Audit Executive Resume Sample

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Velma Grady
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Work Experience

Chief Audit Executive
05/2015 - PRESENT
Dallas, TX
  • Operate effectively and flexibly across virtually all areas of American Express, spanning different technologies, systems, business models, priorities and processes
  • Deliver constructive analysis: identify flaws and explain impact, e.g., answer the question “so what?”
  • Get the facts, be confident in them, and communicate concisely and with conviction
  • Go into already high performing, high quality environments and determine if enhancements/corrections are needed
  • Take the unexplained, understand it and explain it
  • Learn something and teach it to others
  • Participating in campus and UT System Committee meetings as needed,
  • Participating in appropriate professional organizations such as the Institute of Internal Auditors, the Association of College & University Auditors, Association of Certified Fraud Examiners, etc. and
Audit Executive
08/2008 - 12/2014
Philadelphia, PA
  • Conducting professional speaking engagements or writing internal auditing articles, as appropriate
  • Ensuring that external quality assurance review is conducted at least once every three years as required by the Texas Internal Auditing Act, and
  • Conducting on-going quality control and improvement activities to ensure the highest quality audit program
  • Provide strategic and technical leadership for delivery of audit services that support the Audit Committee and executive leadership in carrying out their respective oversight and risk management responsibilities
  • Provide leadership and technical guidance for the company’s compliance with financial reporting regulatory requirements
  • Ensure complete, timely and accurate design and execution of Sarbanes-Oxley testing programs, and serve as liaison and coordinate activities with the company’s external auditors
  • Oversee financial, operations, technology and strategic audits and advisory reviews to enhance risk management processes and practices, strengthen processes and controls, and optimize efficiency
  • Develop risk based audit plans that align with the company’s risk profile, key strategies and priorities, and adjust plans as necessary in response to business or industry/market developments
  • Oversee delivery of investigative services as assigned, with accountability for managing or procuring resources to investigate and report on suspected fraud or serious employee or third party misconduct matters
VP & Chief Audit Executive
04/2004 - 03/2008
San Francisco, CA
  • Identify areas of vulnerability and opportunities to improve business processes and strengthen internal controls
  • Coach and develop professional staff and ensure the audit team is highly engaged and skilled to deliver high quality work
  • Develop strong relationships with key business leaders, providing insight into opportunities to improve risk management, control and compliance
  • Provide thought leadership to senior management to help solve complex issues and challenges in achieving company objectives
  • Oversee advisory engagements including reviews of key business processes, risk management reviews/assessments, and proactive assurance for areas with developing controls
  • Work closely with senior management on strategic priorities that include transformation, operational change, and enhancing risk management
  • Promote a culture of risk and controls awareness and transparency


Keiser University - Tampa Campus
2000 - 2004
Bachelor's Degree in Business Administration

Professional Skills

  • Good communication skills and business writing skills
  • Excellent interpersonal, collaboration, negotiation and leadership skills, and ability to work with business line management
  • Provide on-the-job training for developing auditing skills and familiarity with the firm’s audit methodology
  • Performance auditing experience or program evaluation experience
  • Proficient PC skills for Microsoft Office -- Word, Excel and Outlook
  • Develop the skills and competencies of subordinates through training and development activities
  • Effectively build, motivate and lead a strong audit team

How to write Audit Executive Resume

Audit Executive role is responsible for audit, software, government, auditing, training, microsoft, leadership, travel, finance, refining.
To write great resume for audit executive job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Audit Executive Resume

The section contact information is important in your audit executive 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
  • Email
  • Telephone number

Work Experience in Your Audit Executive Resume

The section work experience is an essential part of your audit executive 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 executive 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 executive position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Audit Executive resume experience can include:

  • Develop and deploy a robust yet simple governance process to ensure risk mitigation plans are effectively implemented and monitored
  • Experience working with and auditing commercially available AML solutions that support transaction monitoring and risk rating functions
  • Experience in working in teams that worked on projects/reviews including interacting with key stakeholders
  • Experience working for a top ten accounting or consulting firm
  • Compliance, risk management or anti-money laundering (AML) experience, including auditing, investigations, risk assessment, or project management
  • Experience in performing and leading AML audits

