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1
sr. compliance auditor
- Assisted manager and above in developing client’s internal audit scope and testing plans.
- Created operational, financial and compliance audit programs and reviewed and approved corresponding work papers completed by audit staff ensuring timely turnover to client and external auditors.
- Developed and implemented internal controls, risk control matrices and narrative documentation for leading Retail and Consumer initiating an IPO.
- Demonstrated autonomous decision making and critical thinking skills in performing analytical procedures, ensuring the effectiveness of the scope of the audit; increasing or decreasing testing to commensurate with control risk and audit findings.
- Interfaced with clients in all phases of the audit procedures including planning, fieldwork, and reporting.
- Responsibilities included client interviews, procurement of client documentation, and working closely with management to deliver a quality audit.
- Coached and managed newly hired associates on audit methodology, client business processes and internal audit structure.
2
compliance auditor
- Composed and drafted outgoing correspondence and reports for managers
- Completed over 20 compliance audits per month
- Displayed meticulous attention to detail when gathering and analyzing data