Audit Compliance Resume Sample
Harley Brekke
43954 Lori Shoals,
Detroit,
MI
+1 (555) 965 8112
Work Experience
Audit & Compliance Specialist
05/2017
-
PRESENT
Houston, TX
- Working knowledge of Canadian Federal and Provincial Privacy legislation, the Telecommunications Act, the CRTC UTRs, CASL, and any other emergent or existing regulations that impact the CCC’s policies or processes
- Scotiabank’s Privacy Code
- Working knowledge of the policies and handbooks of Scotiabank Global Compliance and Global Risk Management, as they relate to the CCC
- Scotiabank’s Guidelines for Business Conduct, Internet & Email Code of Conduct and the policies, procedures and systems of the Customer Contact Centre
- Risk management, control, administrative and operational structure, policies and procedures
- Thorough understanding of the Contact Centre environment at Scotiabank and the Bank’s organizational structure
- Thorough knowledge of the Bank’s products, policies and procedures and their relationships within the Bank
- Thorough knowledge of audit processes and methodologies
Audit & Compliance Analyst
11/2011
-
03/2017
Boston, MA
- Provide detailed reports of audits and conditions of site to Global Audits Compliance Director
- Assess competence and culture on site to ensure no gaps in knowledge from Leadership and Quality and Compliance teams and recommend improvements
- Ensure consistent approach is taken globally by working with other Regional Q&C Assurance Managers
- Audit and compliance experience
- Bachelors of Science and/or equivalent combination of experience and education
- Familiarity with Government, Healthcare IT Security, and Education requirements and industry standards such as: HIPAA/HITECH, SSAE 16, NIST SP 800-53/30, FERPA
- Experience/knowledgeable in IT infrastructure, information security, and regulatory compliance audits
Working Student for Audit & Compliance Topics Within Global Procurement
03/2007
-
08/2011
Detroit, MI
- Experience in state sales tax
- Plan, lead and execute the Company’s overall internal audit program including quarterly financial, operational, and compliance audits
- Work with the Accounting, Finance and other business teams to identify audit opportunities for expense reduction, operational efficiencies, policy compliance and risk identification
- Manage the outsourcing of internal audit consultants, as needed, and perform internal audits as planned
- Oversee all internal audit engagements from planning through reporting and produce quality deliverables to senior management and business users in a timely manner, including opportunities for improvement
- Assist in remediation planning and execution
- Prioritise and conduct follow up audits for all sites to ensure close out of actions
- Outline management systems weaknesses within organization
- Take immediate action on site, even if this means stopping operations, if significant non-compliances are identified
Education
Boise State University - Twin Falls Campus
2003 - 2007
Bachelor's Degree in Accounting
Professional Skills
- Considerable skill in effective verbal and written communication skills and skill in presenting findings and recommendations
- Strong written and verbal communication skills with competency in grammar, spelling and punctuation
- SAS software implementation experience or prior implementation experience
- Proven experience in collecting and analyzing complex data, evaluating information and systems, drawing logical
- Work experience with audit (experience from Big4 companies is
- Considerable knowledge of and skill in applying control processes and related business practices
- Skill in developing appropriate recommendations to address exposures
How to write Audit Compliance Resume
Audit Compliance role is responsible for analytical, reporting, manufacturing, retail, finance, training, database, auditing, security, accounting.