Education on an Audit Executive Resume

Make sure to make education a priority on your audit executive resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your audit executive 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 Executive Resume

When listing skills on your audit executive 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 executive skills:

  • Committed to acquiring qualifications, gaining new experience and updating skills. Good working knowledge of Lotus Notes and Microsoft Office software
  • First-hand experience of working within a HSES business / functional role. Prior auditing experience is not necessary, nor is a formal accounting qualification
  • Present results using strong presentation - Effective Communication, Oral and Verbal
  • Demonstrable ability to work effectively with internal controls and external auditors in establishing the annual audit plan
  • Able to work effectively as part of a team to deliver to tight deadlines
  • A good understanding of systems auditing, coupled with a broad knowledge of IT risks. Existing knowledge of ISO27001 would be useful

List of Typical Experience For an Audit Executive Resume


Experience For Chief Audit Executive Resume

  • Experience in Risk Based Audit
  • Experience of audit in a regulated environment
  • The ability to provide effective oral and written communication that can be both technical and persuasive
  • Supervisory, Management and/or Team Leadership experience
  • Establishes appropriate policies and procedures for office and auditing activities,
  • The ability to listen during conversation and extract important information
  • Develop potential solutions and helps build consensus for change among senior leaders

Experience For Internal Audit Executive Resume

  • Interface with the Audit Committee of the Board of Directors
  • Create and implements a risk-based annual audit plan to provide an independent assessment of the quality of the Corporation’s internal controls and business processes
  • Communicate the plan, engagement results, risk trends, and proposed changes to the annual plan to the Audit Committee
  • Lead or assist with investigation of suspected irregular financial activities and provide findings to Senior Management and the Audit Committee, if required
  • Execution of Xerox’s Internal Audit processes
  • Evaluate significant functions, locations, new or changing services, processes, operations and systems during their development, implementation, and/or expansion
  • Conduct independent reviews and issues rated audit reports that assess the quality of controls and makes recommendations for improvement with a particular focus on financial, operational and information technology/information security

Experience For VP & Chief Audit Executive Resume

  • Lead a co-sourced internal audit department including staff acquisition, development and performance monitoring
  • Coordination of Xerox’s Enterprise Risk Management (ERM) function
  • Work with the Enterprise Risk Management Steering Committee to identify and evaluate key risks across the company encompassing strategic, operational, financial and regulatory areas
  • 4) To ensure effective follow up of issues in a timely manner
  • Previous experience in either an external audit or an internal audit environment is preferable
  • Communicate with the Board of Directors regarding ERM activities
  • 3) To manage the conduct of fieldwork and draft reports
  • 5) To assist in the preparation of reports for audit committee or executive management

Experience For AML Audit Executive Resume

  • Excellent communication skills. This involves, in part, a persuasive consultancy role with clients and, in part, an ability to write high quality (and also high profile) reports which provide balanced, concise and authoritative judgements. These reports are made available to senior management, including the firm’s Audit Committee
  • Able to work under pressure, on own initiative and as part of a team
  • Direct the execution of the Ameriprise Financial audit plan and Sarbanes- Oxley compliance efforts. Manages Audit Committee agendas, materials and requirements, ensuring all responsibilities outlined in the Audit Committee’s Charter are fully executed in an appropriate manner
  • Reviews the results of Internal Audit activities, including the scope of internal audits, discussion of significant findings, and management’s response with the Audit Committee, senior executives and management
  • Build and strengthen trust and relationships and serve as a trusted strategic partner to RO/NO key stakeholders, primarily the ARC/BOT and including the SAP Regional Audit Director, WVDF National Director, members of the Leadership Team, operational managers, partners and other stakeholders by providing timely advice and guidance on
  • The implementation of strategy, risk management, governance and internal controls
  • The adequacy of internal controls to mitigate significant risk to the national office and the partnership
  • Provide overall leadership in the execution of the annual RBIA plan ensuring conformance with GIA Quality Assurance Standards and audit metrics and the Institute of Internal Auditors International Professional Practices Framework and Code of Ethics for every engagement conducted in collaboration with business owners/stakeholders

