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Internal Audit

Chicago, IL
October 16, 2019

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Robert Gibson

**** ***** **** ***** *****, Apt **0, Chicago, IL 60657 ● 312-***-**** ●

LinkedIn Profile:

Career Objective

An Internal Audit or Compliance position within a risk management department


Knowledge of audit procedures and control standards

Knowledge of systems software applications and databases common to the mainframe and distributed environments

Knowledge of the operations, functions, and objectives of interfacing areas as required to properly audit operations, services, systems, workflow, and operational impact on other areas

Perform testing of design and operational effectiveness of application controls

Knowledge of Sarbanes-Oxley Act of 2002, Section 404

In-depth knowledge of all TRID requirements and calculations, Equal Credit Opportunity laws, REG Z, REG B, REG X

AUS systems, Freddie Mac Loan Prospector and USDA GUS.

Other operating systems Archer, Encompass, MSP, LIS, OLNACS and APS


8 years of auditing experience

Management and leadership skills


Strong leadership and organizational skills

Problem solving skills with attention to detail

Proactively assess issues, identify solutions and problem solve

React and respond on a timely basis

Seeking CPA from Syracuse University online

Adapt and react positively in a changing and dynamic work environment

Ability to work under pressure and to deliver to tight deadlines

Develop relationships

Proficiency in Word, Excel and Archer

Work under pressure during peak periods

Audit Methodology

Discover Financial Services 2/2019 to 9/2019

Corporate Compliance Management Risk Department

Internal Audit

Work with senior audit management

Conduct high risk audits

Identify risk and controls

Provide risk assessment

Assists with the development of the audit budget and/or timeframe for how the audit will be completed based on the objective and risk of the areas covered within the engagement

Coordinate with other audit teams

Demonstrate professional skepticism on how certain processes are being performed

Finalize work papers

Conduct first level review of planning documents

Apply analytical skills to review information, perform assessments of the audit results, and evaluate the adequacy of controls

Review the work papers of the audit team members ensuring that departmental standards have been met

Communicate the audit status to senior management

Analyze findings and recommendations for the purpose of status updates, memos, and audit reports

Maintain technical competence by ongoing training, seeking development opportunities and applying new knowledge to daily work assignments

PNC 5/2017 – 2/2019

Financial Services Group

Internal Audit and Compliance

Assisted senior management in the development of the internal audit annual risk assessment

Planned, scoped, developed and executed audit programs

Conducted assigned IT audit engagements successfully from beginning to end

Ensured the completion of audit projects in alignment with Internal Audit methodology

Communicated with the technology team, establishing project milestones and deadlines

Monitored the progress of audit fieldwork, reporting progress to audit management

Conducted test procedures, compile audit findings, and communicated remediation plans to senior management

Completed work papers in compliance with established standards

Drafted complete audit reports that clearly and concisely describe issues identified

Fairway Independent Mortgage Company 9/2014 – 5/2017 Internal Audit and Compliance

Tested various loans for corrective action on previously identified issues.

Reviewed documents to ensure all agency and guidelines have been met such as the appraisal, employment and income, closing documents, LTV and DTI ratios and closing documents

Recalculated income, reviewed and validated credit reports for accuracy, purchase and sale agreements and the final title report

Discussed findings with QC manager for response

Questioned remediations and controls with senior management from the line business being audited.

Communicated progress, any issues and audit findings to senior internal audit management

Carrington Mortgage Services 3/2010 – 9/2014

Internal Audit and Compliance

Reviewed large amounts of data to identify loopholes in the remediation process

Developed working papers evidencing performance of audit work.

Partnered with different lines of business that provided requested data for internal audits.

Communicated findings to senior internal audit management.

Performed control testing and ad hoc projects.

Cognizant of current policies and procedures while performing an audit to ensure compliance with company and federal regulations

Stonegate Mortgage, 2/2005 – 3/2010

Internal Audit and Compliance

Developed suggestions for process efficiencies and control improvement based on work performed.

Performed fieldwork (i.e., interviews, sample testing, analysis and discussions with the line of business).

Prepared and communicated audit findings to senior internal audit management.

Examined the audit evidence to determine if the control risk had been remedied by evaluating the primary controls that were currently in production and questioned the revised process.

Communicated with senior management from the line of business to be audited via instant message, email, phone call, or skype meeting.


M.S. in Accounting

Field of Study: Accounting

Syracuse University


B.A. in Economics

Field of Study: Business Economics

Indiana University Bloomington, College of Arts and Sciences

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