Internal Audit VP Resume Sample
Shany Stamm
81029 Schmidt Springs,
Phoenix,
AZ
+1 (555) 255 3895
Work Experience
VP of Internal Audit
02/2016
-
PRESENT
Los Angeles, CA
- Extensive audit experience in capital markets businesses
- Being able to articulate clearly to, and develop relationships with, senior client management
- Contribute to the evaluation of management’s control approach and the control environment in IB Operations and Service Operations
- Audit management experience in operational, financial and IT auditing and familiarity with IT’s role in developing financial systems
- Leading the strategic direction and and oversight of the Audit Department
- Successful delivery of Audit services both financial and operating system processes
- Assures that the Company, management and employees are in compliance with regulatory requirements and Company policies
- Final authority to set and modify Audit policies and practices
- Setting objectives and expectations and provides strategic direction and leadership to the Audit department
VP, Global Internal Audit
03/2012
-
12/2015
Chicago, IL
- Establishing relationships with CLT, board members, executives, and senior management
- Budget management for the overall Audit Department
- Providing comprehensive audit coverage of all in-scope divisions within the Company to assist management in ensuring proper control over financial reporting, the achievement of strategic objectives and the safeguarding of the company assets
- Designing financial and operational audits, testing the operational and design effectiveness of processes, policies and procedures, and internal controls
- Assisting in determining the nature, extent and timing of the audit, its effective execution and the formulation and implementation of remediation plans
- Presenting to the Audit Committee of the Board of Directors
- Coordinating audit efforts with the external auditors to maximize synergies
- Training staff to plan, scope, and perform, internal audits and risk assessments
Internal Audit VP
11/2004
-
09/2011
Phoenix, AZ
- Perform ongoing risk assessment, monitoring and planning through interacting with our key stakeholders
- Plan and perform business audits for Morgan Stanley Indonesia businesses as well as across Asia
- Communicate effectively with Indonesia regulators, board of directors, board of commissioners, management and staff at all levels, both locally and overseas
- Verify the closure of audit issues and actions
- Provide regular updates on audit findings and recommendations to the Bank’s Board of Directors
- Leading the execution of global audits. Specifically focusing on the following
- Analyzing the design of controls around the underlying system architecture in the context of information technology controls such as security, availability and performance and their impact on the business
Education
Dixon University Center (PASSHE)
2000 - 2004
Bachelor's Degree in Accounting
Professional Skills
- Strong technical audit skills, including experience in government contracting, special investigations, and SOX compliance
- Excellent leadership, organizational and superior analytical skills, demonstrated in critical thinking, attention to detail and problem-solving
- Excellent verbal and written communication skills and ability to interface effectively with senior management
- Strong verbal and written communication skills, to effectively present to peers, management and the Audit Committee
- Superior leadership and communication skills with experience presenting at the board of directors and executive officer level
- Experience in a publicly traded company with hands-on SOX experience
- Good communication skills in English and Indonesian
How to write Internal Audit VP Resume
Internal Audit VP role is responsible for leadership, government, training, audit, securities, retail, finance, credit, procurement, auditing.