To write great resume for audit compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Audit Compliance Resume
The section contact information is important in your audit compliance 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 Audit Compliance Resume
The section work experience is an essential part of your audit compliance 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 audit compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular audit compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Audit Compliance resume experience can include:
- Outstanding communication skills (written and verbal) and executive presence
- Internal control experience, internal audit experience or consultancy within financial area is an asset
- Use expert skills to pull relevant reports/data gathering when needed
- Clear and concise communication skills with a positive attitude
- Strong understanding of SOX 404, COSO, GAAP, and Internal Audit Standards, including auditing processes and methodologies
- Solid understanding of ITO (Information Technology Outsourcing) environments
Education on an Audit Compliance Resume
Make sure to make education a priority on your audit compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your audit compliance 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 Audit Compliance Resume
When listing skills on your audit compliance 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 audit compliance skills:
- Experienced & able to demonstrate effective project management skills
- Communication Skills: Superior writing and verbal communication skills
- Strong analytical skills, decision-making capabilities
- Excellent computer skills in Microsoft Office, e.g. Word, Excel, Visio, etc
- Strong interpersonal and communication skills, with an ability to navigate complex organizations and build and maintain relationships with all stakeholders
- Outstanding interpersonal and analytical skills
List of Typical Experience For an Audit Compliance Resume
1
Experience For Audit & Compliance Specialist Resume
- Extensive project experience with two or more of the following service areas: service desk, incident & problem management, end user computing (EUC) or desk side support, process reengineering, infrastructure, network management, data center management, operational security, security administration, or PMO management
- Extraordinary organizational and team building skills
- Establish an audit cycle to effectively ensure that the controls in place are fit for purpose and that balance review processes are legally compliant
- Problem Solving: Experience with identifying problems and creating proactive steps to resolve the problems in a way that avoids adverse impact of issues
- Knowledge of validation strategies, ensuring compliance to regulatory requirements, including FDA CFR 21 Part 11 and European Annex 11
2
Experience For Audit & Compliance Analyst Resume
- Management consulting or audit/risk consulting experience
- Solid understanding of the purpose and usage of project tools
- Experience with Big 4 Public Accounting
- Experience working with drug, medical device, cosmetics, REACh compliance in Pharmaceutical and/ or Consumer Health Industry
- Experience in conducting quality and compliance audits
- Experience in Pharmaceutical Company covering various areas
- 3 – 5 years’ experience working in an IT process, conformance, and governance discipline
3
Experience For Internal Audit Compliance Manager Resume
- Experience with the local statutory audit process, including used techniques
- Experience working in a Big Four firm or part of an IT function responsible for SOC1 or SOX certifications
- Experience working directly with audits by a PBM or a Government Entity
- Experience working with pharmacy data at a retail pharmacy, Pharmacy Benefit Manager, Hospital etc
- Experience working on compliance or audit related projects
- Very good French and intermediate English
- Very good knowledge on GMP and International standards
4
Experience For Manager, IT Audit & Compliance Resume
- Demonstrated ability of stakeholder management
- + 2 years Regulatory and/or Quality Compliance related experience in a medical device, IVD, pharmaceutical or biotechnology organization
- Demonstrable experience in process improvements and PPI methods
- Industry Expertise: Strong practical knowledge of IT systems and common business processes
- Executing, monitoring and supporting Traffic Light Reports across the Roche Group
- Documenting your work using Microsoft products as well as OpenText’s SOX Tool (LiveLink™ based document database)
- Providing management with an independent and objective evaluation of the control environment and evaluating management’s control consciousness
- Managing and coordinating roll-outs of Audit & Compliance processes at new affiliates
- Monitoring and assisting with the timely resolution of identified Audit & Compliance issues
5
