• Plans and assists in planning mortgage-related and other internal audit engagements to ensure effective and efficient audits are performed.
• Conducts necessary planning meeting(s); reviews prior audit reports and regulatory examinations; identifies potential risks; documents the system of internal controls in place through process narratives or other means; updates the continuing audit file developing an audit program responsive to risks identified in the planning process.
• Performs audit testing procedures in accordance with generally accepted auditing standards.
• Conducts observation and inquiry of bank personnel, analytical reviews, tests of transactions, and review of reconciliations.
• Conducts testing documented by complete, neat, and accurate audit work papers that document the auditor's conclusion of the testing performed.
• Documents and presents concerns to the Director of Internal Audit, responsible manager or supervisor with recommendations to resolve the concern.
• Follow-up on reported audit concerns to assess the adequacy of corrective action taken on the identified concerns.
• Conducts Annual HUD/GNMA Compliance Audit by reviewing QC Audit Plans (Originations and Servicing), and documentation to ensure Lender meets FHA and Ginnie Mae Program Compliance requirements.
• Supervises Staff and Senior Auditors and review and approve the work that they perform on mortgage-related audits.
• Provides instructions, guidance, and training, to ensure the approved audit program is carried out, reviews audit work papers to ensure accuracy and support for audit findings and conclusions.
• Performs special reviews, research, and administrative duties as requested by the Director of Internal Audit, the Senior Risk Manager, or Executive Management.
• Assists with the annual assessment of the effectiveness of the Fidelity Banks and Fidelity Southern Corporation's internal controls and procedures for financial reporting.
• Conducts SOX 404/FDICIA audits by testing internal controls over financial reporting related to mortgage processes and activities.
• Provides information and perform audit procedures as requested by Ernst and Young, LLP in connection with their financial audit of the Company.
• Assists in the coordination of internal and external audit efforts to ensure adequate audit coverage and minimize duplicate efforts.
- Mortgage Internal Audit Manager at Fidelity Southern Corporation
- Quality Control Mortgage Audit Manager at The Stonehill Group, LLC
- Senior Underwriter III and Quality Control Analyst -Team Lead at Digital Risk
- Quality Control Analyst at Mela Capital Group
11 months at this Job
- Bachelor of Science - Finance/Business Administration/English Literature
• Lead the Firm's expanding presence in the Florida market.
• Responsible for managing client relationships and representing the Firm at industry events.
• Overseeing the audit team(s)
• Provide support to higher level personnel
• Evaluate the adequacy of audit scopes and audit programs
• Plan and perform compliance, operational and/or financial audits
• Responsible for organizing and overseeing internal audits in accordance with the annual audit plan. Supervise and/or conduct independent audits of bank records and activities.
• Preparing and producing client audit reports and recommendations based on audits results, highlighting issues and making recommendations for corrections, documenting the results of the audits and presenting them to senior and executive management; recommend corrective action and suggest improvement.
• Conduct exit conference meetings with client personnel relative to audit areas assigned to the team
• Review and assess completion of audits, review and analyze audit working papers, information, records and reports prior to the issuance of report to bank clients.
• Perform research for audit areas to remain abreast of regulatory changes
• Assist Senior Manager with QCR reviews and scheduling needs, performance reviews of audit team personnel
• Provide training and guidance to lower level staff
• Supervise, coach and develop junior members of staff within teams
- Internal Audit Manager at P&G Associates
- VP - Consumer Compliance & CRA Officer at commercial bank regulated by the FDIC
- VP - Consumer Compliance Officer & Assistant CRA Officer at commercial bank regulated by the FDIC
- VP - Consumer Compliance Officer at Eastern National Bank, N.A
6 months at this Job
- Bachelor of Science in Business Administration - Business Administration
• Lead compliance and financial audits to identify key risks, evaluate the effectiveness of existing controls, and make recommendations for control enhancement and improved process efficiency.
• Report directly to the Chief Audit Executive and was instrumental in the transition of the Internal Audit function from a co-source provider to in-house, which resulted in a $2mm savings while improving overall audit quality and efficiencies. Duties included, but were not limited to: execution of the Internal Audit Charter and Internal Audit Plan, the ongoing development of the department infrastructure, and knowledge transfer from the external service provider.