To write great resume for internal audit vp job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Internal Audit VP Resume
The section contact information is important in your internal audit vp 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 Internal Audit VP Resume
The section work experience is an essential part of your internal audit vp 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 internal audit vp responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular internal audit vp position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Internal Audit VP resume experience can include:
- Support SOX compliance efforts by coordinating with those responsible for maintaining effective internal controls over financial reporting
- Experience developing and executing internal audit plans and enterprise risk assessments for growing multi-national organizations
- Proven record of managing an internal audit function focused on both proactive operational improvement and strengthening the organizational control environment
- Experience successfully leading the internal audit function, including SOX and process improvement, at a publicly traded entity with international locations
- Analyzing the business and technology processes to evaluate the effectiveness of the relevant technology controls
- Validating that system features meet business, technology and regulatory requirements
Education on an Internal Audit VP Resume
Make sure to make education a priority on your internal audit vp resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your internal audit vp 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 Internal Audit VP Resume
When listing skills on your internal audit vp 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 internal audit vp skills:
- Internal Audit methodologies and techniques; experience with risk-based internal auditing and annual planning
- Experience in Risk based Auditing
- Good knowledge of Investment Banking products
- Extensive experience in risk-based auditing or risk/control activities from financial services
- Public and/or Private Accounting experience out of the Financial Services industry
- Excellent understanding of the Institute of Internal Auditors (IIA) guidelines and ability to comply with IIA standards
List of Typical Experience For an Internal Audit VP Resume
1
Experience For VP of Internal Audit Resume
- Travel to divisions, regional offices and field locations to secure a solid understanding of ascena’s businesses throughout the United States
- Database design, setup and administration (DBA) experience with Sybase, Oracle, or UDB, No-SQL Platforms
- Assisting with executing other aspects of the department’s Quality Assurance Improvement Program
- Performing thematic reviews of other aspects of the department’s work
- Manage ad hoc reporting requests and supports M&A activity
- Prepare Audit Committee and other Board materials regarding status of SOX certification program, audit results and findings, and other accomplishments / topics
- Cloud based infrastructure (Windows, UNIX, storage)
- System and security administration and configuration of servers and desktops, UNIX, Windows, Directory services, etc
- Improve processes to optimize the efficiency and effectiveness with which assurance work is executed, by undertaking quality assurance reviews, driving audit skills training and maintaining audit methodology and policy
2
Experience For VP, Global Internal Audit Resume
- Be the clearing house for methodology-related initiatives through partnership and collaboration with other IA department working groups/initiatives
- Maintain IA’s policies, procedures, and guidance documents, working with Central Compliance to ensure IA is in compliance with GS’s Policy on Policy
- Completes annual risk assessment to set the audit plan and update risk assessment as needed throughout year
- Communicates audit plan and resource requirements to the Chief Audit Executive and Audit Committee for approval and ensures adequate resources are available to complete the audit plan
- Identifies, analyzes and recommends changes to core business processes to minimize risk and prepares follow up plans to ensure recommendations are addressed
- Interprets changes in the regulatory environment or industry frameworks and provide recommendations to meet those requirements and improve business processes
- Manages and serves as the main point of contact and ensures that assistance to external auditors and regulators is provided timely and as required; responds to requests from U.S. Regulators such as the OCC
- Works with Procurement to ensure external audit contracts meet regulatory and firm requirements and are sufficient in scope to address key stakeholder expectations
3
Experience For Senior VP of Internal Audit Resume
- Works with Information Security and other risk management groups to ensure proper vendor due diligence is done prior to working with outside audit firms and annually thereafter
- Define the structure and create the template for ascena’s policies and procedures to effectively comply with the provisions of The Sarbanes-Oxley Act of 2002
- Design, develop, implement and direct ascena’s annual audit cycle
- Compliance requirements and changes, effectiveness of internal controls, and other germane financial and accounting issues with ascena’s senior financial management team
- Ensure that the Internal Audit Group is current on all events pertinent to ascena’s future including analyst reports, the Company’s operating agenda and its relationship to the Audit Plan, and news on ascena and its competitors
