Management Audit Resume Sample

19 votes
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Joshuah Gaylord
2783 Lempi Creek,  Phoenix, AZ
+1 (555) 557 5476

Work Experience

Brokerage & Wealth Management Audit Manager
03/2016 - PRESENT
Detroit, MI
  • Comprehensive knowledge of general banking, risk management, and audit practices
  • Demonstrated leadership ability and sound decision making skills
  • Perform continuous audit coverage and relationship management within Wealth Management (including brokerage, investment management, investment products, banking and specialty wealth advisory services)
  • Ensure audits are completed timely and within specified timeframe and budgets
  • Manage/oversee ongoing data updates
  • Schedule audits across and throughout the fiscal year to ensure appropriate resource availability and allocation, including coordination of internal and co-sourced resources to execute audits on-time and within scope and budget
  • Establish, measure and report department performance against key metrics using appropriate tools and techniques
  • Lead the development of the annual departmental operating plan; monitor budget to actual performance; prepare periodic forecasts as required
Asset Management Audit
12/2011 - 10/2015
Chicago, IL
  • Manage changes to annual plan, audit schedule or budget using appropriate cause-of-change analytics
  • Support the annual audit planning and risk assessment processes
  • Maintain and refresh audit methodology; coordinate internal audit quality review process
  • Identify and implement departmental process enhancements and best practice, including standard report language, rapid audit reporting options, rolling audit planning process, etc
  • Coordinate departmental initiatives in a project manager capacity
  • Prepare presentations and reports for Senior Management and the Audit Committee of the Board of Directors
  • Successfully manage the relationship between Management Audit and key stakeholders
  • Review modifications to firm’s standard contracts and engagement letters
Risk Management Audit
10/2007 - 08/2011
Los Angeles, CA
  • Assist in the development of Audit Services’ Mission Statement, Corporate Goals, Audit Committee and regulatory reports. Make recommendations for assigned personnel regarding employment, training, performance ratings, salary changes, promotions, transfers and terminations; resolve personnel problems; and assist in preparing the annual budget
  • Review modifications to firms standard contracts and engagement letters
  • Extensive proven experience in audit, or risk management at a diversified financial institution and/or consultancy with emphasis in financial services
  • Demonstrated knowledge of design, implementation and/or audit of key elements of a large and complex risk management program
  • Demonstrated leadership and team development experience
  • Experience in either practice (external audit) or internal audit within Investment management or banking sector (Custody , Transfer Agency and Fund Administration)
  • Knowledge of Mifid, UCITS and AIFMD regulations


Globe University / Minnesota School of Business
2002 - 2006
Bachelor's Degree in Accounting

Professional Skills

  • Strong written and oral communication skills in English, and interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change
  • Problem solving, analytical skills and attention to details
  • Although it’s not mandatory, a relevant accounting, auditing or industry-related certification is desirable
  • Perform audit work according to professional standards, in an efficient manner and within deadlines
  • Work in autonomy and under limited supervision
  • Basic knowledge of IT and information security notions would be an asset
  • Professional qualifications as certified accountant (CA), certified internal auditor audit (CIA, CFSA) or in Investment Management (eg IMC) and in Securities issued by CISI or CFA Society of UK would be an asset

How to write Management Audit Resume

Management Audit role is responsible for reporting, security, auditing, securities, credit, finance, reliability, analytical, leadership, compliance.
To write great resume for management audit job, your resume must include:

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

Contact Information For Management Audit Resume

The section contact information is important in your management audit resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Management Audit Resume

The section work experience is an essential part of your management audit resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous management audit responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular management audit position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Management Audit resume experience can include:

  • Lead the risk assessment and monitoring activities for the risk management audit team and related horizontal audits
  • Be part of a team of auditors to execute, document, and complete audits timely and within specified timeframe and budgets
  • Develop a strategic risk based multi-year audit plan that is considerate of the full spectrum of Risk Management responsibilities for Capital International
  • Partner with the Corporate Treasury and Market, Liquidity Risk Audit Leader on matters related to market and liquidity risk management as well as the Head of Credit Review on matters related to credit risk management
  • Develop a high performing team of domain experts to execute comprehensive audits across the organization to provide value added and timely assurance on the effectiveness of the firms risk management capabilities
  • Effectively liaise with Capital International's chief risk officers and risk staff function managing continuous risk monitoring; audit planning, reporting and issue management

Education on a Management Audit Resume

Make sure to make education a priority on your management audit resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your management audit experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school

These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Management Audit Resume

When listing skills on your management audit resume, remember always to be honest about your level of ability. Include the Skills section after experience.

Present the most important skills in your resume, there's a list of typical management audit skills:

  • Ensure effective reporting of thematic macro control issues, including root causes
  • Provide advice and credible challenge to internal stakeholders regarding the implications of effective internal control
  • Work experience within the Financial Services Industry
  • Work experience within the Financial Services Industry
  • Work experience within the Financial Services Industry
  • Maintaining subject matter expertise in risk management, including: best practices, regulatory requirements and key control processes

List of Typical Skills For a Management Audit Resume


Skills For Brokerage & Wealth Management Audit Manager Resume

  • Ensure timely completion and execution of the annual audit plan, leveraging the expertise within your team and resources in local internal audit teams or elsewhere within GE Capital Audit
  • Oversee a process of continuous risk assessment to ensure audit resources are effectively and efficiently deployed against key and emerging risks. Maintain a program of continuous business monitoring and ensure effective coverage across all jurisdictions and key legal entities
  • Oversee staff recruitment, training, and development, to ensure the audit team possesses the requisite skills needed to adequately cover the risks of the business
  • Gained strong experience in audit or internal control areas within the financial services industry
  • Build risk management expertise within local internal audit teams by coaching and development
  • In-depth knowledge of asset management prodcuts, as well as the regulatory environment in the Americas
  • Lead the development of a comprehensive program of audit coverage assessing Capital International's risk management capabilities including enterprise risk, operational risk, model risk management, market risk, liquidity risk, Basel, economic capital as well as the Capital International's capital adequacy framework and recovery and resolution planning

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