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Skillful Audit Manager resume

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Charlotte Ellis-Morgan
Professional Summary

Dynamic delivery-focused leader with more than 16 years of experience in regulatory compliance with a successful record in compliance framework development and enhancement, monitoring & testing, human resources and team development. Articulate communicator skilled in delivering well-planned messaging and strengthening relationships with business partners, peers, and senior leadership.

Core Competencies

  • Compliance Design
  • Governance
  • Strategic|Operational Planning
  • Change Management
  • Relationship Management

  • Stakeholder Engagement
  • Project Management
  • Creative Problem Solver
  • Budget Planning
  • Privacy | Anti-Money Laundering
Professional Experience
SENIOR MANAGER, AML/ATF WEALTH, 04/2017 to Current
SCOTIABANK Toronto

Framework Enhancement - Act as the key GAMLU liaison for assisting with the implementation of the Enterprise Wide AML/ATF Transformation Project across Wealth Management business units

Evidence of Supervision Provide oversight and coordination of the Wealth Management AML Teams (1A & 1B functions)

Process Development - Collaborate with the Wealth 1B Function to establish  first line AML/ATF business controls

Issue Identification - Assist the Wealth Management business units in the completion of the Annual Self-Assessments ensuring AML risks are properly assessed

Regulatory Exam Preparation - Participate in the OSFI/FINTRAC Exam working group

Monitoring - Review the schedule, sample size and results of the 1B Quality Assurance processes to identify potential weaknesses/trends

Control Development - Responsible for the review and approval of Auto High Risk customers ensuring the 1A & 1B establish key controls to support the Customer Operating Handbook and the Enterprise-wide AML/ATF & Sanctions Handbook.



MANAGER INVESTIGATIONS & COMPLIANCE, 2015 to 2016
ONTARIO ENERGY BOARD Toronto

Executive Level Planning: Produced annual Compliance Operational Plan and annual financial budget.

Framework Enhancement: Developed Compliance Procedure manual and several new processes, including the implementation of a monitoring & testing plan.

Business Planning: Collaborated with the Senior Management Group in order to support the achievement of priorities and KPIs.

Team Development: Lead team of 7 in human resources, inspections and compliance framework development through active coaching in job performance, and mentoring to achieve individual potential. Assumed CCO's  responsibilities due to the sudden vacancy in the role.

Compliance Committee Chair: Coordinated and Chaired Compliance Executive Committee, lead on identifying issues of non-compliance and provided input into enforcement cases. Met regularly with Leadership to discuss enterprise wide compliance concerns.

Investigations: Determined which investigations to conduct, met with regulated entities to discuss investigation findings and oversaw enforcement and sanctions. Investigate escalated complaints.

Quality Assurance Testing: Developed a risk based quality assurance testing program to review interactions & complaint reporting between contact centre representatives, regulated entities and compliance investigations.

 

CHIEF COMPLIANCE OFFICER, 2015 to 2016
AIG CANADA Toronto

Leadership: Managed and executed the new AIG Global Compliance 

Board of Directors: Managed the preparation of quarterly reports and presented to the Board of Directors

Change Management: Led as project leader for the efficiency and effectiveness programs in order to improve business partnership and Compliance delivery to the business as a whole.

Reporting: Created and presented quarterly Compliance reports to the Board and Risk Committee. Compiled and filed: Suspicious Activity Monitoring reports, monthly internal compliance reports, and monthly OSFI AML reporting.

Business Continuity: Operational Risk Management Coordinator for Legal & Compliance.Monitoring & Testing - Implemented the global monitoring & testing program for Canada.

Investigations: Investigated complaints escalated to Compliance.

 

SENIOR AUDIT MANAGER, 2013 to 2015
SCOTIABANK Toronto

 Led high profile audits within Wealth Management including: AML, Compliance, Corporate Governance for Scotia Asset Management, and Private Client Group Centres to determine compliance with portfolio management investment, National Instruments and internal company policies. Acted as liaison between business and Audit department.

Audit Planning & Execution: Developed and improved compliance test plans for the organization aligned with operational analysis and department goals. Reviewed work papers for accuracy & completion, performed ad-hoc assignments from the Audit Professional practices team. Followed up for outstanding issue resolution.