- Lead an external team that analyzes and evaluates the performance of the Company’s financial, operational, and managerial processes systems to identify risks, areas for improvement, and to ensure that the Company complies with all relevant regulations, laws, and standards
- Hands-on and able to work independently in projects, with limited supervision and demonstrate good project management capabilities to meet specified timelines
- Ensure a sound risk management and effective internal control environment is in place
- Drive governance and compliance initiatives across various functions
4
Experience For VP, Trust Internal Audit Resume
- Plan and execute audit assignments to ascertain the operational effectiveness and efficiency of business processes and the adequacy of internal controls, including development of audit work programs
- Engage with the Audit Committee, line management and make practical and value-added recommendations, and follow up on audit findings to ensure adequacy and timeliness of corrective actions
- Perform ad-hoc projects, including specific initiatives within specified timelines as assigned by executive management
- Prepare and review final draft of reports based on audit work performed, for review by executive management, on a project basis or periodically, depending on established requirements
- Several years of internal audit experience (with exposure to financial auditing), preferably additional experience in a Big 4 or Internal Audit Department of an established large corporation
- Confident, able to conduct interviews single-handedly with peers, as well as, with senior level management
- Willingness to travel (<30%), if required
- Work closely with the Company's external auditors, including coordinating the annual risk based audit plan and Sarbanes -- Oxley ("SOX") initiatives with the objective of increasing the effectiveness of the audit function
- Plan, organize and execute audits that support organizational goals and objectives, evaluate operations' effectiveness, financial reliability and compliance with policies, procedures and regulations
5
Experience For Internal Audit, Technology, VP Resume
- Oversee tracking and reporting of audit findings through a follow-up process that monitors appropriate management remediation or management acceptance of the risk if no action is being taken to mitigate or remediate
- Monitor and direct action regarding any whistleblower calls
- Stay abreast of the regulatory environment as it applies to the Company
- Perform special examinations, reviews or investigations at the request of the Senior Leadership Team and/or Audit Committee
- Develop the annual internal audit plan based on the comprehensive annual risk assessment for review and approval by the Company’s Audit Committee
6
Experience For Internal Audit, Audit Practices Group, VP Resume
- Direct the activities of Internal Audit department to ensure the execution and completion of the annual audit plan, to include developing internal audit scope, developing audit programs, performing internal audit procedures, and preparing internal audit reports reflecting the results of the work performed
- Recruit, mentor and train audit staff in proper internal audit techniques and the COSO control framework
- Work with the Director of Controls and Compliance to ensure that controls for the Company’s Sarbanes Oxley (SOX) program are appropriately identified
- Foster a relationship with the External Auditor to maintain a control reliance strategy for SOX and Physical Inventory Observations
- Perform investigations, special reviews and other ad hoc projects as requested by management and the Audit Committee
- Develop an Internal Audit function capable of designing and managing a variety of financial and information technology audits of company-wide global operations and selected business operations with an emphasis on internal controls, operating efficiencies and compliance with government regulations and corporate policies
7
Experience For Internal Audit, IMD Tech, VP Resume
- Develop, prepare and present an annual entity-wide risk assessment to the Audit Committee that identifies Knoll’s key business and financial risks and the adequacy of the processes and controls to address such risks
- Interact effectively with all levels of management and the Board of Directors
- Present quarterly internal audit updates to the Audit Committee
- Identify, engage and manage external resources to execute annual entity-wide risk assessment and annual internal audit plan. Determine appropriate use of external and internal resources to achieve internal audit goals, and proactively mitigate identified risks by leading and partnering with business team members
- Identify opportunities to strengthen financial controls and improve operational efficiency and productivity
- Develop and maintain relationships with key business partners including exercising critical thinking and judgment to effectively influence senior business leaders
- Manage, coach and train audit staff
- Create best practice audit strategies, practices and documentation
- Evaluate the design of internal control activities, maintain and update key controls, ensure SOX documentation reflects a high level of quality
8
Experience For Assistant VP IT Infrastructure Internal Audit Resume
- Develop and execute an effective and efficient transition plan to bring the internal audit function to a co-source model from the current third party service provider
- Identify owners for multi-functional processes and support process owners with drafting process documentation and control language