• Establish annual audit plan by performing entity-wide assessments to identify and evaluate risks that impact the achievement of the company's objectives.
• Provide business units with risk management consulting support and training.
• Mentor internal audit staff and review work performed to ensure achievement of and compliance with performance standards and objectives.
• Manage all aspects of an audit engagement including: planning, fieldwork, reporting, and remediation.
• Responsible for the preparation and on-going monitoring of departmental budget and resource allocation.
- INTERNAL AUDIT MANAGER at DITECH HOLDING CORPORATION
- MANAGER OF RISK AND CONTROLS at DITECH HOLDING CORPORATION
- MANAGER at ENTERPRISE RISK
- BUSINESS ANALYTICS AND DEAL MANAGER at ALLY FINANCIAL
1 year, 3 months at this Job
- Masters of Business Administration - Finance
- Bachelors of Arts - Economics
• Perform risk assessment activities, audit planning process and prioritize allocation of audit resources to cover risk areas of 4 manufacturing plants.
• Professionalized the Internal Audit department, including the implementation of risk management methodology.
• Ensure review to provide assurance to management on effectiveness of internal control, reliability of financial and operational information, efficiency in the use of company resources and compliance with policies, guidelines and external regulations.
• Manage stakeholders to ensure alignment on findings and action plans to close identified gaps.
• Drive fraud investigation across the 4 plants, including root cause analysis and control measures, giving exceptional management report.
• Ensure 100% execution of audit plan in the right quality and clearly communicate audit results to management.
• Coordinates audit follow up and ensure 100% implementation of audit recommendations.
• Communicate update to Audit Committee on key business risks and top audit findings.
• Collaborate with Risks management Committee on Enterprise Risk Management.
• Supervised 12 (Senior Internal Auditors} s in providing excellent customer service to stakeholders. Key Accomplishments:
• Built strategic working relationships at all levels within the organization through successful audits and other value-added projects
• Successfully conducted Sarbanes Oxley attestation.
- Country Internal Audit Manager at International Breweries Plc
- Audit Senior at Deloitte
- Senior Audit Associate at Akintola Williams Deloitte
- Sales Representative at Femi Tola Nigeria Enterprises
6 years, 6 months at this Job
- Master's - Management and Accounting
- Bachelor's - Agricultural Economics and Extension
Manage and oversee internal audits, including development of the audit objectives/scope, facilitation of process interviews, documentation of company processes and procedures, identification of risks and controls, execution of internal controls testing, identification of issues, review of workpapers, and on-going communication with and reporting to stakeholders and leadership; applied within the individual hotels; languages, test steps, and deliverables; including resource scheduling, status updates, reviewing work performed by Staff and Senior Auditors and Guest Auditors; across end-to-end processes; to implement corrective action and partner to implement solutions that mitigate risks; coaching, day-to-day support, feedback, and status updates, while fostering an inclusive culture that exemplifies Team/Company values;
• Assist VP of Internal Audit with quarterly reporting;
• Perform risk-based hotel internal audits to ensure that policies and procedures are in place and being correctly
• Act as a liaison between Internal Audit, Corporate office, and on-property hotel management;
• Develop and continuously update the hotel audit program including a risk control matrix, control and risk
• Manage annual Sarbanes-Oxley (SOX) and SOC1 controls validation and testing efforts for hotel audits,
• Lead special projects to drive controllership improvements across the Corporate departments to identify gaps
• Communicate recommendations and observations to process owners/management through logical, clear and concise written and oral means to gain understanding and agreement on internal controls issues and commitment
• Manage and supervise a team of Staff and Senior Internal Auditors on hotel internal reviews, providing active
• Conduct fraud investigations including data collection and analytics and sharing lessons learned with others at finance conferences and other meetings;
• Perform a fraud risk assessment to identify the most relevant fraud schemes for the hospitality industry and company and controls that mitigate risks;
• Manage a Guest Auditor Program to provide opportunities for the Corporate office personnel and Directors of Finance to join Internal Audit teams on hotel internal audits.
