AVP, Internal Audit Resume Sample
Saige Schultz
83771 Hertha Mountain,
Dallas,
TX
+1 (555) 497 8638
Work Experience
VP / AVP Internal Audit
07/2017
-
PRESENT
Detroit, MI
- Sustained experience in an audit or consulting firm in a financial services department, insurance, asset management, financial institution or regulation institution
- Good knowledge of financial / risk / insurance / asset management market related topics
- Experience in leading complex projects/reviews, leading small-medium teams and negotiation situations
- Experience in managing the senior level relationships and influencing their behaviour
- Strong influencing skills and ability to develop effective stakeholder relationships
- Effective people management and genuine leader
- Be able to perform and lead the audit execution and fieldwork independently and efficiently within defined targets
- Perform audit validation work to the control issues identified by regulators, external and internal auditors
AVP, Internal Audit
10/2011
-
05/2017
Los Angeles, CA
- Flexible and adaptable to dynamically changing work environments
- At least three years of internal audit experience or equivalent line experience in a risk or control function
- Exposure to risk-based methodologies within Financial Services
- Experience of understanding risk and/or audit issues and control matters
- Present risk concepts and issues in a simple and concise way to diverse groups
- Excellent auditing skills and ability to work with minimal supervision
- Solid understanding of liquidity management methodology and its practical application in complex scenarios
- Solid auditing skills including scoping, testing, audit work-paper, report writing skills as well as commitment to meeting deadlines
AVP Internal Audit
11/2007
-
04/2011
Phoenix, AZ
- Solid understanding of risk/audit issues and control frameworks
- Effective verbal and written communication skills and experience of presenting complex risk concepts and issues in a simple and concise way to diverse groups. Ability to collaborate across diverse teams and stakeholders
- Solid analytical and quantitative skills with understanding of stress testing concepts and approaches
- Comprehensive understanding of market risk methodology and it’s practical application in complex scenarios
- Excellent auditing skills including scoping, testing, audit work-paper, report writing skills as well as commitment to meeting deadlines
- Excellent analytical and quantitative skills with understanding of model risk modeling concepts and approaches
- Solid risk management skills and the ability to apply the skills in complex scenarios
- Assist in executing standalone regulatory reporting audits as well supporting regulatory reporting aspects of integrated business audits in accordance with Internal Audit standards & methodology, relevant regulatory expectations, and Bank’s policies and procedures
- Good understanding of CCAR/IHC regulatory reporting methodology
Education
DeVry University - Pomona Campus
2002 - 2006
Bachelor's Degree in Accounting
Professional Skills
- Effective organizational skills and the ability to multi-task, prioritize and adapt effectively in a changing environment
- Strong planning and research skills required
- Experience in risk based auditing or operating risk/control activities within IT outsourcing/supplier risk management
- Experience and practical understanding of Operational IT Control testing covering both infrastructure and applications
- Experience in risk based auditing, including exposure to Equities products and understanding the trade life cycle
- Experience of managing audits/driving initiatives in a relevant field and IT Audit qualification e.g. CISA or equivalent
- Experience in risk based auditing, including exposure to derivative products
How to write AVP, Internal Audit Resume
AVP, Internal Audit role is responsible for auditing, travel, research, architecture, training, reporting, retail, finance, credit, trading.
To write great resume for avp, internal audit job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For AVP, Internal Audit Resume
The section contact information is important in your avp, internal audit 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 AVP, Internal Audit Resume
The section work experience is an essential part of your avp, internal audit 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 avp, internal audit responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular avp, internal audit position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative AVP, Internal Audit resume experience can include:
- Excellent data analytical skills and the ability to apply the skills in complex scenarios. Working knowledge of SQL, Access, Excel and Tableau and skills to perform data analysis/test automated controls
- Hands-on data analytics and/or model development experience, and the ability to interact with the model developers, model validation, technology, and the risk and finance units
- Solid auditing skills including testing, audit work-paper and report writing skills. Hand’s on experience in data internal controls and integrity, financial and regulatory systems architecture
- Good communication skills – effective in a variety of presentation settings
- Demonstrates good knowledge of risks and related impacts for assigned areas. Offers effective solutions to problems, including process improvements
- Experience with relevant business or auditing background in financial institutions, external audit firms or consulting firms
Education on an AVP, Internal Audit Resume
Make sure to make education a priority on your avp, internal audit resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your avp, internal audit 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 AVP, Internal Audit Resume
When listing skills on your avp, internal audit 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 avp, internal audit skills:
- Performance management skills – is aware of team member status when the in-charge and effectively re-aligns resources as needed
- Excellent team work and communication skills, commitment to meeting deadlines
- Highly developed inter-personal skills with the ability to present ideas to an audience
- Progressively responsible audit experience with significant experience in internal audit as a manager
- Demonstrated management experience
- Establish credibility and work effectively at the board level, with executive management, and with key external parties