Experience For Audit Executive / Assistant Manager Resume

  • Direct the preparation and review of ARC/BOT quarterly meeting materials; communicate the results of audits through written reports and oral presentations to management, the ARC/BOT and the RAD, as necessary
  • Coordinate with strategic leadership team any and all partnership standards pertaining to Internal Audit and other related Partnership initiatives and provide appropriate technical advice and viable recommendations for input to National Director and/or WVDF Board as basis for decision making
  • Promote and support organizational synergy through healthy and productive partnerships with other divisions, departments and units of World Vision Development Foundation, including its ministry partners
  • Represent the Internal Audit Services function at management and Board meetings and with oversight agencies and other external organizations, as well as in any local and international conferences requiring his presence and update the organization and direct reports on the relevance and impact of his/her attendance to these meetings/conferences
  • Develop and maintain a quality assurance and improvement program (QAIP) in coordination with the Regional Audit Director based on IIA Standards that cover all aspects of the internal audit function; researches audit tools and leading audit practices
  • Strategically manage the performance of Internal Audit and direct reports using effective tools and defined HR performance management systems and processes
  • Experience in a Big 4 public accounting environment
  • Assist management in developing processes in responding to significant risks
  • Provide independent assurance and consulting services by

Experience For Chief Audit Executive Sbna Resume

  • Provide consulting services to facilitate improved risk management practices at the institution
  • Developing with input from the Institution President and the Institutional Audit Committee an annual audit plan based upon an accepted risk assessment methodology and approved by the Institutional Audit Committee and by the Audit, Compliance and Management Review Committee of the Board of Regents
  • Managing the timely accomplishment of the audit plan and monitoring progress based upon the Institute of Internal Auditors International Professional Practices Framework
  • Serve and supervise staff on significant work groups on campus
  • Serve as an active member of the executive leadership team of the institution
  • Serve on committees and provide guidance on significant change activities of the institution that impact risk
  • Facilitate the appropriate approach to an Enterprise Risk Management (ERM) model and strategy with management
  • Conduct investigations of suspected fraud or similar activities
  • Responsible for preparing status of activities and presenting to the UT System Audit Office, Institution President, the Internal Audit Committee, and institutional management as needed by

Experience For Institutional Chief Audit Executive Resume

  • Maintain a position as a trusted advisor and provide value added services to the institution by
  • Meeting with the President and senior management to nurture an effective working relationship with institutional management as appropriate to maintain a flow of communication
  • Ensure resources are adequate and sustained to address campus risks by
  • Coordinates with other internal and external providers of assurance and audit services to ensure appropriate coverage and minimize duplication of effort
  • Participate in outreach and external involvement to further promote the audit function and the profession by
  • Establish and maintain an active and continuous quality control and improvement program which includes, but is not limited to
  • Provide administrative oversight for office operations that
  • Ensures office budgets and accounts are appropriately maintained, and

Experience For Audit Executive, Internal Audit Resume

  • Conducts annual employee performance evaluations
  • Direct and provide assistance on projects that have systemwide implications
  • Certifications: Certified Internal Auditor or Certified Public Accountant
  • Direct and provide assistance on projects that have system-wide implications
  • Implement a “best in class” approach to risk assessment, audit process development, utilization of automated audit tools, and the development and training of audit staff
  • Develops the annual, risk-based audit plan to ensure that critical and high-risk areas receive proper audit coverage, and that the plan is appropriately risk-based. Reviews the plan with the Audit Committee for review and approval
  • Hires, guides, leads, and maintains a sufficient number of professional audit staff with the knowledge, skills, experience, and professional certifications necessary to maintain a credible and respected internal audit function
  • Directs and oversees 3rd parties that provide outsourced audit services
  • Oversees the internal audit program to help ensure the adequacy of financial controls, operational controls, IT controls, regulatory compliance and compliance with bank policies

Experience For Executive Assistant to the Chief Audit Executive Resume

  • Coordinates audit activities with other control and monitoring functions (i.e., loan review, risk management, AML compliance, information security, and regulatory compliance)
  • Participates on the project team for Sarbanes-Oxley compliance. Responsible for oversight of independent testing of key financial controls. Coordinates testing plans and results with external auditors
  • Approves audit plans as needed prior to beginning field work
  • Reviews draft audit reports prior to issuance to department management
  • Issues quarterly reports to the Audit Committee summarizing the results of the audit activities and status of the annual audit plan
  • Establishes and maintains a quality assurance program to evaluate internal audit operations and performance, and compliance with IIA Standards
  • Ensures that written policies and procedures are current and available to guide the audit staff
  • Pursues the timely correction of high- and moderate-risk audit issues