Change Management: Generated strategic planning for change management initiatives to improve compliance audit execution and internal service delivery.

Leadership: Accomplished staff results by communicating job expectations; planning, monitoring, and appraising job results; coaching, counseling, and disciplining employees; developing, coordinating, and enforcing systems, policies, procedures, and productivity standards. Developed Co-op students and acted as guest panel speaker to the University of Waterloo's class of 2013 2nd year Co-op students.

Operational Efficiency: Conducted research and analyzed applicable legislative and regulatory requirements, and updated the monitoring and testing plan accordingly to reflect regulatory changes. Integrated the work activities of previously executed compliance audits, new business, and regulatory requirement to support audit execution metrics.

 

SENIOR COMPLIANCE MANAGER, 2008 to 2012
SCOTIABANK Toronto

Compliance Oversight: Assisted in identifying, monitoring and assessing regulatory and industry developments relating to investment funds, regulatory compliance management and internal policies through the review of publications, relevant websites, participating in industry associations, contacting Regulators and liaising with counsel and auditors, as required.

Change Management: Participated in internal working groups and executed project plans to handle regulations change, and best practices to meet regulatory obligations. Initiated project and action plans impacting the mutual fund department.
Risk Assessment: Assessed inherent risks and conflicts of interest, managed compliance efforts as they related to complex regulatory and policy requirement, programs and project developments. Informed and advised Chief Compliance Officer and business management on the impact, risks and opportunities of applicable laws, regulations, guidelines, industry best practices and corporate policies.

Policies & Procedures: Developed and implemented new policies and procedures.

Communications Review: Responsible for the management of the sales communications approval process and ensured mutual fund compliance with National Instruments and internal policies.

 

REGULATORY COMPLIANCE CONSULTANT, 2006 to 2008
JEFFERSON WELLS Toronto

Compliance Framework Development - Executed enterprise wide compliance audits for Fortune 500 companies in Financial Services markets and developed regulatory compliance framework to support Audit findings and ensured OFSI E-13 Compliance and Privacy.

Training - Created specialized compliance training programs for Executive Management.


COMPLIANCE MANAGER, 2004 to 2006
MANULIFE MUTUAL FUNDS Toronto

Compliance Oversight - Led the Compliance program for Manulife Mutual Fund Operations department and provided compliance support to the front, middle and back-offices. Consulted with Sales, Legal, Operations, Marketing and Compliance peers on OSFI E-13, Anti-Money Laundering, Privacy, Records Management, Vendor Management and various internal policies.

Policy & Procedures - Developed and managed policies/practices to ensure compliance with provincial insurance laws, federal regulations, corporate policies and contractual agreements.

Risk Assessment - Assessed and provided guidance on risks associated with industry requirements, new contractual agreements and new/changing laws and regulations.

Business Continuity Planning - Acted as coordinator and developed the plan for the mutual fund department reporting.

Ad-Hoc Projects - Coordinator for Employee Loan Program to support new mutual fund launches

Training - Developed and Conducted Compliance Training

Examinations - Acted as coordinator for internal/external audits & examinations (OSC sweep, Privacy, AML)


BUSINESS UNIT COMPLIANCE OFFICER, 1999 to 2004
MANULIFE FINANCIAL Toronto

Compliance Oversight - Implemented new Compliance program for U.S. Group Pensions

Marketing & Communications Review - Submitted all marketing material to FINRA/ NASD for approval prior to dissemination to the public in U.S. markets.
Education
Bachelor of Arts: Political Science, 2009
York University - Toronto, Ontario

Institution of Internal Auditors - Toronto Chapter
Enrolled in Certified Internal Audit program; anticipate earning designation in 2018 Certified

Association of Anti-Money Laundering Specialists (ACAMS) Certified Anti-Money Laundering Specialist (CAMS)

Canadian Securities Institute, Toronto Chief Compliance Officer

FINRA/NASD Series 6 & Series 26 | Investment Company Products / Variable Contracts & Limited Principal | Series 51 | Municipal Fund Securities Limited Principal | Series 63 The Uniform Securities Agent State Investment Funds Institute of Canada (IFIC), Toronto Completed Operations | Canadian Investment Funds | Branch Managers & Officers | Partners & Directors

