Audit Manager resume examples

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.

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.

 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.

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.

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 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)

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

• 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.

• 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. 

• 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. 

• 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.

• Promoted a culture of information security across all business units for client's enterprise.
• Assisted in the development and knowledge transfer to IT team members, as well as other enterprise groups.
• Liaised with Clients corporate compliance, audit, legal and HR management teams as required, including overseeing annual audits and reporting as required.
• Developed, maintained and published up-to-date security policies, standards and guidelines while overseeing training and dissemination of security policies and practices.
• Took a lead role in developing and managing information security programs, including, but not limited to; information security awareness, vulnerability management, vendor risk management and risk management for Clients.
• Understood and applied common cyber security, privacy or technology industry standards / regulations e.g.
• ISO 27001/27002, NIST 800 series, COBIT, PCI-DSS, ITIL, HIPAA / HITECH, EU Safe Harbor, CAN-SPAM especially as it relates to building a program and/or managing internal controls, risk assessments, business process and internal IT control testing or operational auditing.
• Collaborated with clients internal team members regarding potential business issues and potential solutions.
• Developed, implemented and monitored a strategic, comprehensive enterprise information security and IT risk management program to ensure the integrity, confidentiality and availability of information owned, controlled and processed by the organization.

• IT Risk Advisory/Compliance and Audit InterContinental Bank PLC -Delta, Nigeria Conducted regular technical risk assessments/audits of systems and infrastructure.
• Ensured the Encryption Process of the Bank is Strong and Compliant with international standard.
• Handled IT advisory and regulatory assignments within the entire Bank.
• Interacted with Bank Executives and Investors on Compliance, Risk, Budgeting and Standard Practices.
• Oversee and directly participate in the installation, configuration, and monitoring of new information security technologies.
• Managed project teams while providing Information Technology Risk Advisory services, assessing the technology landscape and technology processes of the company.
• Managed the IT security dept., consisting of direct and indirect reports including hiring, training, staff development, performance management and annual performance review.