Sr Operations Associate Resume Example

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Jessica Claire
Montgomery Street, San Francisco, CA 94105 (555) 432-1000,
Professional Summary

CAREER SUMMARY :Experienced and dedicated senior auditor, with extensive internal/external audit knowledge. Skills in financial, compliance, IT audit and operational areas within different sectors including banking and real-estate.

  • IT Audit
  • Certified Information Systems Auditor
  • Compliance
  • Internal Audit
  • Information Security
  • Project management
  • Risk management
Work History
06/2020 to 12/2020 Sr Operations Associate Aarp | Victoria, TX,
  • Assist in creation of IT risk assessment and develop self-assessment programs to evaluate areas of risk or concern based on regulatory, customer, internal and best practice requirements across the enterprise.
  • Collaborated in the development and implementation of the annual audit plan by assessing relevant risk factors, considering management's expectations of Internal Audit's strategic involvement throughout the organization and with outside vendors.
  • Participated in developing hypotheses regarding potential operational/IT risks and determine appropriate testing strategies to determine if key controls are properly mitigating all identified risks.
  • Develop and maintain an ongoing relationship with control owners and key stakeholders including Information Security, IT, business lines, Internal Audit, and external third parties.
  • Maintain data within system of record which tracks issues, engagements and metrics that gets communicated throughout the organization.
  • Responsible for designing and executing IT audit test plans and reporting results to management.
01/2018 to 01/2020 Sr Internal Audit Analyst Mercy Healthcare | Winfield, MO,
  • Conduct project planning and risk analysis for audits and special projects to develop the audit scope, objectives, and procedures.
  • Execute audit tests; evaluate results, identify, and report exceptions, root causes and recommendations; document audit work in accordance with department and company standards.
  • Identify gaps and inefficiencies, identify process improvement opportunities, create recommendations, and design future state processes collaborate with leadership.
  • Collaborate with leadership and business units to ensure that adequate internal controls are designed and documented to comply with company-wide requirements.
  • Monitor major change in business, process, and systems to ensure timely updating of controls documentation to mitigate the risks.
  • Document, risks, controls, and process workflows while working cross-functionality to achieve a high-quality end-to-end process view.
  • Communicate audit findings and recommendations, both verbally and in writing, to promote constructive change; collaborate with audit team to identify and assess risk areas to be reviewed.
  • Assist in developing effective audit programs and recommend revisions to existing audit programs.
  • Review organizational data, policies, processes, procedures, and practices to verify the accuracy and compliance with management expectations, regulatory requirements, and overall leading practice.
01/2012 to 01/2018 Senior Anti-Money Laundering Analyst Bank Of America Corporation | Pacific Palisades, CA,
  • Analyzed multiple data sources and technical/analytical tools to identify potentially unusual and suspicious activity as defined by AML/BSA regulations as well as industry best practices.
  • Reviewed, researched and made determination of suspicion on items and transactions identified according to the Bank Secrecy Act (BSA) via AML automated alerts, manually received reports and referrals.
  • Wrote and reviewed Suspicious Activity Reports (SAR) while ensuring compliance with federal regulations.
  • Conducted KYC/KYCC procedures to assess and monitor customer risk.
  • Developed and executed high-level strategies and plans in supporting assigned business units with review of transactions, recordkeeping, and communications that are subject to specific regulations affecting the business.
  • Gathered data, reports, and documentation pertinent to regulatory reports and filings for regulatory agencies.
  • Implemented optimum solutions considering policies and current regulations.
  • Prepared recommendations of policies and procedures for future regulatory reporting and compliance.
  • Supported managers and supervisors with complex Fraud investigations, while coordinating with team members and other departments, to determine the proper course of action in handling potentially suspicious activity as required by law.
  • Acted as internal consultant for the compliance/ethics staff and for cross-functional teams to ensure compliance with regulations and policies.
  • Studied highly complex data.
  • Presented insights and learning.
  • Advised management of significant findings.
01/2009 to 01/2012 Business Control Specialist Bank Of America | City, STATE,
  • Identified risks and assess potential impact of risks on the organization using a risk-based approach to develop audit plans and determine areas requiring additional analysis.
  • Built and maintained relationships with business partners at the manager and staff levels.
  • Provided advice and shared Internal Audit knowledge with business partner managers and staff to strengthen governance, risk and control environments, as appropriate.
  • Prepare and execute specific audit programs, risk assessments, procedures, and tasks that are enough to opine on the adequacy of governance, risk management, control and compliance processes.
  • Provided day-to-day project management oversight of Internal Auditors (including project guidance and informal coaching).
  • Conducted first level review of Internal Auditor and Senior Internal Auditor work and documentation.
  • Tracked results of prior audits, identifying audit themes across organizations and determining if appropriate corrective action had been taken regarding significant audit concerns.
  • Contributed to strengthening and improving the governance, risk and control environment of the organization by sharing issues, ideas and recommendations with the Internal Audit Manager/Director and Internal Audit teams.
Expected in 11/2015 Master of Business Administration | Project Management Amberton University, Garland, TX GPA:
Expected in 05/2013 Bachelor of Business Administration | Management/Accounting Amberton University, Garland, TX GPA:
Certified Scrum Master (CSM), Scrum Alliance Inc., 08/2018 CISA (Certified Information Systems Auditor) ISACA

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Resume Overview

School Attended
  • Amberton University
  • Amberton University
Job Titles Held:
  • Sr Operations Associate
  • Sr Internal Audit Analyst
  • Senior Anti-Money Laundering Analyst
  • Business Control Specialist
  • Master of Business Administration
  • Bachelor of Business Administration

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