List of Typical Experience For an AVP, Internal Audit Resume
1
Experience For Avp-internal Audit Resume
- Make an effort to gain management’s acceptance of our value-added services
- Makes an effort to gain management’s acceptance of our value-added services
- Assist where appropriate in the update and maintenance of the audit strategy and plan
- Maintain key relationships with middle level management and stakeholders, raise potential risk and control issues to audit management
- Ensure assigned audit goals / objectives are accomplished within prescribed time frames and parameters, and in compliance with the Audit Plan. Begins to in-charge more complex audits with larger audit teams. Coordinates relationships between Audit and its clients, continuously promoting the value of Internal Audit
- Exhibits the ability to organize and effectively plan for medium to large audits /projects and handling of various tasks and special projects. Delivers quality audit work, identifies improvements to audit processes, and meets the completion timeframes of each audit
- Applies audit and industry knowledge gained to applicable assignments
- Stakeholder and relationship management at a senior management level within the business
- Contributing to the production of reports to Internal Audits key stakeholders and through these influencing management actions to deliver a more effective controls framework
2
Experience For AVP Internal Audit Resume
- Implements strategic objectives with substantial impact on the short-term success for the audit process and daily audit activities of assigned business or functions
- Executes internal audit activities including implementing audit processes and delivering quality audit services issue identification and resolution and ensuring assigned business areas receive high quality effective audit services
- Leads, directs, and has full management accountability for staff in area of responsibility with an emphasis on talent management and succession planning in accordance with corporate strategic direction
- Develop and execute the risk based IT audit plan through monitoring of progress, allocation of staff, and ongoing evaluation of corporate priorities and risks
- Implement the staffing strategy, including managing our co-source partners, to ensure that the audit teams are appropriately staffed
- Communicates with senior management on issues related to audit and special activity including planning results and issues and corrective action plans
3
Experience For Avp-internal Audit Ccar Resume
- Represent Internal Audit on major IT implementations by providing insights to the project teams and assurance to management and the Audit Committee
- Knowledge of the insurance industry its products and services
- Effectively collaborate with key IT business partners, including identifying and addressing needs through strategic risk and control advice; understanding the business; and being recognized and respected as a knowledgeable and valued professional
- Provide oversight and direction during all phases of the internal audit process. Facilitate teams as they evaluate and benchmark design of processes and controls; identify key risks and control; develop and execute audit programs; and create workpapers and report findings
- Strong organizational leader with ability to drive changes that align organizational goals and performance
- Promote professional development by generating a vision, establishing direction and motivating members
- Foster an atmosphere of trust; leverage diverse views; coach the staff; encourage team dialogue; provide candid, meaningful and timely feedback; and encourage improvement and innovation
4
Experience For Avp-bia Internal Audit Resume
- Develop annual budget and manage site expenses to this budget
- Unquestionable integrity, honesty and discretion. Committed to core values and ethical business conduct
- Articulate, expressive, engaging, inspiring. The ability to report key issues, business impact and recommendations for improvement clearly and succinctly and with candor
- The fortitude to stand up for what is right with the ability to work towards solutions that meet common business objectives
- Demonstrated track records of setting high goals for personal and group accomplishment supporting business priorities and using effective measurements to monitor progress towards goal attainment
- Able to assimilate and synthesize complex processes and information to see trends and patterns of business issues, identify critical issues and anticipate a range of impacts
5
Experience For Internal Audit Wholesale Credit Risk AVP Resume
- Successfully demonstrates leadership behaviors as described in Unum’s Leadership Expectations
- Sound knowledge and experience in systems design and management, security, and client server technologies
- Knowledge and understanding of control frameworks such as COBIT, ISO17799, and the COSO
- The Rates Business consists of
- Equities Liquid Market: Offers a full service sales and trading platform for listed Equities products across all major geographies. The business makes market, facilitate and place basket orders for clients. It also executes client orders for listed and over-the-counter options, related hedge transactions in underlying stocks, and Convertible Bonds
- Equity Derivatives (EFS): Cross-Asset structured solutions providing derivatives, structured products and strategic investment for Retail and Institutional clients
- Identify, assess & document risks and controls. Complete testing
- 10 yrs atleast
List of Typical Skills For an AVP, Internal Audit Resume
1
Skills For Avp-internal Audit Resume
- Extensive experience in risk based auditing or risk/control activities within the FX or Rates business
- Experience of delivering both Business process and IT Audits
- Experience of using data analytics
- Offers effective solutions to problems, including process improvements
- Good understanding of the corporate and business units, corporate functions, industries and competition
- Project management experience (e.g. PRINCE2)
- Audit experience (internal, external or both)
- Audit experience (internal, external or both) -OR-
- Capital Markets and/or Equities or Prime Brokerage industry experience
2
Skills For AVP Internal Audit Resume
- Related internal audit experience
- Demonstrated proficiency with Data Analytics and Query tools (IDEA, ACL, Tableau, SQL)
- Experience with Self-Regulatory Organizations or Broker Dealer’s desirable
