Resume Senior Audit Supervisor Charlotte, NC - Hire IT People

SUMMARY

Internal Audit and Risk Management Professional with comprehensive operational, finance, accounting, and auditing experience gained with Big 4, Fortune 500, FTSE 100, and multinational corporations.

PROFESSIONAL EXPERIENCE

Confidential, Charlotte, NC

Senior Audit Supervisor

Responsibilities:

Lead teams through audit projects that include risk based scoping, the recording of process and control understandings, the development of test programs, assessments of control design and operational effectiveness, tests of compliance with policy and regulation, assessments of test support adequacy, communications of project status and findings to Audit and LOB management, the identification and escalation of issues, collaborative identification of risk mitigation action plans with LOB management, performance evaluations and coaching of team members, the writing and editing of audit reports, tests of Line of Business execution of action plans from Audit and regulator identified issues with presentation of validation efforts to senior management, tests of 10K/Q disclosure and control procedures and Sarbanes Oxley key control execution, participation in monthly Corporate Investments Group risk forums and whole loan activity reviews where results, attributing market factors, emerging risks and regulations are shared.
Areas of coverage include: The Available for Sale, Hold to Maturity Discretionary, and Whole Loan portfolios, Whole Loan Secondary Marketing, New Products, Asset Liability Management, Mortgage Servicing Rights, Debt & Capital Hedge Management, Compliance, Market, Model and Operational Risk Management.

Confidential,Charlotte, NC

Manager Internal Audit

Responsibilities:

Managed audits and fraud investigation with small teams at operational facilities and business headquarters in North & South America. Managed and participated with pre - audit risk assessments, program updates, interviews, control design evaluations and tests of compliance with IRFS and policies.
Worked with local management to establish corrective actions. Reviewed workpaper quality, drafted audit reports, led post audit follow up activities and met quarterly with Division Management to discuss issues.
Worked with client Senior Management to identify corrective action updates for reports not issued from audits completed prior to my tenure. Completed an audit of purchase hedging that received Audit Committee compliments.

Confidential, Charlotte, NC

Senior Auditor

Responsibilities:

Led and conducted audits within the Corporate & Investment Banking division including Finance, Trading, Wholesale Operations, Capital Markets Research, Compliance, Financial Reporting - Sox and Risk Management.
Conducted risk assessments and ensured key risks were appropriately managed, process flows were adequately documented, tests of design and compliance met standards, and action plans sufficiently addressed control weaknesses while developing and maintaining professional relationships with clients.
Completed audit team performance reviews and coaching in addition to the promotion of advancement of staff auditors.

Confidential, Madison, NJ

General Manager

Responsibilities:

Managed the internal controls and financial reporting for the North American and Canadian businesses. Assisted with year-end benefits and budget packages and ensured IFRS compliance.
Discussed results and addressed results inquiries from headquarters monthly.

Confidential, Charlotte, NC

Manager

Responsibilities:

Managed internal audit and risk management engagements utilizing the COSO framework. Assessed operational, metric reporting and financial reporting controls for effectiveness and GAAP compliance.
Managed and participated with engagement planning, fieldwork, risk workshops, reporting, best practice identification, corrective action plan development and report presentations.

Confidential, Charlotte, NC

Senior Auditor

Responsibilities:

Assisted with the leadership of teams through audits of Confidential ’s international company Sea-Land (now Maersk Sealand). Tested and evaluated the operational and financial controls of port operations, warehouses and service centers worldwide.

Confidential, Charlotte, NC

Senior Accountant

Responsibilities:

Controlled fixed asset purchases, adjusting journal entries, customer credit limit approvals, payroll distributions, bank reconciliations, P&L budget variance analyses, A/R cash postings and A/P approvals.

Confidential, Charlotte, NC

Assistant Internal Auditor

Responsibilities:

Tested operating and reporting internal controls, performed fraud investigations and physical inventories, and reviewed the reliability and integrity of reported financial results to ascertain their consistency with established objectives.

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