Auditor, Compliance Resume Sample

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Mandy Satterfield
245 Rosenbaum Mall,  Philadelphia, PA
+1 (555) 495 7513

Work Experience

Senior Auditor, Receipting Compliance
03/2017 - PRESENT
New York, NY
  • Skills: Proficient with Microsoft Office suite. detail oriented. strong written and verbal communication skills. analytical, positive attitude, and highly motivated
  • Actively supports and drives the Internal Audit Transformation Program and IA’s and management’s efforts for Citi to have a “Strong” internal audit function and for Citi to have “Strong” control functions
  • Monitor changes in requirements to mitigate risks and achieve compliance
  • Provides superior customer service, positively effects interactions with external and internal guests and team members, and has the resiliency to deal with difficult guests in all types of business conditions and the ability to work harmoniously with coworkers
  • Participate and lead aspects of internal audit activities in assessing the design and operating effectiveness of internal controls including the validation of corrective actions, in accordance with Internal Audit Methodology and budgetary guidelines, covering Institutional Client and Consumer Banking businesses, local operations and control functions
  • Monitor key processes and industry trends and assess the risks in the assigned business through on-going business monitoring, internal audit assessment, escalation of thematic control deficiencies and validation of corrective action against internal audit as well as regulatory raised controls issues
  • Share and develop relevant knowledge within the Asia IA team and across the Compliance and KAMLS CoE to promote consistent independent assurance audit coverage and reporting
  • A strong team player exhibiting initiative and intuitive thinking and the ability to identify potential strategic risks and issues
Compliance Chart Auditor
10/2012 - 02/2017
Detroit, MI
  • Experience in the Financial Service Industry is also desirable
  • Participate in meetings with business auditors and provide input for business led (‘front to back’) audits
  • Develop and maintain broad regulatory knowledge & experience. Stay abreast of business/industry changes and their effect on the team’s audit plan, audit methodology and risk assessments
  • Reviews physician documentation within a patient’s medical record for accuracy in billing codes
  • Execute a robust Audit Plan, by auditable entity, for assigned businesses in accordance with
  • Delivers on time high audit reports and work papers, Internal Audit and Regulatory issue validation and branch examinations feedback, as well as business monitoring and governance committee reporting
  • Supports the Audit Leader or Audit Controller in managing audit activities, for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual plan
  • Performs moderately complex audits related to culture, conduct, and ethics in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions
  • Experience with E/M audits utilizing 95 and 97 guidelines; HEDIS, MRA Audits
Operations & Compliance Internal Auditor
08/2009 - 06/2012
Detroit, MI
  • Three (3) years of experience in professional fee coding/auditing, medical necessity reviews or related work
  • Collaborative Risk Assessment
  • Three (3) years of experience in E/M and/or professional fee coding/auditing, medical necessity reviews or related work
  • Performing audits of compliance to specific conditions imposed in regulatory rulings
  • Assisting regulatory teams with advice on addressing control weaknesses to allow Optus to adhere conditions of any such rulings
  • Assess operational functions to ensure that Optus’ control environment and internal controls are adequate and appropriate to manage the regulatory risks that face the business
  • The Compliance Internal Auditor is responsible for the planning, execution and reporting of audits, including liaison with senior management of Optus and Singtel on audit results


Strayer University - Columbia
2005 - 2009
Bachelor's Degree in Accounting

Professional Skills

  • Job requires sitting and working at a computer for extended periods of time
  • Corporate Accounting and Financial Shared Service Teams
  • Global Internal Audit Team
  • Business Segment Finance Personnel
  • A firm commitment to maintaining the highest professional and ethical standards - and the ability to stand your ground when challenged - are key to succeeding in this role
  • Extensive experience in areas related to banking regulations, Compliance programs, local standards, and internal policies
  • Knowledge of Herbalife’s Sales & Marketing Plan

How to write Auditor, Compliance Resume

Auditor, Compliance role is responsible for design, reporting, auditing, securities, finance, travel, health, microsoft, negotiation, articulate.
To write great resume for auditor, compliance job, your resume must include:

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

Contact Information For Auditor, Compliance Resume

The section contact information is important in your auditor, 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
  • Email
  • Telephone number

Work Experience in Your Auditor, Compliance Resume

The section work experience is an essential part of your auditor, 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 auditor, 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 auditor, compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Auditor, Compliance resume experience can include:

  • Demonstrated critical thinking and exercise auditor judgment
  • Develop and maintain strong relationships with compliance business owners to understand risk within their environment
  • Knowledge of financial services Compliance regulations, standards, and standard business internal policies as they apply to a securities and funds business
  • Intermediate level experience in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • AML local or global certification (desirable)
  • Knowledge of financial services Compliance and AML programs, regulations, standards, and standard business

Education on an Auditor, Compliance Resume

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

When listing skills on your auditor, 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 auditor, compliance skills:

  • Experience in areas related to banking regulations, AML programs, local standards,
  • Four to six years of audit, public accounting or related risk and controls experience
  • Knowledge of internal control /legal/accountancy/manufacturing
  • This principal-level, professional position supports complex auditing activities for Alaska Air Group and its subsidiaries
  • Use data and analytics to support ongoing audit activities
  • 1 – 3 years in Accountancy firms / Private and publicly traded/manufacturing companies / Public sector

List of Typical Skills For an Auditor, Compliance Resume


Skills For Senior Auditor, Receipting Compliance Resume

  • Professional skepticism skill
  • Computer: Word, Excel, PowerPoint
  • Foreign language: English (TOEIC 500)
  • Lead the development and execution of compliance audit plans that identify risks and areas of control improvements
  • Lead and provide risk-insight to cross-functional audits of compliance, financial, operational, and technological processes by assessing risk, and evaluating design and effectiveness of controls
  • Develop and communicate ideas for control improvements to audit leadership and business owners

Skills For Compliance Chart Auditor Resume

  • Review remediation results with business partners to ensure plans have been completed and address identified risks
  • Assess key risks within a continuous audit plan development process by remaining current with industry trends and emerging risks, consulting with internal and external business owners, identifying and assessing risks within the environment
  • Manage and execute special projects as assigned by leadership
  • Demonstrated knowledge and experience in managing projects, including budgeting, planning, scoping, monitoring progress, status reporting, meeting deadlines and reporting results
  • Analyze information, identify root causes and recommend solutions
  • Work with a flexible, results oriented environment
  • External Auditors (PwC)
  • Major: Law, Accountancy

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