551-***-**** ? firstname.lastname@example.org
SUMMARY Experienced Auditor with in-depth Internal Audit knowledge in
financial, compliance, and operational areas. Detailed oriented individual
with the capacity to view and approach processes from a broad perspective,
as they would pertain to an organization's strategic position. Excel at
interacting with individuals at all levels to ensure that organizational
goals are attained. Areas of expertise include the ability to logically
research and resolve issues/problems, track and manage projects, and meet
EDUCATION Rutgers University, Rutgers Business School, Newark, NJ
BS in Accounting & Finance, Minor in Political Science, May 2007.
WORK Senior Internal Controls Analyst/Staff II Auditor (August 2009
EXPERIENCE Marsh & McLennan Companies, Hoboken, NJ
Preparing and maintaining of all internal control documentation including
detailed process narratives and flowcharts, outlining the controls within
the transaction stream from initiation to completion ensuring they are
appropriate and complete and as efficient as possible.
Assessing internal controls over financial reporting as part of the
company's ongoing Sarbanes Oxley compliance efforts.
Assist in due diligence review process and post-acquisition integration,
training and support.
Assist with overseeing the internal control evaluations of effectiveness
for the business and provide remediation support.
Interact with and provide continuous improvement recommendations to the
business with respect to internal controls.
Help educate departments across the business on SOX, internal controls and
Developing a broad understanding of the company's functions and business
segments, as well as knowledge of Sarbanes Oxley practices.
Working closely with the North America Controller's team to document the
company's internal controls.
In conjunction with the Asst Controller for Policy and Reporting, help to
solidify the companies' policies and procedures, particularly relating to
Conduct audit fieldwork in accordance with standard audit procedures
including reviewing relevant source documentation, selective testing of
information, interviewing relevant personnel, and reviewing local computer
records to reach a conclusion supported by evidence.
Plan the engagement by assisting with audit engagement letters, writing
planning memos, writing data requirements letters, assigning specific audit
sections to the audit team, and conducting planning meetings with the audit
Maintain working relationships with management and the audit team,
including: Oversees all auditors on-site and provides insight regarding
their performance at engagement's conclusion.
Conducts meetings with management to present opportunities to enhance
controls, including recommended action plans. Identifies best practices and
opportunities for value-added, efficiency recommendations to management.
Write audit reports geared to Executive Management identifying
opportunities to enhance controls and recommended action plans. Works with
business owners to finalize and obtain their Management Actions.
Ensure workpapers and exception items are prepped for finalization
according to department policies and procedures to allow for issue
remediation and tracking.
Maintain strategic industry and company knowledge; continuously updates
practical knowledge and skills by using resources such as reading and
reference materials, and attending training seminars as required.
Coordinate the review of audit findings with Audit and business line
management prior to drafting the audit report.
Assess the business processes to ensure that financial and operating
information is accurate and reliable, risks are identified and managed,
systems of management and control are in place and functioning, and
resources are effectively and efficiently used.
Assist Management in preparing time and staffing budgets for upcoming
Manage/supervise staff auditors assigned to audits, including training and
Assist Management in developing annual audit plans based on risk assessment
covering financial, operational and compliance audits.
Financial Analyst - Consultant (October 2008 - August
Eisai Pharmaceuticals, Woodcliff Lake, NJ
Ensured that proper J-SOX controls are adhered to Eisai Inc. and that the J-
SOX checklists are completed and documentation updated.
Worked with management to maintain and update J-SOX methodology,
incorporate best practices and customize tools and templates to meet
Eisai's compliance needs.
Identified process improvement and program improvements to optimize Eisai's
J-SOX compliance efforts, liaised with external auditors to maximize
reliance on Internal Audit's work.
Coordinated with designated internal and external audit personnel to ensure
that recommendations delivered by Audit personnel are timely implemented.
In conjunction with the Asst Controller for Policy and Reporting, helped to
solidify the company's policies and procedures, particularly relating to
Assessed exceptions identified during testing and communicated to
Monitored the status of identified control test exceptions and remediation
efforts to ensure internal control issues are resolved on a timely basis.
Prepared and reviewed work papers per specified standards to ensure
adequate documentation of J-SOX testing performed and to support
Led the company in the successful completion of J-SOX operational testing
to support management's assessment for J-SOX compliance.
Staff Auditor (June 2007 - October 2008)
American International Group, New York, NY
Evaluated operating effectiveness of internal controls for financial
reporting based upon testing results and communicates operating
effectiveness conclusions and basis to management.
Assisted in planning the scope of work of each engagement in accordance
with the business risks involved and the assigned staff and time budgets.
Supported the Risk and Internal Control Group with efforts to foster on-
going process improvements including quality, efficiency and effectiveness
of testing process.
Prepared work papers and coordinate the receipt of the audit materials
required to analyze and evaluate the entity's control environment.
Discussed recommendations on test plan customizations with either the
Provided on-going communication regarding the status of testing activities
with either the manager/senior auditor.
SKILLS Language: Fluent in Hindi/Gujarati/Urdu. Intermediate
comprehension in French.
Technical: Microsoft Office (Word, Excel, PowerPoint, Access), Lotus
Notes, QuickBooks, Bloomberg, proSystems, GoSystems, Movaris, SAP, ORACLE,
HFM, TM1, ACL, IDEA, Visio, MS FrontPage, WordPerfect, Windows