Experience For IT Audit / Compliance Analyst Resume
- Supporting the Audit & Compliance Team in Basel with various tasks and projects
- Understanding IBM and GTS Resiliency Services security tools and driving adoption within CMB
- Provide coaching and mentoring to enhance organizational compliance
- Monitor and contribute to tracking and improving the adherence to GSD 331 and Tec specs
- Certified as a CISA, CISM, CISSP or CGEIT or similar professional certification or working toward obtaining a certification
- Proactive work habits, requiring minimal supervision and management
- Assist in managing DATG’s IT audit and compliance portfolio
6
Experience For PFS Audit & Compliance Resume
- Serve as an information security analyst conducting information security assessments throughout the clients’ environment
- Generate detailed audit reports specifying identified gap, areas for improvement and recommendations
- Work collaboratively with key stakeholders, expertly managing internal and relevant external relationships
- Manage compliance engagements for IT systems including Sarbanes-Oxley programs
- Develop testing methodologies to evaluate adequacy of controls
- Perform coaching, shop floor or other support to the site to improve audit/ inspection readiness
- Participate and contribute towards organization’s goals and objectives, collaborating with multiple teams and solutions
- Document execution of IT control testing and findings
7
Experience For Audit Compliance SME Resume
- Auditor certification, such as CISA, CISM, CISSP, CRISC, IIA or CQA, or equivalent professional certification and/or training
- Responsible for conducting balance sheet reviews within Finance team to ensure adherence to internal processes and SOX compliance
- Play a key role in supporting other colleagues in any systems/project implementation
- Work with sales teams to define and price service-related proposals
- Accept accountability and ownership for desired results
- Work independently and with local/remote teams
8
Experience For Senior Analyst, Audit & Compliance Resume
- Team player, but able to work autonomously
- Audit readiness and compliance to contractual requirements
- IBM and client security documents (such as: ITCS104, GSD331, ISeC)
- Security self-assessment workbooks with particular focus on process control points, execution of primary controls and artifact creation and retention
- Assist the AVC and Controller in the liaison role between the Boulder campus and CU System Internal Audit in managing the campus response on newly issued reports and formal follow-up to previously issued audit reports as applicable
- Coordinate with management in other campus departments, such as the offices of Financial Aid, Contracts and Grants, Research Integrity, Athletics Compliance, and Budget to identify systemic compliance issues that require further internal review
- Work closely with Bursar, Registrar, Financial Aid, Budget, Office of Contracts and Grants, Athletics, academic units and other campus departments to ensure compliance priorities are met within a rapidly changing, complex, and competitive environment
9
Experience For Control, Audit & Compliance Manager Resume
- Advise and assist with annual IT security risk assessment activities and required remediation based on chosen standard(s) across applicable SAS teams and divisions
- Very good command in English, good French
- Experience in an IT Audit role in a corporate Internal Audit department, professional services or consulting or within a related industry,
- 3 – 5 years’ experience working in a compliance area, coordinating audit documentation
- Conduct risk assessments to determine risks to be included in the annual audit plan
- Operate as a consultant, researching and recommending changes to enhance or streamline quality and information security procedures, including internal and external auditing
10
Experience For Director, Internal Audit & Compliance Resume
- Help maintain the Quality Management System, including hosting IT and security policy and process development and updates, while ensuring compliance with regulatory regulations and guidances
- Effectively communicate, facilitate, present, and train both technical and non-technical small and large audiences, regarding hosting and security requirements and procedures
- Knowledge and experience with best practices /standards: ITIL, COBIT, GAMP5, or ISO 27001
- MS or MBA in Computer Science, Information System Management, or Information Assurance
- Navigate through ambiguity, manage and coordinate multiple project assignments and manage multiple teams simultaneously in a fast-paced, deadline-driven environment
- Have understanding of core operational processes and risk mitigation concepts (i.e. risks/controls, Nielsen’s infrastructure/core applications, internal auditing processes, market structure, etc.)
- Assist with development and implementation of corporate compliance procedures, and controls.