Manage and oversee internal audits, including development of the audit objectives/scope, facilitation of process
interviews, documentation of company processes and procedures, identification of risks and controls, execution of internal controls testing, identification of issues, review of workpapers, and on-going communication with and
reporting to stakeholders and leadership;
applied within the individual hotels;
languages, test steps, and deliverables;
including resource scheduling, status updates, reviewing work performed by Staff and Senior Auditors and Guest
across end-to-end processes;
to implement corrective action and partner to implement solutions that mitigate risks;
coaching, day-to-day support, feedback, and status updates, while fostering an inclusive culture that exemplifies
- Internal Audit Manager at Hilton, Inc
- Senior Internal Auditor at Discovery Communications
- Staff Auditor at SC&H Group
- Experienced Staff Consultant at SC&H Group LLC
2 years, 3 months at this Job
- Bachelor of Science - Accounting
- Associate of Arts - Business Administration
- Bachelor of Arts - Management
* Researched and initiated an audit program for the organization. * Communicate the status of Internal Audit implementation and execution with Executive and Senior Management, and the Audit Committee in openly recorded public forums. * Prepared LAHSA's Audit Charter and risk-based Audit Plan. * Schedule audit engagements for multiple departments and business units. * Direct and manage internal auditors and assign and track executable engagements. * Liaise with Human Resources in interviewing and hiring LAHSA's internal auditors. * Plan, perform, report on general departmental audits, review external auditors' workpapers for completeness, accuracy and timeliness, as well as monitor for corrective action implementation.
- Internal Audit Manager at Los Angeles Homeless Services Authority
- Supervisor at Los Angeles Homeless Services Authority
- Assistant Vice President - Senior Internal Auditor at Commonwealth Business Bank
- Audit Services and Regulatory Compliance Consultant at McLeod & Company
8 months at this Job
- Master of Business Administration - International Business Management
- Bachelor of Science in Finance & Accounting Management - Finance & Accounting Management
Develops appropriate reports for association management regarding the findings of association
operations review testing, maintains records of review and audit activity
• Participates in association planning and administrative meetings, and provides input to management on issues relating to internal audit
• Establishes overall direction for the association's internal audit function including policies, procedures, audit scopes and reporting. Assures compliance with FCA regulations pertaining to internal audit. Prepare and control an annual operating budget for Internal Audit
• Perform an annual risk assessment of the business and continuous monitoring of the audit plan
• Develops, maintains, and refines an internal audit schedule for the association with approval of the audit committee. Furnishes audit results the Audit Committee, Executive Committee, and other levels of managements as appropriate
• Keeps the Chief Executive Officer, Board of Directors, and Audit Committee informed of progress and activities for the internal audit function. Provides for regular audit and review reports, periodic informational reports, and quarterly reporting to the Executive Committee and Audit Committee
• Evaluates management efforts to address regulatory compliance with a reporting function to the board of directors. Facilitates the work of the Board of Directors through daily contact with operating groups of the association engaged in efforts to achieve compliance with FCA requirements and Internal Audit recommendations that are considered necessary for safe and sound operations.
• Reports to the board on the accuracy of significant criticisms, proposed corrective actions and their adequacy, unresolved issues and programs of correction, exceptions to corrective time frames previously reported, conditions that will delay or prevent results sought, and other pertinent facts and information resulting from FCA examinations.
• Assisted in the investigation of an internal fraud that resulted in the restatement of financials and a ten million dollar loss
• Assisted in the recognition of three material weaknesses and all remediation testing efforts
- VP Internal Audit Manager at Lone Star Ag Credit, ACA
- Internal Auditor at Elevate Credit
- management and staff at Colonial Savings, F.A
- at Ginnie Mae
2 years, 9 months at this Job
- BBA in Finance - Finance
• Coordination and conducting annual risk assessment process with senior business leaders – identification and evaluation of potential business risks (strategic, operational, compliance);
• Supporting the Head of Audit in the preparation of the annual audit plan, and quarterly audit schedules;
• Development and maintenance of internal audit methodology, practices and guidelines for the Internal Audit Group Function (e.g. methodology for anti-bribery compliance reviews, practice for audits of research & development process), as well as internal audit tools and processes (e.g. auditor evaluation forms etc.).
