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Audit Manager

Location:
Garland, TX, 75040
Posted:
November 28, 2009

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Resume:

Robert G. Taylor, CPA, CISA

Phone: 214-***-**** E-mail: o6q020@r.postjobfree.com

SUMMARY

Innovative, process-oriented internal audit manager at $16B assets regional bank with 160 branches in Texas and California. Thorough understanding of all phases of commercial and retail banking. Extensive experience in creating and executing progressive risk-based audit plans incorporating all phases of banking, including credit underwriting and administration and regulatory compliance. Designed and implemented SOX compliance testing program based on COSO framework. Managed SOX testing effort, evaluating and reporting results. Co-created comprehensive regulatory compliance audit program.

• Risk-Based Auditing

• Integrated Audits

• Audit Planning

• Risk Assessment

• Audit Issue Tracking and Follow-up

• SOX/FDICIA Project Management

• Regulatory Compliance

• BSA/OFAC/USA Patriot

• Coordination with Enterprise Risk Management

PROFESSIONAL EXPERIENCE

GUARANTY BANK/BBVA COMPASS, Dallas, Texas 20 years

Audit Manager, Assistant Vice President

•Managed professional staff of four in conducting 3-5 concurrent audit projects, with audits integrated to include operational, financial, compliance and information systems components. Comprehensive audits included process analysis, risk assessment and detail testing of processes based on risk.

•Monitored management actions in response to audit issues through formal tracking and follow-up program.

•Created and executed risk-based audit plan, evaluating each functional area across multiple risk criteria.

•Established and directed bank-wide testing program for SOX and FDICIA compliance, including detail testing of 122 key controls identified by management.

•Coordinated internal audit assistance to external auditors resulting in reduced audit fees, including synchronization of internal audit assistance and SOX testing to avoid duplication and maximize audit effectiveness.

•Co-developed comprehensive regulatory compliance audit plan and related audit testing programs for all banking regulations.

•Developed comprehensive tool for evaluating bank management’s BSA/OFAC money laundering risk assessment.

•Coordinated audit planning and audit project risk assessment with efforts of bank’s Enterprise Risk Management function.

INDEPENDENT AMERICAN SAVINGS/SUNBELT SAVINGS, Dallas, Texas 2 years

Senior Auditor

•Conducted operational, financial and compliance audits.

•Assisted external auditors.

DALLAS FEDERAL SAVINGS/BRIGHT BANK, Dallas, Texas 3 years

Auditor

•Conducted operational, financial and compliance audits.

•Assisted external auditors.

FIRST STATE BANK, Morton, Texas 3 years

Controller

N. C. SHELTON, CPA, Morton, Texas 3 years

Accounting, Audit, Tax

CERTIFICATIONS

Certified Public Accountant

Certified Information Systems Auditor

EDUCATION

Bachelor of Business Administration in Accounting

Texas Tech University

PROFESSIONAL MEMBERSHIPS

American Institute of Certified Public Accountants

Texas Society of Certified Public Accountants

ISACA



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