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Senior Internal Auditor Resume Profile

Montpelier, VA

SUMMARY:

  • Project management expertise in the planning, team coordination, execution, and summarization of various financial and operational audits.
  • Analytical strength in identifying and assessing the state of existing internal control environments in accordance with the IIA's International Professional Practices Framework IPPF , and the Committee of Sponsoring Organizations COSO and Control Objectives for Information and Related Technology COBIT frameworks.
  • Successful record evaluating control systems, identifying control gaps, and conducting risk assessments.
  • Ability to recommend, achieve client consensus, and track corrective action plans developed in response to audit findings.
  • Demonstrated strengths in both oral and written communication for a diverse executive audience.
  • Willingness to collaborate as a team, or take initiative as a self-starter, to execute tasks within prescribed timeframes.
  • Passion for influencing management, and building relationships and agreement on the importance of strong internal controls.
  • My extensive audit experiences, coupled now with my recent publishing responsibilities August 2014 to present , have placed me in progressive positions of leadership and have afforded me an in-depth knowledge of operational and managerial processes. I am a structured thinker, but one who maintains flexibility when required in fast-paced environments.

Experience

Confidential

Senior internal Auditor

  • East-coast senior audit representative for a California-based, international staffing firm.
  • Assessed Sarbanes Oxley SOX compliance and performed financial and operational audits of the Richmond-based staffing firm, Apex Systems, Inc., and other divisions.
  • Provided limited assurance reviews for reliance by external auditors.
  • Designed compliance and substantive tests to determine the completeness, accuracy, and strength of internal controls and overall control environment.
  • Performed sampling in accordance with PCAOB guidance.
  • Developed audit opinions and audit comments on the operational effectiveness of internal controls.
  • Discussed findings and recommendations for best practice improvements with audit clients and C-suite executives.

Experience Continued

Confidential

Senior Internal Auditor

  • Performed operational and financial audits of departments supporting the various acute and long-term care systems: Timekeeping/DOL Compliance Community Benefit - Sch H/990 Reporting Clinical Trial Review Planning Financial Statement Month-end Closing and Footnote Attestation Reviews Assurance reviews for external auditors Operational Leases and system-wide preparation for ASC 840 Pensions/401k Plans Validation of select financial position and income statement balances Oxford .
  • Assessed strengths of internal control environment.
  • Designed compliance tests and detailed tests of transactions.
  • Drafted audit reports and discussed findings with audit clients.
  • Tracked status of corrective action plans implemented by operational management.

Confidential

Assistant Bank Examiner

  • Financial Institution Specialist responsible for analyzing financial statements, ratios, and CAMELS to report on the safety and soundness of state-chartered, non-FRB member banks.
  • Determined bank compliance with federal banking regulations, GAAP, GAAS, FASB pronouncements, and other regulatory guidance.
  • Prepared persuasive, report-ready exam comments supported by empirical fact and professional judgment.
  • Conducted exit meetings for an audience of senior bank executives, Board members, and state and federal supervisory agency leadership.
  • Discussed findings and exam conclusions with bank management, and tracked compliance with memoranda of understanding MOUs .
  • Provided guidance on FOCUS report classifications to junior teammates.
  • Contributed to the regional office newsletter.

Assistant Vice President

  • erformed financial and operational audits of the broker-dealer: Brokerage CFO Regulatory Reporting Group BSA/AML reviews Privacy/SOX Compliance Operations Control Advisory Services Group Investment Planning U4/U5 Amendment Filing Prudential/Wachovia Merger Integration Team SDLC and Logical Access reviews.
  • Prepared report-ready audit comments with minimal content revisions, and provided first-line review and edits of co-workers' draft reports at Audit Director's suggestion.

Experience Continued

Senior Internal Auditor

  • Performed operational audits of the broker-dealer, UBS Investment Bank formerly Warburg, Dillon, Read : Capital Markets Corporate Control/Business Unit Controllers Securities Compliance Department Credit Market Risk Control.
  • Prepared report-ready audit comments with minimal content revisions.

Confidential

Assistant Vice President

  • Performed operational audits of the broker-dealer: Foreign Equity Securities Trading US Equity Sales Trading Purchase and Sales Department Controller's Global Price Verification.
  • Prepared draft reports and discussed findings with management.
  • Participated in annual risk assessment process.
  • Interfaced with corporate executives and external auditors.

Confidential

  • Performed operational audits of the Private Bank in accordance with Regulation 9 of the Comptroller of the Currency, NASD now FINRA , CFTC, and NYSE rules: Citicorp Futures Corporation Asset Price Verification Global Asset Management Securities Processing Operations Trust Administration Services Brokerage Committee Administration Mutual Funds Administration.
  • Prepared statements of business issues for manager review.
  • Discussed findings with operations management.
  • Provided guidance on audit methodology, writing principles, and work paper presentation.

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