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Audit Director Resume Example

Resume Score: 80%

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AC
AUDIT DIRECTOR
Professional Summary

Seasoned auditing and management professional with deep knowledge of criminal and civil tax evasion strategies, enforcement options and regulatory process. Decisive and persuasive communicator with outstanding problem-solving, leadership and planning abilities. Experienced in building consensus amongst stakeholders by defining and championing a shared vision of what needs to be accomplished. Talent for conveying clear and well-documented case narratives to support successful civil and criminal enforcement actions. Proven ability to think strategically and act tactically by judicially utilizing the full range of enforcement protocols to achieve compliance with federal regulations.

Skills
  • Tax and Compliance Audits
  • Analytic Decision-Making
  • Field Audit Expertise
  • GAGAS Compliance
  • Forensic Auditing Expertise
  • Internal Auditing Expertise
  • Risk-Based Analytics
  • Fortune 100 Regulatory Compliance
  • Executive Discernment and Acumen
Work History
06/2020 to CurrentCARES 4112 Remediation Tiger Team LeadU.S. Treasury | Washington, D.C.
  • 40-70 hours per week;
  • Led and directed creation and deployment of 2020 Coronavirus Aid, Relief, and Economic Security (CARES) Act Remediation 'Tiger' Team;
  • Set policies and strategic direction of Tiger Team, including documenting processes, procedure and policy decisions;
  • Influenced strategic and tactical policies related to CARES Act deployment, implementing new procedures to address short-term resource limitations and long-term program challenges;
  • Identified and exploited tactical opportunities to enhance program efficiencies by streamlining process and leveraging human capital;
  • Recruited and trained expert audit staff capable of responding to and resolving remediation issues and evolving compliance challenges;
  • Created and optimized records management strategies to coordinate, document and clearly communicate evolving program policies;
  • Devised and implemented robust data retention protocols, customer service and validation processes to maximize voluntary compliance;
  • Leveraged on-site observation and personal interviews, identifying and maximizing team and individual strengths, while identifying and quickly rectifying program deficiencies;
  • Conducted research and investigations into customer service issues and performed initial validation inquiries;
  • Recommended operational improvements based on tracking and analysis of Salesforce data;
  • Restructured processes in coordination with Treasury OSSPI, OGC, OCIO, TCT and Executive Staff;
  • Identified and addressed ineffective communication practices;
  • Exercised professional discernment when addressing or elevating potentially ineffective or problematic practices.
09/2008 to CurrentAudit DirectorAlcohol, Tobacco, Tax And Trade Bureau | Dover, NH
  • 40 hour per week;
  • Devised Bureau-wide, risk-based compliance program, successfully culling 200 high-risk targets from thousands of potential tobacco non-filers, identifying over 40 million dollars in unreported tax revenue, collecting 3 million dollars, referring 2 successful criminal cases and implementing process improvements to facilitate future Bureau responses;
  • Devised and drafted proficiency assessment for excise tax auditor career-ladder to identify existing skill gaps and standardize future training plans;
  • Led multi-layered initiatives and inter-divisional teams, comprised of team members from widely varying occupations and knowledge levels;
  • Obtained interdivisional and human resources concurrence on milestones and product design;
  • Led successful revision of Firearms and Ammunitions Excise Tax return reporting disclosures to inform strategic decision-making process;
  • Pioneered use of bar coding to enhance accuracy of data inputs from filed returns and to enhance robust data analytic processes;
  • Evaluated design and operating effectiveness of National Revenue Center (NRC) claims process, identifying process weaknesses, assessing risk factors and proposing corrective actions;
  • Devised and implemented highly successful enforced collection process improvements, yielding tens of millions of dollars of collected revenue and dramatically increasing return-on-investment (ROI) for alcohol, tobacco and firearms manufacturers and importers;
  • Recommended and implemented sustained permit actions, including revocations, influencing future Bureau enforcement protocols across regulated industries;
  • Devised highly successful enforcement strategies using risk-based analytic targeting and innovative, tactical approaches to address regulatory enforcement challenges, maximizing positive impact on voluntary compliance and evidencing savvy business acumen;
  • Devised and directed highly-successful intelligence gathering and reporting function within Eastern I office to inform strategies and tactics for successful execution of complex collection and audit matters;
  • Revised tobacco and firearms commodity training materials in 2017 and 2020, serving as an SME instructor for internal and external audience;
  • Drafted highly-effective flow chart to facilitate interdivisional communication and decision-making process related to complex Constructive Sales Price issues;
  • Drafted the substitute-for-return special operating procedure;
  • Prepared and presented analytics-based briefings to senior TTB or main Treasury executives, influencing decisions, conclusions, findings and recommendations;
  • Aligned field enforcement on issues of first impression by thoroughly researching applicable precedent and carefully selecting appropriate cases to advance the Bureau's strongest legal/enforcement position, influencing inter-divisional enforcement policies on many matters including statute protection, summons process and enforced collection protocols;
  • Identified audit risks, prepared budgets and coordinated with management and audit team to ensure efficient use of audit resources;
  • Prepared and reviewed workpapers, reports and supporting documentation to ensure compliance with Generally Accepted Government Auditing Standards (GAGAS);
  • Successfully resolved employee complaints and grievances by initiating well-documented, fully coordinated performance-based corrective actions or, where necessary, disciplinary actions, thereby sustaining a high team morale, positive team identity and engaged, high-performing work-force;
  • Delivered subject-matter expertise to other field offices and external customers concerning many regulated topics, thereby facilitating case closure by clarifying key decision points;
  • Advised division leaders concerning enforcement options and associated risks;
  • Prepared comprehensive executive reports and presentations, succinctly explicating complex issues and proposing innovative solutions to complex problems;
  • Actively performance-managed a diverse, 100% teleworking staff by coaching, mentoring and sponsoring each employee, conducting regular team meetings and providing timely performance feedback, training and developmental opportunities;
  • Worked collaboratively with and coached auditors-in-charge (AIC) to improve work load management and on-the-job instruction of subordinate staff and directed the performance of staff auditors by enrolling AICs in the coaching and mentoring functions;
  • Provided equal and fair access to developmental opportunities and solicited regular feedback from all employees;
  • Successfully resolved employee disputes by advocating and modeling an inclusive and respectful team environment;
  • Consistently implement policies and practices that support diversity and encourage team collaboration;
  • Assessed budget plans and recommend cost-saving approaches to reduce direct and indirect costs while maintaining productivity;
  • Engaged employees in business processes with positive motivational techniques, including tailoring special assignments to each employee's unique skill set, providing regular feedback on milestones and facilitating implementation of completed projects;
  • Hired and trained new staff from journey-level to full proficiency level.
Education
06/1998J.D. | LawUniversity of Maine School of Law, South Portland, Maine
  • Top 20 %
  • Graduated Cum Laude
09/1992Bachelor of Science | AccountingUniversity of Southern Maine, Portland, ME
  • Graduated Summa Cum Laude
06/1989Bachelor of Arts | PhilosophyBates College, Lewiston, Maine
  • Graduated with Honors
Certifications

