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Senior Auditor in Charge Resume Example

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SENIOR AUDITOR IN CHARGE
Summary
Through 30 years of business, banking, financial, audit and accounting experience I have gained and possess a thorough knowledge of all aspects of successful business operations. I have extensive experience in internal audit for all areas of banking, including lending (mortgage, commercial and consumer) and operations (such as ACH, debit card, general branch compliance). I have expert knowledge and experience in bank operations/compliance and the Bank Secrecy Act, which encompasses Patriot Act, OFAC, Anti money laundering and FACT Act.
Highlights
  • Strategic planning
  • Procedure development
  • Team building
  • Troubleshooting and problem solving
  • Analytical
  • Process improvement strategies
  • Multi-unit operations management
  • Contract review and recommendations


Accomplishments

Created and implemented the Disaster Recovery Program, which was utilized during Hurricanes Rita and Ike.  The results included minimal downtime for the institution allowing optimal service to customers with minimal impact on staff. 

Experience
September 2015 to November 2015
Company NameCity, StateSenior Auditor in Charge
  • Execute risk-based audits for all areas of business.
  • Perform Risk Assessment for USAA Savings Bank. 
  • Develop and Oversee Audit Plan.
  • Drafted audit report and led meetings with department executives to review audit status and proposed changes.
April 2013 to January 2015
Company NameCity, StateAssistant Vice President - Loans
  • Analyzed applicants' financial status, credit and property evaluation to determine feasibility of granting loans.
  • Educated customers on the variety of loan products and available credit options.
  • Provided financial analysis reports of commercial real estate, large mortgage loans, and borrower's financial statements for bank leadership and loan committee review and approval. 
  • Performed daily maintenance of the loan applicant database.
  • Perform Post Fund audit of select at risk and large dollar loans to monitor performance as well as risk rate for OCC Examiners.
  • Executed the loan origination process, including ordering credit reports, appraisals, preliminary title reports, UCC searches, environmental reports, insurance information and flood certificates.
  • Serve on Project Team to identify Mortgage Application and Payment system to interface with bank's current operational processing system.
  • Oversee the loan administration for the Hill Country division.
  • Prepare loan packages for closing.
  • Perform Post Fund Analysis on select loans based on corporate policy.
  • Maintain select management reports for board of directors and bank leadership.
October 2010 to April 2013
Company NameCity, StateDistrict Operations Consultant
  • Oversee the operations and procedural compliance of Capital One Bank's Golden Triangle District Branches, which consists of 11 branch offices
  • Verified that company controls were in compliance with established policies by performing risk assessments on branches. 
  • Develop and mentor Branch Management and associates resulting in high levels of employee retention.
  • Served on District Leadership Team, which coordinated and interfaced with Regional District Operations Consultants.
  • Interface with Corporate Leadership.
  • Coordinate and oversee system updates.
July 2004 to May 2010
Company NameCity, StateCompliance/Risk Management Officer - Internal Auditor
  • Researched banking guidelines and statutory requirements to stay updated on new laws and applications.
  • Achieved proper compliance and accurate executive level reporting.
  • Developed and supervise Internal Audit Department.
  • Planned and executed operational audits of various business areas using risk-based audit methodology. 
  • Systematically prepared documents and assembled financial statements for independent auditors.
  • Tested the design and effectiveness of internal controls by completing walk-throughs of complex business processes.
  • Diligently monitored remediation plans to confirm proper resolution.
  • Perform audits of Mortgage Department for regulatory reporting and reconciliation of escrow accounts.
  • Perform random audits of mortgage functions to include application process, select mortgage loans to include escrow and non-escrow loans to determine compliance with required closing documents and performance of loans.
  • Established Mortgage Department LAR reporting process as well as audit annual report.
  • Served as Project Manager for automated BSA Reporting system as well as developed and led BSA Department.
  • Developed and supervise Risk Management Department.
  • Coordinate and interface with external auditors and NCUA examiners.
  • Developed and oversee Crisis Management Program.
  • Serve as the Bank Secrecy Act Officer and Security Officer.
  • Developed and implemented the third party vendor management program.
  • Served as Project Manager for the Verafin Software implementation.
  • Liaison to Supervisory Committee of the Board of Directors.
March 2003 to July 2004
Company NameCity, StateFinancial Analyst
  • Implemented multifunctional accounting program.
  • Developed multi-tiered chart of accounts.
  • Created accounting procedure manual for all functional areas of the diocese and trained staff on the new computer system.
  • Developed standard budgetary process for the Diocese of Beaumont and trained staff on budgetary process.
  • Researched and analyzed data as part of the budgetary process.
May 2001 to March 2003
Company NameCity, StateCashier
  • Managed and supervised operational staff of 25 employees.
  • Managed daily cash balance with the Federal Reserve Bank.
  • Managed and maintained the FED line for ACH and wires.
  • Managed the investment portfolio and reported directly to the President, CEO and Board of Directors.
October 1999 to May 2001
Company NameCity, StateInternal Auditor
  • Performed internal audits as scheduled.
  • Filed audit reports and findings to VP of Internal Audits.
  • Served on investment committee.
  • Managed investment portfolios.
Education
August 2011
Tulane University
City, State, USABusiness Administration
MBA
Advanced coursework in Business Administration
Coursework in Finance and Accounting
August 1995
Lamar University
City, StateAccounting
BBAAdvanced coursework in Business Administration
Skills
  • Results oriented MBA level professional with significant and progressive experience. 
  • Ability to disseminate detailed or complex concepts into understandable ideas both written and verbal.
  • Competent multi-tasker who can adhere to regulations as well as organizational policy and procedures.
  • Proficient with various Fiserv network systems, advanced level MS Word. MS Excel, and PowerPoint 


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Resume Overview

School Attended

  • Tulane University
  • Lamar University

Job Titles Held:

  • Senior Auditor in Charge
  • Assistant Vice President - Loans
  • District Operations Consultant
  • Compliance/Risk Management Officer - Internal Auditor
  • Financial Analyst
  • Cashier
  • Internal Auditor

Degrees

  • Business Administration MBA
    Accounting BBA

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