Member in Good Standing With:
Institution of Internal Auditors - Toronto Chapter 2017 - present

Association of Anti-Money Laundering Specialists 2015 - present

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Job-winning Audit Manager resume

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Randee A. Britton
Summary
To work in a professional environment utilizing my audit experience, accounting education, and communication skills. Experience spanning two years as an Executive Assistant for the Doddridge County Commission and eight years as an Audit Manager for the West Virginia State Auditor's Office. Cum Laude graduate with B. S. Business Administration in Accounting. Proficient with MS Office, Windows, and various office equipment.
Experience
06/2015 - Current
Doddridge County Commission West Union, West Virginia Executive Assistant
  • Provided support for the Commissioners by assisting in the research and preparation of the county budget and financial statement.
  • Represented the Commission by providing departmental oversight within the separate Courthouse offices.
  • Corresponded and engaged with various elected officials, vendors, and members of the public to conduct the various business activities of the Doddridge County Commission.
  • Assisted Commissioners by executing tasks associated with bidding contracted services and construction projects and monitoring the projects through completion.
  • Monitored funding granted to other agencies, groups, and organizations by the Commission and assured that reporting requirements were met by those entities.
  • Researched and identified grant opportunities in support of County needs and acted as point of contact for the monitoring of grant expenditures and reporting through completion.
09/2010 - 06/2015
West Virginia State Auditor's Office Charleston, West Virginia Audit Manager
  • Supervised and controlled completion of audit assignments, including assessing internal controls, systems, and planning.
  • Reviewed work of audit staff, ensuring quality in compliance with professional standards and requirements.
  • Trained, supervised, and coached staff assigned to audits of local governments.
  • Accounted for audits assigned, including planning and control of audit.
  • Performed all associated duties of Audit Inspector, continuing to conduct audits of local governments and subdivisions in accordance with professional standards and requirements.
03/2007 - 09/2010
West Virginia State Auditor's Office Charleston, West Virginia Audit Inspector
  • Audited local governments and subdivisions in accordance with professional standards and requirements.
  • Prepared audit documentation, audit reports and findings, including audits performed in accordance with Circular A-133.
  • Met with government officials to discuss potential issues regarding the county budget, accounting pronouncements, internal control and compliance.
  • Ensured compliance with established internal control procedures by examining records, reports, operating practices, and documentation.
  • Verified assets and liabilities by comparing items to documentation.
  • Identified and reviewed federal and state grants for compliance with requirements as prescribed by regulations and grant agreements.
  • Appraised adequacy of internal control systems by completing audit questionnaires.
  • Recommended new policies and procedures to update internal control systems to conform to generally accepted accounting practices.
  • Complied with federal, state, and local requirements by studying existing and new legislation and accounting pronouncements and advising management on needed actions.
  • Maintained professional and technical knowledge by attending educational workshops; reviewing professional publications; establishing personal networks; and participating in professional societies.
  • Contributed to team effort by accomplishing related results as needed.
01/2006 - 01/2007
Willow Island Federal Credit Union St. Marys, West Virginia Loan Officer
  • Provided general credit union information on all services offered, policies, interest rates and terms of loans, and insurance coverage requirements.
  • Assisted the borrower with the application interview, loan approval, paperwork processing, and disbursement of the loan.
  • Performed analysis of loan applications, verified income, calculated ratios, interpreted credit reports, approved/denied applications, and processed all loan documents.
  • Monitored all pending loans, title work, and current insurance coverage, including notifying insurance agents and borrowers to remedy any problems.
  • Designed marketing fliers and supporting loan documents to generate interest in special holiday loan promotions.
  • Reviewed loan rates offered in the area to provide recommendations to the Board of Directors to maintain a competitive edge.
05/2005 - 01/2006
Willow Island Federal Credit Union St. Marys, West Virginia Member Assistant
  • Opened new accounts, performed transactions, and provided explanations of accounts to members.
  • Balanced teller drawer accurately throughout the workday.
  • Managed certificate of deposit accounts, including new accounts, dividends paid, renewals, and closings.
Education
August 2006
West Virginia University at Parkersburg Parkersburg, West Virginia Bachelor of Science: Business Administration Accounting Business Administration Accounting Cum Laude 3.57
Skills
Auditing, Budget preparation, Financial reporting, Information analysis, Critical thinking, Reconciliation of accounts

