Lead Auditor Sample Resume Format in Word Free Download

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Alia Oluboyo BS Accounting & Finance, CPA, ACA, CICA

E-mail: alia.oluboyo@gmail.com

Phone: (703) 473 9876

Mailing Address: 321 Regiment Way, Frederick MD 21123

Abby is a CPA with over thirteen years combined experience in Internal audit, Regulatory Consumer Compliance audit, and SOX control design evaluation and effectiveness testing. Seeking a challenging opportunity in an enviroment that would leverage my experience and skills to achieve its audit objectives, and also promote career growth, and encourage team work.

10/2011 – Date           American Capital Limited                                   Bethesda, Maryland

Lead Auditor

·         Managed various SOX projects for 2 separate Real Estate Investment Trust (REITS) and worked with external auditors (E&Y) and business process owners in addressing requirements for SOX compliance, which included identifying key controls in business process, control gaps and remediation action plans. Consistently added value to the internal audit processes, which have increased areas of external audit reliance on Internal Audit work. Process areas worked on include Trade execution, Derivatives and Hedging, Cash Management, Revenue Recognition and more

·         Managed the external audit reliance efforts for the REITS by ensuring that deliverables due to E&Y in the form of tests and walkthroughs are completed and delivered timely.

·         Reviewed process narratives to verify that critical control areas are identified. The following are some of the processes reviewed: Derivatives and Hedges, Repurchase Agreements, Security Valuations, Trade Execution, Revenue Recognition, Counterparty Covenant Compliance, Cash management, Accounting and Reporting, Entity level controls, and Regulatory and Tax Compliance.

·         Performed walkthroughs of business processes for external audit reliance and internal audit use and documented processes through narrative including determination of control design effectiveness.

·         Developed risk and control matrix for business process areas including test steps for identified key SOX controls together with relevant support evidence.

·         Performed operating effectiveness testing of identified key controls within the business processes and documented observations and exceptions found

·         Reported test results and recommended remediation plans to management

·         Followed up on reported audit findings to ascertain that remediation and other appropriate actions were taken to eliminate deficiencies.

·         Supervised the work of one experienced staff working on the REIT audits.

08/2010 – 09/2011   Freddie Mac                                                                      McLean, Virginia

Compliance Examiner Professional (Audit Lead on 2 of 5 projects)

·         Planned, performed and managed periodic onsite and offsite compliance audits of financial institutions participating in the U.S Department of Treasury’s Home Affordable Modification Program (HAMP)

·         Identified and documented control processes implemented by the mortgage servicers to mitigate the risks identified in the HAMP program through interviews and walkthroughs

·         Evaluated the design and operating effectiveness of controls implemented by the mortgage servicers

·         Prepared exit notes to discuss control deficiencies with management and make process improvement recommendations

·         Prepared reports of audit findings and recommendations.

10/2006 – 08/2010        Cardinal Bank                                                   McLean, Virginia

SOX Audit Lead (started as staff in 2006 and promoted to senior in 2007)

·         Performed audit to evaluate the bank’s compliance with government regulations (consumer protection regulations like the Truth in savings act – Regulation DD, Electronic Fund Transfer Act – Regulation E, Privacy of consumer financial information act – Regulation P, and Non deposit investment products policy).

·         Performed audits of commercial loans, mortgage loans, and installment loans to ensure proper authorization, adequate documentation are in place to secure the loans, and evidence borrowers’ acknowledgement of disclosures for compliance with Consumer Protection Regulations.(for example, Truth in lending disclosure)

·         Performed enterprise wide assessments of operational, credit, and reputation risks that highlighted critical risk areas and provided recommendations to remediate the identified risks.

·         Conducted walkthroughs of accounting, banking operations and compliance processes with management to assess the design effectiveness of implemented controls.

·         Managed bank wide review of credit administration, human resources, treasury operations, SOX 404 compliance audits, and provided recommendations that strengthened existing controls.

·         Managed the planning of audit engagements which includes issuing the audit announcements, conducting opening meetings with management to outline the audit objectives, scope and methodology.

·         Conducted audit closing meetings with management to review findings and obtain management input on proposed recommendations, and communicated reports of audits conducted via written reports to management.

09/2004 – 10/2006   IMRG                                                                     Lanham, Maryland

Client – Pension Benefit Guarantee Corporation

Senior Auditor

·         Developed audit programs and performed audits of pension benefit plans for various failed organizations to ascertain pension obligations and participants.

·         Reviewed pension plan documents, developed and administered surveys, composed summary memos and prepared audit work papers.

·         Prepared detailed audit reports that include documented findings and conclusions, internal control procedures, plan assets, plan document, source documents and participant data audits.

02/1999 – 04/2004    Metropolitan Bank                                                           Lagos, Nigeria

Senior Auditor

·         Supervised the planning, risk assessment, and field work of branch operations, deposit operations, treasury operations, lending and accounts payable audits.

·         Prepared audit plans for the complete and appropriate execution of audit assignments

·         Performed compliance, financial and operational audit work in accordance with applicable internal audit standards and provided the necessary corrective recommendations when deficiencies are discovered

·         Developed and documented findings and results in written reports and presentations

·         Managed the audit response process to ensure that management response to findings and audit points are complete and timely.

09/1997 – 02/1999         Landover Company Limited                            Lagos,  Nigeria

Account Payable Analyst

·         Reviewed and assessed incoming payable documents for approval and processing

·         Analyzed vendor accounts and negotiated credit terms

·         Reviewed and processed invoices

·         Prepared account payable checks for invoices and expense

·         Prepared analysis of various vendor accounts,

·         Coded and entered assigned payable documents accurately for vendors, GL, concepts and business units as applicable,

·         Prepared annual budget for aviation services

Skills:               Microsoft Access, Power Point, Excel, and Word.

Education:       BS Accounting and Finance, Yaba College of Technology, Lagos, Nigeria

                       

Certifications: 

·         CPA – Certified Public Accountant

·         CICA – Certified Internal Control Auditor

·         ACA - Associate Chartered Accountant of the Institute of Chartered Accountants of

Nigeria (ICAN).

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