- Administer the scope of SOX implementation and recommend changes as needed
- Partner in the Company’s enterprise risk assessment process to identify, categorize and mitigate key financial, reputational and business risks
- Coordinate with regional CFOs and controllers, along with functional leaders to assess financial and operational risks, plan audits and make recommendations for process improvements
- Coordinate with IT on the design, implementation and evaluation of IT general and automated system controls and configurations
- Communicate and coordinate between departments to influence change management, problem resolution and appropriate testing before new initiatives are implemented
- Identify opportunities for training sessions to improve staff members’ understanding of key processes and their impacts to various Finance groups
9
Experience For Internal Audit VP-wealth Management Resume
- Act as the key point of contact for the company’s external auditors on all internal control related matters, including evaluation and resolution of identified control deficiencies
- Solid communication, leadership, and interpersonal skills
- Experience in a variety of financial roles
- Develop and execute the annual internal audit plan, consistent the priorities identified through the Enterprise Risk Assessment Process
- Manage an internal audit staff of between 8-10 professionals and interns, along with outside service providers as required
- Proactively identify areas of process improvement and work with Vivint management to implement these improvements
- Lead the Company’s quarterly/annual SOX 404 compliance program
10
Experience For Assistant VP of Internal Audit Resume
- Provide assistance to the Company’s external auditors
- Act as executive interface between interface between the Internal Audit Department, process owners and Vivint management
- Provide regular updates on internal audit activities to the Company’s Audit Committee
- Manage and grow a results-driven team
- Assist management in developing and refining its enterprise risk assessment and based on that assessment develop the Audit Plan for approval by the Audit & Finance Committee
- Communicate the results of the Internal Audit’s activities to the Audit & Finance Committee and executive management
- Provide assistance to the Company’s independent public accountant in completion of the annual audit and quarterly reviews
List of Typical Skills For an Internal Audit VP Resume
1
Skills For VP of Internal Audit Resume
- Excellent written and oral communication skills, including strong report writing capabilities
- Competent presentation skills meeting the needs of all levels within the organization up to and including the executive management team
- Experience with financial accounting and reporting systems
- Experience building and leading teams of financial professionals through periods of change
- Experience managing external and internal resources simultaneously
- Managerial audit experience in an internal audit department of a publicly-traded company and/or at a Big 4 or large regional accounting firm
2
Skills For VP, Global Internal Audit Resume
- Broad financial & operational experience enabling career growth into other financial leadership roles
- Relevant professional experience with international accounting firms or financial institutions
- Develop and maintain effective working relationships with Sr. management
- Experience in evaluating financial processes and controls
- Assist in developing company policies and procedures, to ensure the existence of a strong control environment
- Extensive experience managing a SOX 404 compliance program
3
Skills For Senior VP of Internal Audit Resume
- Credit Card Audit experience
- Previous Audit experience (Financial and Operational)
- Public or private IT audit experience
- In excess of twelve years’ experience in financial services
- Related Audit experience
4
Skills For VP, Trust Internal Audit Resume
- Previous Financial Services and Securities industry experience
- Internal audit experience is required
- Identifying and documenting risk management issues and trends and implementing appropriate corrective action
- Liaising with firm’s external auditors and regulators
- Capable of adapting to new business and control risks, and addressing changing documentation and design requirements
- Proficiency in auditing standards and generally accepted accounting principles and pronouncements, especially related to Healthcare industry
- Comprehensive understanding of internal auditing, GAAP, PCAOB standards, SEC regulations, SOX, COSO
- Play a leadership role in Finance culture initiatives such as mentoring, career pathing and talent development
5
Skills For Internal Audit, Technology, VP Resume
- Compliance and Regulatory background out of Public Accounting or Private Audit
- Provide internal control leadership and support on decisions impacting the internal control environment of the Company
- Administer the testing of the Company’s SOX program
- Deep awareness and understanding of the SOX control environment
- Lead the Company’s Enterprise Risk Assessment program, including recommendation of solutions
- Partner with Vivint management to implement recommendations resulting from internal audits
- Detailed understanding of SOX 404 requirements
- CPA, ACA, CFA, CIA, CISA or similar certification
- Proven ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
6
Skills For Internal Audit, Audit Practices Group, VP Resume
