operational activities of UT Southwestern Medical Center and implemented audit programs to test internal controls.
2. Trained and supervised audit staff; and performed data analysis.
3. Communicated both verbally and in writing in order to negotiate issues and to develop reports.
4. Prepared and established project guidelines for audits, and met all milestones/deadlines.
5. Managed an audit of a $1.8 million dollar funded research project to ensure approvals for expenditures and monitoring of the project performance was in adherence to grant terms and conditions.
6. Reviewed financial resources to evaluate internal controls over faculty incentives and merit-based fringe benefits which are processed and paid in accordance with departmental plans, state salary caps, and University rules and regulations.
7. Managed a $175 million dollar federal funded grant project that involved evaluating the internal controls over institutions time and effort reporting.
8. Managed major segments of audit work on the adequacy of internal controls over the Financial Statement.

Experience

10+ Years

Level

Senior

Education

Business Administration

Description :

1. Conducted mitigating controls review of State agencies, board, and commissions to determine the level of control over cash and other organizational assets.
2. Analyzed the information obtained from the reviews, and recommended controls to the organization that should be implemented to maintain sufficient control over the assets.
3. Conducted risk assessment evaluations on State agencies, boards, and commission to determine controls in place over organizational operations.
4. Analyzed the information on the risk assessments, and identified the areas of operation that should be strengthened to ensure sufficient control over organizational operations.
5. Researched and documented relevant information to American Recovery and Reinvestment (ARRA) grants received by State agencies, boards, and commissions.
6. Based on information gathered during research, conducted monitoring activities on organizations that received ARRA funds to ensure transparency and accountability over the use of funds.
7. Diiscovered, organizations are made aware of them and advised as to how to correct the deficiencies.

Experience

2-5 Years

Level

Junior

Education

BA In Accounting

Description :

1. Directed the daily progress of audit fieldwork and supervised assigned staff on audit assignments.
2. Performed and documented audit procedures to appraise the soundness and adequacy of the system of internal control based on an overall understanding of the general business of the bank.
3. Developed testing parameters in compliance with the Sarbanes-Oxley Act, which resulted in the identification of key controls to evaluate whether they are designed adequately to mitigate identified risk.
4. Participated in risk analysis work paper preparation.
5. Created recommendations for computer-assisted auditing techniques with assistance from other key constituents, on audit assignments, where applicable, which resulted in identifying opportunities to enhance the audit process.
6. Reviewed audit findings, recommendations, and corrective action with audit and bank management personnel, which provided the final disposition of the audit issues.
7. Prepared audit report comments and drafts, in accordance with established report writing standards, for subsequent reviews which resulted in detailing results of the audit.

Experience

5-7 Years

Level

Executive

Education

Business Management

Description :

1. Lead financial and operational audits for various departments, divisions, and locations in order to evaluate compliance with Sarbanes-Oxley, GAAP and policies and procedures prescribed by management.
2. Evaluated deficiencies within business cycles in order to determine their impact on internal controls over financial reporting.
3. Prepared and submitted reports on the results of audits, recommending improvements in policies and procedures.
4. Assisted external auditors with interim and year-end financial and Sarbanes-Oxley audit testing procedures.
5. Facilitated the annual risk assessment and risk rationalization processes in conjunction with senior management to develop the annual internal audit plan.
6. Planned and developed test plan and procedures for the Sarbanes-Oxley audit of a newly acquired subsidiary, including risk assessment, planning, defining audit scope, internal control evaluation, and reporting activities.
7. Balanced workload of multiple audit assignments and projects, providing status updates and willingly pitching in to assist other team members where needed.

Experience

7-10 Years

Level

Management

Education

Masters In Accountancy

Description :

1. Assisted in the development and management of compliance and internal audit functions per OIG guidelines, Corporate Integrity Agreement requirements and industry standards.
2. Audited the effectiveness of company controls, accuracy of financial records, efficiency of operations, IT general controls and compliance with internal policies and procedures, Medicare, Medicaid, Joint Commission and other federal regulations.
3. Supervised staff auditors and monitored work product for quality and completion of assigned duties.
4. Prepared and managed the annual audit program based upon risk assessments and materiality thresholds of financial exposure for the Company.
5. Conducted follow-up review of all issues identified during audits to ensure appropriate correction of the errors identified.
6. Conducted proactive reviews of accounts identified through data mining as having potentially incorrect entries.
7. Provided training and communication of compliance trends, developments in regulatory standards, audit issues and findings across the organization.

Experience

10+ Years

Level

Senior

Education

MBA In Accounting

Description :

1. Wrote audit program steps and processes in accordance with generally accepted auditing standards.
   
2. Led the planning, execution, supervision, and completion of audits conducted throughout the corporation.
3. Communicated audit findings verbally while on site and then wrote, and issued final audit reports to site and senior corporate management.
4. Inspected accounting systems for efficiency, effectiveness, and use of accepted accounting procedures to record transactions.
5. Examined records and interviewed workers to ensure recording of transactions and compliance with accounting principles and company policy.
6. Examined and evaluated financial and information systems, recommending controls to ensure system reliability and data integrity.
7. Examined whether the organization's objectives are reflected in its management activities, and whether employees understand the objectives.

Experience

7-10 Years

Level

Consultant

Education

Bachelors In Accounting

Description :

1. Conducted assigned audit engagements successfully from beginning to end.
2. Identifies and communicates issues raised, offering recommended solutions relevant to business and risk.
3. Developed audit programs and testing procedures relevant to risk and test objectives.
4. Obtained and reviews evidence ensuring audit conclusions are well-documented.
5. Ensured audit conclusions are based on a complete understanding of the process, circumstances, and risk.
6. Communicated assigned tasks to engagement team in a manner that is clear and concise ensuring high quality, accurate, and efficient results.
7. Completed assigned reviews in accordance with internal audit standards, within budgeted timeframes by conducting interviews, data reviews and testing of activities to determine the nature of operations function being reviewed.
8. Assisted in evaluation of the design and administration of the internal control programs initiative and Sarbanes-Oxley compliance process.

Experience

5-7 Years

Level

Executive

Education

BBA In Accounting