Experience For SVP, Chief Audit Executive Resume

  • Communicates the status of open high-risk and moderate-risk audit issues to the Audit Committee
  • Provides highlights of key audit issues and trends to the Board as part of Board Dashboard reports
  • Performs special audits when requested by the Audit Committee or Senior Management, including the investigation of significant suspected fraudulent activities and insider abuse
  • Identifies the need for and contract with outside services when high risk or unique audit areas are identified which can not be staffed internally
  • Oversees the department's risk assessment process
  • Provides support to the Audit Committee to ensure it meets its responsibilities and activities as defined in its charter

List of Typical Skills For an Audit Executive Resume


Skills For Chief Audit Executive Resume

  • Experience following professional auditing standards
  • Experience coordinating projects involving multiple participants
  • Experience using audit software; i.e. TeamMate
  • Exercise good judgment, tact and leadership to successfully manage multiple ongoing audit projects
  • Experience with a broad knowledge of finance, operations, accounting, securities and internal controls
  • Experience in relating with Boards/Board Committees

Skills For Internal Audit Executive Resume

  • Experienced and successful professional services/audit/consulting background
  • Experience working in a project environment with top 100 banks
  • Experience working with commercially available AML solutions
  • Establish good working relationships with clients and colleagues
  • Demonstrated knowledge of internal control and risk identification
  • Skilled in use of Audit automation software
  • Administrative support experience, at least 3 or more of which have included support of senior level executives
  • Willing to travel as necessary to alternate OST locations as well as occasional out-of-state travel by air

Skills For VP & Chief Audit Executive Resume

  • Identifying gaps in controls and potential implications for discussion within the Internal Audit team and wider stakeholders
  • Recommending control mechanisms
  • Providing verbal and/or written communications of audit findings and recommending improvements based upon results
  • Performing follow-up of corrective action taken by management for recommendations
  • Coordinating external audits and reviews

Skills For AML Audit Executive Resume

  • Providing or assisting with training and awareness activities fostering a control conscious environment on campus; and
  • Preparing Institutional Audit Committee meeting materials in coordination with the Audit Committee Chair
  • Maintaining a close working relationship with the Institutional Audit Committee Chair and other extremal audit committee members
  • Reporting on the status of outstanding recommendations
  • Advising management of emerging risks and new compliance requirements
  • Hiring competent staff and encouraging staff to attain professional certifications, and
  • Providing development and training opportunities to staff
  • Preparing the required UT System and State reports; and
  • Serving on the President’s cabinet of institution management

Skills For Audit Executive / Assistant Manager Resume

  • Develop yourself and others through both seeking and offering on-the-job coaching and knowledge sharing
  • Knowledge of banking industry and banking functions, including regulatory requirements
  • Comprehension of internal auditing standards, generally accepted accounting principles and risk-assessment practices
  • Ambitious with a genuine passion for broadening their knowledge of auditing, risk management and controls around HSES risks
  • Ambitious with a genuine passion for broadening their knowledge of auditing, risk management and controls around business operational risks
  • Interest in broadening their knowledge of auditing, risk management and controls around Regulatory and Compliance risks
  • 2) To conduct planning, fieldwork and draft reporting of audit assignments
  • Identifies and responds appropriately to changes and new issues within the audit, accounting, banking, and regulatory industries

Skills For Chief Audit Executive Sbna Resume

  • Knowledge of risk management principles and risk-based auditing approaches
  • Knowledgeable of strategies for implementing data analytic tools and processes
  • Establishes and maintains professional and collaborative working relationships with all contacts
  • Interpersonal – Relationship Building
  • Highly proficient AML/BSA knowledge in a broad range of banking activities, products, and services
  • General banking compliance knowledge
  • 1)To assist in operational audits applying risk assessment and analysis
  • Conduct internal audits based on the Audit Plan to identify emerging issues, risks and deviations from established controls