- Build trusting and open relationships with clients on each audit and develop on-going relationships with key clients
- Advanced concepts, practices and procedures of financial and operational auditing
- Comprehensive understanding of the Institute of Internal Auditors (IIA) guidelines and ability to comply with IIA standards
- Work independently in a leadership role in a team environment
- Demonstrated leadership skills including the ability to influence and unite people around common objectives, and thereby overcome individual differences to produce exceptional results
7
Skills For Internal Audit, IMD Tech, VP Resume
- Superior management skills including the ability to plan, execute and monitor activities that lead to attaining business objectives while using the appropriate resources (financial, material, administrative, and human), with sound management costs to deliver exceptional results
- Proven ability to work successfully in a collaborative manner as an integrated member of the management team
- Good knowledge of capital market regulations in Indonesia
- Strong understanding of financial instruments, investment management and sales and trading processes and risks
- Experience in public accounting, and/or internal audit for a multi-national public company, with at least five years in an audit management role
- Progressive internal audit experience is required
- Cultivate relations with customers and external partners, to identify their needs, and respond to them in an appropriate manner
8
Skills For Assistant VP IT Infrastructure Internal Audit Resume
- Work under tight time constraints, handle sensitive data and multi-task so that deadlines are met
- Apply a risk based approach to the audit of the company’s activities based on the results of the Internal Audit risk assessment process
- Ensure continuous refinement and improvement to maintain the Company’s Sox Processes relevancy to Company and business operations as well as industry standards
- Maintain an effective and comprehensive understanding of risks and controls as it pertains to the existing organization and in consideration of the Company’s strategic initiatives
- Progressive accounting, audit and/or finance, or other relevant work experience in fortune 500 size companies
9
Skills For Internal Audit VP-wealth Management Resume
- Supervisory experience of comparable or larger sized audit groups required
- Medical Device experience highly desirable
- Assist in the oversight of the Company’s anti-fraud program and risk management policies as requested by the Audit Committee
- Supervise and direct Audit professionals
- Work independently, with limited required direction and guidance, and provide appropriate departmental direction
- A team player with ability to work independently
10
Skills For Assistant VP of Internal Audit Resume
- Thorough in work, attention to detail and uncompromised in quality
- Extensive experience in financial services industry or in an audit role, with advanced knowledge of investment management, sales, trading, operations, risk management, finance, legal, and compliance activities
- Cybersecurity control design, implementation, and testing as well as broader Information Security and Risk assessment principles
- Business Continuity Planning and Disaster Recovery design and implementation
- Demonstrated leadership skills including the ability to influence and unite people around common objectives, and thereby overcome individual differences in order to produce exceptional results
- Excellent oral, written, and interpersonal skills with the ability to interact effectively with all levels of staff
- Professional Certification (CIA, CPA , or equivalent)
List of Typical Responsibilities For an Internal Audit VP Resume
1
Responsibilities For VP of Internal Audit Resume
- Lead, plan, execute and document audits with limited supervision and to a high standard in accordance with department and professional standards and ensure audits are completed timely and within allocated budget
- Partner with colleagues, clients and control community members to evaluate, test and report on the adequacy and effectiveness of the control environment. Analyse risks and proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified
- Proactively communicate audit results and audit findings in a clear and concise manner, both verbally and in writing, and use judgment to provide an overall opinion on the control environment
- Identify and follow up on specific audit issues and ensure appropriate involvement with significant development efforts or projects. In this capacity members of the team are often asked to join the control forums to present audit findings
- Enthusiastic, self-motivated, effective under pressure and willing to take personal responsibility/ accountability
- Flexible and adaptable to dynamically changing work environments, including travel (upto 20%) where necessary
- Communicate the results of the Internal Audit's activities to the Audit & Finance Committee and executive management
2
Responsibilities For VP, Global Internal Audit Resume
- Provide assistance to the Company's independent public accountant in completion of the annual audit and quarterly reviews
- 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
- Demonstrated ability to communicate effectively with all levels of the organization, including experience interacting with Audit Committees and external audit firms
- Adapt to change, and manage multiple simultaneous priorities
- Software defined infrastructure
- Internal Audit background
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