- Focuses on the Customer by understanding the business from the customer’s perspective and by keeping in regular contact with customers to understand business priorities and issues
- Report findings and recommendations to client’s management as required
List of Typical Skills For an Audit Compliance Resume
1
Skills For Audit & Compliance Specialist Resume
- Multi-tasking: Capable of managing several tasks, projects and client deliverables effectively, efficiently and on time, with accuracy to details and tasks
- Working experience in related fields
- Ensure sharing of good practices and improvements opportunities
- Experience with matrix management and leading through influence
- IT hosting experience
- Significant experience in an accounting or audit role at a senior level
- Experience working in diverse IT systems
2
Skills For Audit & Compliance Analyst Resume
- Experience with PCI and system security
- Contribute to the System Effectiveness Review for Audit & Inspection Management
- Developing a comprehensive, in-depth understanding of GE Capital's businesses, regulatory requirements and Compliance management processes on a global basis
- Executing audits of critical Compliance regulations within Europe / EU requirements including AML / Sanctions
- Understanding of IT processes and commonly used operation systems, databases, network structures
- Monitors changes to process documentation including risk monitoring
- An understanding of rail transportation or logistics industry accounting concepts would be considered as an asset
3
Skills For Internal Audit Compliance Manager Resume
- Ensure reporting of added value and benefits coming from his/ her activities and continuous improvement initiatives
- Familiar with IT or similar auditing process
- Awareness of various regulatory agencies that govern the banking industry
- We offer a formal and informal training for specific job/technology needs
- Proactively identifies gaps or conflicts in existing processes and works to develop solutions
4
Skills For Manager, IT Audit & Compliance Resume
- Assists with the education and training of process owners within the CHS IS policy and standards framework
- Performs technology controls testing and reports results management
- Superior analytical, interpretative, evaluative and developmental thinking
- In-depth knowledge of software applications including SAP, Business Warehouse, Excel, Word and PowerPoint
- Plan & organize work independently after understanding objectives
- Problem solving and process improvement ability
- Graduation from an accredited college or university with a major in business, public administration, accounting, or closely related field
- Highly adaptable, able to work in a changing environment
5
Skills For IT Audit / Compliance Analyst Resume
- Assist with maintaining a library of up to date standard audit programs and checklists
- Identifies client program optimization opportunities by working with the client and other internal stakeholders
- Develops a thorough understanding of the 340B program. Strives to consistently improve the overall efficiency and marketability of the 340b complete program
- Provide a compliance status of the site to the management to support their decision making process
- Ensure that audits are performed at the highest level of quality and conducted efficiently, maximizing team productivity
- Excels in the following competencies
- Familiar with internal auditing standards and techniques, fundamental IT General Controls and best practices
6
Skills For PFS Audit & Compliance Resume
- Manages people for projects involving department or cross-functional teams focused on the delivery of projects and/or programs into a finished state
- Monitors the project from initiation through delivery, interfacing with customers, clients or department personnel
- Customer service-minded individual with an eye for detail and a desire to work as a team player
- Organized and possess the ability to multi-task
- We have a comprehensive benefits package (health insurance, vision, dental insurance and more)
- Provides oversight and serves as a resource to the Internal Auditor. Ensures that audits are conducted with contemporary tools, completed in a timely manner and that results are reported in a detailed, professional manner
- Develops and manages annual audit plan with input from appropriate boards and committees. Makes recommendations to adjust plan based upon organizational priorities
7
Skills For Audit Compliance SME Resume
- Responsible for the annual compliance plan, and serves as the primary consultant for compliance inquiries. Develops and implements corrective action plans and provides general guidance
- Creates and ensures delivery of robust corporate compliance training and orientation programs for all employees, volunteers and other persons associated with the system. Updates education based on internal or external developments
