Senior Auditor
Resume:
Katherine Wagner
adfazz@r.postjobfree.com
Experience
Senior Auditor August 2018 - Present
Wells Fargo - Charlotte, NC
● Conduct operational effectiveness audits within the Wholesale Capital Markets and Commercial Banking spaces.
● Lead business partner meetings to provide credible challenge for process improvement related to operational efficiency and effectiveness.
● Present findings for areas of process improvement to business partners with viable solutions for implementation
● Conduct audit analysis to ensure effective and appropriately functioning risk management methodology.
● Identify key risks and controls in wholesale lines of business and develop control effectiveness testing plans.
● Manage issues from inception within the line of business through Internal Audit validation.
● Train new hires with the responsibility of teaching audit methodology and best business practices.
● Prepare various sections of the Business Management Program (BMP) Memos quarterly to present to Audit Directors and provide updated information of the changes within the Corporate & Investment Banking team. Brokerage Investment Professional July 2017 - August 2018 Vanguard- Charlotte, NC
● Engaged on a daily basis in investment conversations with high net worth clients to identify personal investment objectives and provide appropriate investment guidance, product suggestions, or solutions.
● Analyzed and documented performance data as team lead for digital initiative to streamline business processes.
● Collaborated with different lines of business to resolve complex client investment issues.
● Conducted audit analysis of call quality to mitigate risk and maintain compliance with FINRA rules and regulations.
● Reported trade disputes on behalf of clients for trades suspected to be made in error or fraudulent. Accounting Assistant August 2016 -May 2017
Concord Hospitality – Raleigh, NC
● Prepared monthly and quarterly sales tax, use tax, and local occupancy tax returns.
● Reviewed property budget and expenses to ensure documentation completion prior to funding.
● Assisted property controller with period end financial reports and closings.
● Managed the accounts payable process involving payroll, vendor inquiries, and manual payments.
● Verified accuracy of invoices, general ledger coding, date, vendor name, address, terms and proper approval. Finance Intern October 2015 – May 2016
Masco Corporation, Liberty Hardware Business Unit – Winston Salem, NC
Successful completion of the Summer Intern Project and participation in finance Continuous Improvement Event.
Analyzed 50% drop in freight revenue reports and initiated response to collect outstanding debts
Analyzed funding reports to identify errors in billing process and recorded macro to generate useful exception reporting during month-end closing.
Calculated a new accrual estimate for 2015 freight contracts, validated the previous estimate, and assisted in the maintenance of internal controls.
Education
North Carolina State University, Raleigh, NC Graduation date: May 2017
Bachelor of Science in Accounting, Concentration: Financial Analysis
Bachelor of Science in Business Administration, Concentration: Marketing Certifications and Licenses
● Series 7 license
● Series 63 license
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