Skills For Institutional Chief Audit Executive Resume

  • Develops a training program for the professional audit staff
  • Issue reports to the Audit Committee summarizing audit activities
  • Obtain at least 40 Hours of Continued Professional Education (CPE) Annually
  • Commitment to WVI’s Core Values
  • Experience working with modern, sophisticated, computer-based accounting and financial reporting systems in a large, complex higher education organization in a leadership role
  • Expertise in Internal audit principles, including IIA Audit standards
  • Possesses business acumen and knowledge of business operations and operational risks

Skills For Audit Executive, Internal Audit Resume

  • Knowledgeable of Information technology and Infosecurity terminology, concepts, risks and practices
  • Assimilate and apply new and job related information and apply into practice as needed
  • Proficiency in financial accounting principles and techniques including a deep understanding of management and operational principles related to a large business organization that includes academic, research, and auxiliary units, in order to recognize and evaluate the materiality and significance of deviations from “good business practice.”
  • Work as part of a team acknowledging the special attributes necessary in a dual reporting role
  • Generally accepted accounting and auditing procedures
  • Government auditing standards and procedures
  • Set high goals and standards of performance for self, subordinates and others in the organization
  • Create a goal oriented environment where creativity and imaginative solutions are accepted
  • Insurance / asset management product / market knowledge

Skills For Executive Assistant to the Chief Audit Executive Resume

  • Risk Identification and measurement
  • Knowledge of life and health insurance products
  • Knowledge of MS Office application software (Word, Excel & PowerPoint)
  • Audit Professionalism – Understanding of Audit concepts and methodological application ( planning, business analysis, risk and control evaluation, testing and reporting)
  • Partially or Fully Qualified ACA/ CA/ ACCA (ICAEW, ICAS, Irish Institute or equivalent international qualification) - preferably first time passes
  • ACA/ CA/ ACCA (ICAEW, ICAS, Partially or Fully Qualfied, Irish Institute or equivalent international qualification) - preferably first time passes
  • Experience: Active participation in professional organizations in a leadership role, and/or speaking, or writing articles or active committee participation. Experience in developing and managing enterprise risk management within an organization. Experience in building, training and developing strong audit teams
  • Experience with forensic auditing and ethics investigations required
  • Experience using data analytics tools

Skills For SVP, Chief Audit Executive Resume

  • Supervise the execution of technical audit areas
  • Demonstrate expertise in primary accounting frameworks, related financial reporting matters and applying our Global Audit Methodology to perform engagements in accordance with auditing and assurance standards
  • Gives presentations to the audit committee, Oregon Investment Council (OIC) and other Boards and Committees
  • Contributes to a positive and productive work environment
  • Recognizes, takes into account, and values differences in all employees
  • Provide timely annual performance evaluations
  • Facilitates bi-weekly 1:1 meetings with direct reports
  • Provides regular communication updates to team; and

List of Typical Responsibilities For an Audit Executive Resume


Responsibilities For Chief Audit Executive Resume

  • Identifies and responds appropriately to changes and new risks within the bank that would have an effect on the audit effort
  • Oversees staff assignments and drives employee engagement efforts
  • Analytical with attention to detail but able to propose practical actions
  • Robust and independent mindset with the confidence to raise issues appropriately
  • Potential to lead small teams and manage smaller groups of people
  • Robust and independent mind set with the confidence to raise issues appropriately
  • Handles workforce management issues and conflict in a respectful manner and expects the same of employees

Responsibilities For Internal Audit Executive Resume

  • Strategy implementation review is an added advantage
  • Basic IT Audit and Fraud Investigation
  • Word, PowerPoint, Xcel, Access
  • Assess situations, identify audit issues, and offer relevant recommendations and practical solutions
  • Internships or prior exposure to financial services, accounting/ audit firm or consulting firm OR/AND insurance / asset management company or financial institution or regulation institution
  • Exposure to financial / risk / insurance market related topics

Responsibilities For VP & Chief Audit Executive Resume

  • Certification as a Certified Public Accountant (CPA) or Certified Internal Auditor (CIA)
  • Experience submitting written or oral reports of audit results to senior management and audit committees including findings, analysis, conclusions, and recommended actions
  • Upload a cover letter that describes your experience, education and training related to the desired attributes listed below (no more than three pages in length)
  • Automated working papers
  • Information Systems controls
  • Federal & State regulations

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