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Experienced Audit Manager resume

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Calley McDaniel
Professional Summary
Seeking Operations Management/Degree in Hospitality Organized Front Desk Agent with strong interpersonal and computer skills. Background in customer service and support and accustomed to managing difficult client situations. Dynamic Hotel Desk Clerk highly successful at juggling multiple priorities while delivering superb service with a smile. Computer-savvy and organized with strong attention to detail. Ion driving company growth and revenue in fast-paced and competitive climates. Flexible problem solver with a positive attitude.
Skills
  • Became Travel Pass Champion this year June 2014. Responsible for amount of sign-ups that are received from
  • Travel Pass. Daily transfers of sign-up numbers to TP each month.
  • Expertise in Microsoft Office for over 5 years including Word, Publisher, Outlook, Excel, Powerpoint, Onenote, and Outlook.
  •  
  • Revenue generation and management
  • Guest satisfaction specialist
  • Team building
  • Quality assurance
  • Efficient
Work History
Night Audit Manager, 02/2014 to 04/2015
Sonesta ES Suites Auburn Hills, MI

 

  • Check and have remaining arrivals set-up including deposit, credit card approval, company name, and nightly rate.
  • Daily reports from previous shifts got organized and packaged up.
  • Arranged following day reports for Operation, General, and Sales Managers.
  • Posted charges for rooms, food, liquor, or telephone calls, to ledgers manually or by using computers.
  • Answered department telephone calls within 2 rings, using correct salutations and telephone etiquette.
Front Desk Agent, 06/2013 to 01/2014
Ramada Inn Sarasota, FL
  • Greeted and welcomed all hotel guests with a smile.
  • Check and have remaining arrivals set-up property including deposit, credit card approval, company name, and nightly rate.
  • Collaborated with maintenance and housekeeping.
  • Verified that personal and payment information on guest accounts was accurate and complete.
  • Developed departmental objectives, work schedules, budgets and policies.
Supervisor of Housekeeping, 08/2012 to 05/2013
Sonesta ES Suites Auburn Hills, MI
  • Supplied housekeeping team with daily duties and necessary projects.
  • Morning discussion each day contained what's to be expected and particular items to pay detail to.
  • Conducted inventory monthly;  Ordered and stocked all incoming supplies. 
  • Became charge of Front Desk Administrator, Laundry Attendant, F&B Attendant, Housekeeping, and general help needed.
  • Assured each room was ready for new occupancy. 
Supervisor of Housekeeping, 09/2010 to 08/2012
Staybridge Suites
  • Escorted guests to their assigned rooms, including transporting their luggage.
  • Supplied housekeeping team with daily duties and necessary projects.
  • Morning Discussion, each day contained what's to be expected and particular items to pay detail to.
  • Title also included Front Desk Administrator, Laundry Attendant, F&B Attendant, Housekeeping, and general help needed.
  • With all department supervisors, helped rebrand new hotel name switching out all items with new amenities. 

Front Desk Administrator/Weekend Manager, 10/2009 to 09/2010
Candlewood Suites Auburn Hills, MI
  • Created housekeeping boards, hosted group discussion before beginning of day; Professionalism in guest check-in's and outs.
  • Multi-tasked each day containing my duties of stripping each room of all linen and garbage, hourly check each floor for debris, laundry attendant, order and stock of products for store as well as chemicals for cleaning.
  • Ran night audit, assisted in putting packets together in orderly fashion, and cleanliness of lobby and halls.
Education
Information Technology : Business and Managment , Post University and Drubner Athletic - Middlebury, CT
Associate of Arts: Hospitality , Oakland Community College - Auburn Hills Campus - Auburn Hills, MI
Cosmetology : Cosmetology , 2008
Oakland Technical Center - Auburn Hills, MI
General Education
High School Diploma: 2007
Lake Orion High School - Lake Orion, MI