Certified Public Accountant, 2003 - present

Attorney, NH Bar, 1998 - present

Accomplishments
  • Balanced Score Card Strategic Objective Captain, SO-12, Enhanced Risk-Based Enforcement, 2018 - Present
  • Balanced Score Card Initiative Lead, Career Ladder Development Plan, 2018 - Present
  • Balanced Score Card Initiative Lead, Firearms Ammunition Tax Return Revision Team, 2015 -2017
  • Emerging Leaders Program Graduate, 2010
  • Professional Employee of the Year, TTB, 2008
  • University of Maryland "Foundations of Leadership" Program Graduate, 2008
Awards

TTB: 2018, 1 Time Off Award, 1 Performance Award; 2017, 2 Special Act Awards, 1 Performance Award; 2016, 1 Special Act Award, 1 Performance Award; 2006 - 2015: 8 Special Act Awards, 1 Spot Award, 2 Performance Awards, 1 Annual Award

IRS: 5 Performance Awards, 1 Special Act Award, 1 Managers Award

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Resumes, and other information uploaded or provided by the user, are considered User Content governed by our Terms & Conditions. As such, it is not owned by us, and it is the user who retains ownership over such content.

Resume Overview

Companies Worked For:

  • U.S. Treasury
  • Alcohol, Tobacco, Tax And Trade Bureau

School Attended

  • University of Maine School of Law
  • University of Southern Maine
  • Bates College

Job Titles Held:

  • CARES 4112 Remediation Tiger Team Lead
  • Audit Director

Degrees

  • 06/1998 J.D. | Law
    09/1992 Bachelor of Science | Accounting
    06/1989 Bachelor of Arts | Philosophy

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