- Directing a portfolio of audit reviews and leading technical or complex reviews where appropriate
- Following and advising on the guidelines of the audit framework
3
Skills For Avp-internal Audit Ccar Resume
- Banking and Financial services industry knowledge
- Working across the department to support the audit function's initiatives
- Identifying areas for improvement in the operation of the audit team
- Foster an environment to encourage knowledge sharing, asking questions and sharing viewpoints with BIA colleagues and peers in the business
- Support audit owners by writing high quality issues and recording management’s action plans
- Support audit team by writing high quality issues and recording management’s action plans
4
Skills For Avp-bia Internal Audit Resume
- Test and follow up outstanding audit issues for proper implementation during each audit engagement
- Provide audit team members with proper guidance, coaching and supervision
- Practical understanding of Supplier Risk regulatory environment
- Complete testing of audit issues confirmed as closed by stakeholders
- Familiarity with leading enterprise applications (i.e. PeopleSoft, Oracle, Workday, Coupa)
- Undertake audit engagements as assigned according to audit plan
- Update, maintain or review audit risk matrices, including audit work papers for each audit engagement
- Commitment to professional development through continuing education
5
Skills For Internal Audit Wholesale Credit Risk AVP Resume
- Provide consultancy advice to Business/Support Units on new or revised policies and procedures so as to build up Audit’s identity as trusted advisor
- The scope of the mandate covers all Global Businesses, Global Functions and HTS within HSBC Bank Canada. Decisions relating to audit recommendations and risk assessments can have a material impact on both the business itself and the individual staff within the business
- Work effectively with other BIA specialist teams (e.g., Risk, Finance, Regulatory and Compliance, IT)
- Work independently with little supervision or direction; manage one’s own time
- Through continuous monitoring, keep up to date with risks, issues and changes across Equities and Prime and use this knowledge to amend the audit approach where necessary
- In-depth technical knowledge of theories and practices within a professional field i.e. auditing and risk assessment and working knowledge in other related fields
- Effectively interact and communicate with all levels of external and/or internal business partners within scope of responsibility team and/or matrix environment
- Audit or relevant business/risk management experience
- Asset/Wealth Management audit or business experience
6
Skills For Corp-internal Audit AVP Buenos Aires Resume
- Business Auditors experience
- Credit Card experience
- Auditing or Risk Management/Business Control Experience in the Banking or Financial Industry
- Broad and superior knowledge of banking operations and regulatory requirements gained through at least 10 years of progressive management experience
- Good working knowledge of audit software management systems and processes
- Capital Markets and Investment Banking industry experience
7
Skills For Avp-internal Audit IHC Liquidity & Funding Resume
- Good knowledge of Investment Banking products; specifically Equities and Prime Brokerage products
- Strong knowledge of audit practices, accounting policies, information systems and risk mana
- Overall Banking or Financial Industry Experience
- Practical Understanding of relevant regulatory environment (e.g. FDIC, CFPB, FRB) and Regulatory Issue Experience
- Complete testing in line with Agile Auditing principles
- Complete testing and document workpapers to a high standard
- Be an active member of the PBOS team contributing to the strategy of the team
- Write high quality audit observations and support the Audit Owner in writing audit findings
- Update the Audit Owner and audit team with progress and observations
8
Skills For Avp-internal Audit Ccar / Data Resume
- Certified Auditor considered an advantage (e.g. CIA, CISA, CPA, and ACAMS)
- Quickly develop a good understanding of business units’ technology environment and requirements to support information delivery and business processes, including data flows
- Professional accounting (CA, CGA, CMA) and auditing (CIA, CISA) accreditation and/or equivalent management/audit experience
- An understanding of the Bank's primary Applications and Operating Systems
- Affect change through influence and negotiation with HSBC staff up to and including the SVP (GCB 2) level
- Fundamental knowledge of critical legislation relating HBCA operations such as the Bank Act, Basel and Sarbanes-Oxley (SOX), etc
- A fundamental understanding of HSBC’s Enterprise Wide Risk Management framework
9
Skills For AVP Barclays Internal Audit Tokyo Resume
- Knowledge of Canadian Banking rules and regulations as well as knowledge of the rules and regulations of the Canadian regulators
- Knowledge of Canadian Banking Administrative and Operational processes and procedures
- Travel periodically locally and out of state as needed; approximately 20% travel required
- Good understanding of business units’ technology environment and requirements to support information delivery and business processes, including data flows
- Exemplary core values, integrity and business ethics
- Manage a variety of tasks and deadlines simultaneously
10
Skills For AVP, Ccar-internal Audit Resume
- Manage a diverse team in periods of change and adversity
- Expert knowledge of HSBC Group Internal Audit policies and procedures as documented in the Group Audit Standards Manual (GASM) and Audit Unit North America Instruction Manual (AUN IM)
- Good working knowledge applicable Group Functional Instructional Manuals
- Expert knowledge of the Group Standards Manual
- Execution on audits in the Corporate & Investment Banking Division (CIBD) - private side Banking, Capital Markets and Research business areas, including scoping, fieldwork and reporting
- Work collaboratively with stakeholders in and out of BIA to develop strong relationships
- Relevant work experience (ie: conducting audits)
- Support the delivery of the Audit Plan for audits of Investment Bank Equities/Prime Brokerage
- The FX business provides voice and electronic execution to clients across G10 and EM currencies in FX Spot, FX Forwards and FX Options. Trading hubs in London, New York and Hong Kong / Singapore / Tokyo
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