- Works with the CFO and Audit Committee Chair to establish the Audit Committee calendar and meeting agendas. Prepares and distributes meeting material and presents oral and written reports on internal audit activities, corrective actions, risk exposure and other pertinent issues
- IT or information security experience
- Recent experience with information technology and security, internal & external audits of HIPAA,
- Solid and broad knowledge about compliance related frameworks and requirements, e.g. from OSC, 52-109, ITAR and Data Protection
- Assists process owners in the preparation and on-going maintenance of process documentation (policies, procedures, narratives, control matrices)
- Creates, promotes, and maintains policies and procedures for the general operation of the compliance and audit program, and related activities
8
Skills For Senior Analyst, Audit & Compliance Resume
- Serves as the Concord Hospital Compliance representative for the ACO, Granite Health Network, and other relevant organizations and initiatives, and participates in tasks associated with those roles
- Recruits, retains and develops staff and manages performance
- Participates in outside healthcare compliance and audit organizations to stay abreast of developments and best practices within the industry
- Perform general computer and application controls reviews in accordance with GAO’s FISCAM methodology
- Performs operational control tasks to ensure compliance with Information Systems controls
- Communicates potential control gaps to management and coordinate cross functional team meetings to remediate and close control gaps
9
Skills For Control, Audit & Compliance Manager Resume
- Coordinates work assignments with process owners and internal audit staff as necessary
- Assists with remediation of deficiencies
- Drives process improvements initiatives
- This role involves frequent usage of a telephone, PC and standard monitors
- Support audits outside of region but with area of expertise
- Six Sigma or Lean Six Sigma
- In-depth knowledge of Sarbanes Oxley
10
Skills For Director, Internal Audit & Compliance Resume
- Experience formulating, affecting, interpreting and implementing policies and processes to ensure a strong control environment and particularly in a procurement and supply chain environment
- Good interpersonal skills and ability to communicate, influence, and negotiate effectively with internal and external stakeholders to manage any conflicting opinions
- Excellent written and oral communication skills in both official languages
- Achieve multiple deadlines
- High proficiency in Excel, Power point, and Word
- At least three years of progressively responsible experience in financial auditing, internal controls, risk management, and/or IT assurance services in the private or public agency sectors.
List of Typical Responsibilities For an Audit Compliance Resume
1
Responsibilities For Audit & Compliance Specialist Resume
- Technical writing skills to prepare the required process and policy documentation based on discussions with subject matter experts
- Develop effective documentation relating to Transfer Price with Tax in accordance with European requirements
- Good level of assertivity
- Experience in data protection and privacy compliance and risk management
- Solve complex accounting and compliance policy issues, giving consideration to financial and reporting implications
- Support Compliance Manager in day-to-day tasks including collecting and reporting on inventory count metrics and deliver on any ad-hoc requests
2
Responsibilities For Audit & Compliance Analyst Resume
- Directs and develops a risk-based annual internal audit plan and budget for evaluating the effectiveness of controls in place to manage significant financial reporting and other risk exposures, safeguard company assets, and compliance with laws and regulations
- Regularly evaluates departments/divisions and project/country offices of the organization to determine if they are performing in compliance with recommended processes, procedures and business controls
- Suggests new initiatives, controls, and procedures to ensure good business practices are in place. Leads internal investigation functions and preparation of notifications to the required regulators
- Ensures internal audit and compliance training programs for management and staff are established and regularly updated
- Works with multiple country finance and operations departments and generates “best practices” for internal audit projects. Leverages support and buy-in for major initiatives
- Executes the department’s operational plan and is responsible for the performance and goal achievement of the group
- Demonstrated experience working with regulatory requirements and standards (PCI-DSS, SOC 2, BSI, GDPR etc.) and frameworks (ISO 27000, COBIT, ITIL, NIST, ISF, OWASP, etc.)