• Overseeing the execution of financial, compliance and operational internal audit assignments in the ABB entities in Americas Region
- Regional Internal Audit Manager Americas at ABB
- Head of Internal Audit Hub at ABB
- Internal Audit Manager at ABB
- Risk, System and Process Auditor / Consultant (Senior, Manager) at PricewaterhouseCoopers
1 year, 5 months at this Job
- Magister - Finanse i bankowosc
o Created, implemented, and deployed a $300K annual audit plan for corporate functions, business units, and make ready shops. Reported directly to the Audit Committee of the Board of Directors and the Chief Financial Officer. o Led and managed the annual risk assessment process and identified controls to mitigate identified risks. Streamlined and benchmarked the Company's SOX controls, reducing the number of key controls by one third. o Developed the organization's internal audit policies and procedures, including a documented quality assurance improvement program in accordance with the standards of the profession. o Built partner relationships with Operations management and business areas cementing Internal Audit's role as a trusted advisor to the business. Identified cost savings opportunities in the expense reporting, resolved operational inefficiencies in the inventory management process, recommended improvements to the sales commission bonus process, and addressed inaccuracies in the fixed assets subledgers as part of periodic reviews. o Led and coordinated audits in a dozen countries in the Americas. Responsible for final reporting to ensure observations/findings were adequately supported and documented in accordance with SOX requirements, COSO framework, GAAP, Institute of Internal Auditors (IIA) and company standards, and ensuring adequacy and completeness of the audit tests performed.
o Created, implemented, and deployed a $300K annual audit plan for corporate functions, business
units, and make ready shops. Reported directly to the Audit Committee of the Board of Directors and the Chief Financial Officer.
o Led and managed the annual risk assessment process and identified controls to mitigate identified
risks. Streamlined and benchmarked the Company's SOX controls, reducing the number of key
controls by one third.
o Developed the organization's internal audit policies and procedures, including a documented
quality assurance improvement program in accordance with the standards of the profession.
o Built partner relationships with Operations management and business areas cementing Internal
Audit's role as a trusted advisor to the business. Identified cost savings opportunities in the expense reporting, resolved operational inefficiencies in the inventory management process,
recommended improvements to the sales commission bonus process, and addressed inaccuracies in the fixed assets subledgers as part of periodic reviews.
o Led and coordinated audits in a dozen countries in the Americas. Responsible for final reporting
to ensure observations/findings were adequately supported and documented in accordance with SOX requirements, COSO framework, GAAP, Institute of Internal Auditors (IIA) and company
standards, and ensuring adequacy and completeness of the audit tests performed.
- Internal Audit Manager at ARCHROCK, INC
- at ARCHROCK, INC
- Internal Audit Manager at ARCHROCK, INC
- Manager at DELOITTE & TOUCHE LLP
4 years, 5 months at this Job
- Master of Business Administration - Business Administration
- Bachelor of Science in Accounting - Management, and Business
• Created the Internal Audit program by first establishing priorities and goals then ensuring daily it meets national internal audit standards. Established lines of communication with all division/ program managers and management and promoted the programs value to them.
• Performed an agency wide risk assessment to determine high risk areas to include in the agency's fiscal year audit plan. Assessment includes review of external and internal identified weaknesses being monitored and interviewing agency management for any potential risks.
• Conducted internal audits and assessments of identified high risk areas and report results to management with value-added recommendations to determine the best corrective action.
• Performed consultative services, establishing quality working relationships with all levels of management, providing in-depth analysis of risks, while maintaining independence and objectivity.
• Reported status of internal audit activity to agency's risk management committee, audit committee members and executive management.
• Coordinated external requests for information and audits of agency programs with the Governor's and State Auditor's Offices and other state and federal agencies.
• Responsible for reporting and coordinating state employee whistleblower complaints and reporting agency losses to State Auditor's Office as required by state statute.
• Provided controls/ compliance consultation services, and risk related training to agency program managers and staff.
• Facilitated the creation of an agency risk management committee. Created an awards program to recognize agency programs implementing quality controls resulting in reduced risk.
- Internal Audit Manager at Department of Enterprise Services
- Assistant Audit Manager at Washington State Auditor's Office
- Finance - Sergeant at United States Army
- Internal Auditor at United Refining Company
5 years at this Job
- Bachelors of Science - Finance