- Make sure that there is Service Level Agreement in place for European recharge between countries within RSD Europe
3
Responsibilities For Internal Audit Compliance Manager Resume
- Recommend solutions and remediation for any tax compliance issues
- Ad hoc survey or reports related to Finance processes
- Audit & Compliance Responsibilities
- Support, plan, and coordinate the Internal and External audit and compliance exercises for BMO TF IT Operations
- Provide consultation on audit, risk, and internal control guidance
- Facilitate IT Audits and Assessments such as Data Maintenance, Data Governance, Cyber Security, Privileged Access, and Network Security
- Work with Service Delivery, IT Access Management, Infrastructure and Development teams to coordinate Audits; Enforce Compliance standards
4
Responsibilities For Manager, IT Audit & Compliance Resume
- Create risk-based audit programs related to IT process and technologies
- Explore, Adopt and Audit compliance to Industry standards
- Manages the timeline of multiple audits to ensure that all documentation and responses are provided timely to state agencies, lenders, client's auditors, and internal auditors. Escalating concerns to Director, Investor Reporting as needed
- Coordinates the receipt of documentation requests and inquiries from other business areas that are included in the scope of the audits
- Assists in maintaining the company's Debt Compliance program by completing timely updates of required documentation and certification in support of the organizations activities as required by various agreements and amended from time to time
- Works closely with various levels of management and at times the legal department to ensure that compliance expectations relating to mortgage servicing and lending agreements are being met
5
Responsibilities For IT Audit / Compliance Analyst Resume
- Assists the Director, Mortgage Investor Reporting with an ongoing internal control reports program to be proactive in finding any issues that could lead to future audit findings
- 5+years related work experience in internal/external audit, process improvement, finance, accounting or operations
- Proficient in Access,MS Word, Excel and PowerPoint
- Manage the Compliance for PCI, GDPR and SOX throughout the year ensuring that Tory Burch remains compliant with these standards as well as internal policies. Coordinate the collection of information requested during the annual assessments from various departments
- Modify and/or create new policies as needed for new systems or areas of compliance. Perform some internal process audits to ensure polices are being followed as needed
- Provides necessary support needed to the Client for 340B audits by analyzing the data and providing an explanation of the data flow through the various systems. Prepares and Provides adhoc reports as requested by the client. Provide audit support remotely or at client location
6
Responsibilities For PFS Audit & Compliance Resume
- Analyzes & reports using various systems, including but not limited to, Business Objects, Office of Pharmacy Affairs 340B Database and various internal adjudication and reporting platforms
- Uses various data streams, analyzes, and communicates business results and trends that relate to client and program performance
- Develops and fosters working relationships with internal (IT, Stores, Internal Audit, Legal, Sales, , etc.) counterparts to facilitate productive exchanges of information
- Determines process improvement solutions and recommends system enhancements
- Maintains knowledge of the healthcare and pharmacy services industry, continually, and uses that knowledge to identify ways and make recommendations, to improve the 340b program with a focus on client and program compliance
7
Responsibilities For Audit Compliance SME Resume
- (Senior) Internal Auditor – Belgium site: organize and perform internal audits
- Key role in the inspection readiness of the site
- Ensure continuous GMP, Regulatory & Corporate compliance through audits of GMP processes for manufacturing and distribution activities under the responsibility of the Belgian site
- Ensure a strong collaboration with auditors from the Global department (I&TPO auditors) to build and improve the compliance status of the site
- Key role to provide a compliance status of the site to the management to support their decision making process
- Support development of self-inspection auditors
8
Responsibilities For Senior Analyst, Audit & Compliance Resume
- Ensure verification of the efficiency and sustainability of corrective and preventive actions plan linked to observation / non-compliance reported by Authorities
- Present their audits and the audit process during independent audits or regulatory inspections
- Organize and perform transversal GMP audits to ensure continuous GMP, Regulatory & Corporate compliance through audits of GMP processes for manufacturing and distribution activities under the responsibility of the Belgian site
- Ensure that delivered audits are fit-for-purpose
- Ensure implementation of appropriate CAPA’s
- Ensure holistic consideration of risk and business context
9
Responsibilities For Control, Audit & Compliance Manager Resume
- Support the inspection readiness of the site
- Serve as a business partner to enhance risk management
- Serve as a business partner to enhance QMS (Quality Management System) and QRI (Quality and regulatory Intelligence) implementation
- Serve as a business partner to I&TPO auditors
- Remain aware about industry trends, regulatory trends and updates of regulations
- Escalation of non-compliance at the appropriate level
- Promote de use of the Internal Control Framework on the site
10
Responsibilities For Director, Internal Audit & Compliance Resume
- Promote Safety and Quality Culture
- Support the site to develop auditees
- Support continuous improvement of audit & inspection pyramid and associated processes
- Coach and give support to the technicians of the team. Develop them through projects and management of audits
- Ensure continuous improvement and simplification
- Work closely with DCAA, SupShip & other agencies when applicable
- Support SupShip and DCAA Business System Audits
- Expedite answers to questions & document requests of audit agencies
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