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Financial Auditor Resume Samples
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0-5 years of experience
Planned and directed financial and operational audits to provide assurance regarding the existence and effectiveness of internal controls. Conducted special investigations, as necessary.
- Developed audit conclusions, wrote audit reports and presented findings to management.
- Provided ongoing feedback, coaching, education and direction to audit staff.
- Instrumental in increasing external auditor reliance on department’s work by 37% over three years.
- Managed Audit Services’ 2009 risk assessment plan, including preparation of Board of Director presentations.
- Co-chair of the Fundraising Committee of the Women of Finance group. Successfully coordinated a kick-off event for 80 participants, a clothing drive for Goodwill Industries and an end-of-the-year celebration that raised approximately $12k for charity.
0-5 years of experience
Performed substantive test work and analytical procedures over cash, accounts payable, accounts receivable, payroll, fixed assets, and revenue
- Audited real estate, energy, and manufacturing companies ranging from $5mill to $1bill in annual revenue
- Identified, documented, and analyzed internal control tests, design tests of effectiveness
- Provided valuation consulting services and reviewed merger and acquisition transactions
- Ensured that financial statements were properly stated in accordance with GAAP
- Investigated and reconciled discrepancies, and worked with clients to make proper accounting changes
0-5 years of experience
Liaison for all correspondence regarding tuition and scholarship financial allocations to university tuition departments, registrars’ offices and scholarship recipients
- Responsible for oversight of tuition and fee disbursements for over 3,000 students
- Managed and allocated student reimbursements to ensure compliance with scholarship regulations
- Prepared and provided accurate data and reports to SACM management
- Negotiated tuition contacts and memorandums of understanding with educational institutions seeking to accept scholarship recipients interacting with more than 250 universities, community colleges and English language institutes
- Recommended and implemented an effective method of tracking financial information and tuition reimbursement for submission to SACM management
0-5 years of experience
Conducted audits reviewing and evaluating the financial records, operations of departments and contract files within the Taxation & Revenue Department statewide.
- Developed audit programs, tests and procedures to be performed
- Perform investigative audits on internal and external customer complaints
- Trained and assisted 175 field office personnel in close-out procedures, document management and daily audit techniques
- Testified as an expert witness in legal hearings
- Researched and prepared real and chattel property chain of title
0-5 years of experience
Performed financial statement audits based on GAAP.
- Audited mid to large size textile, manufacturing, electronic industry and financial services including Standard Chartered
- Completed internal control audits based on government regulations.
- Assisted in establishing new internal control rules in compliance with the Sarbanes-Oxley Act.
- Prepared audit reports and tax return filing for clients in the banking and IT industries.
- Participated on the Audit Team assigned to complete an international bank merger.
- Assisted in the IPO process for a computer component company with an initial capital of $53,000,000.
0-5 years of experience
Conducted monthly, quarterly and/or annual audits of Financial Statements at client locations
- Performed quality control audits at client locations
- Conducted reviews of SEC filings, including, 10Q, 10K and Press Release
- Developed and created flowcharts of business processes
- Conducted audits of inventory for external clients
0-5 years of experience
Performed financial, operational, and compliance audits to assess the existence and effectiveness of controls, accuracy of financial reporting, efficiency of operations and the compliance of SEC guidelines for a $2.4 billion manufacturing company and its subsidiaries.
- Developed and performed documentation and testing procedures for various functions for Sarbanes-Oxley.
- Performed due diligence and acquisition audits for all potential and acquired companies.
- Prepared and presented reports of findings and recommendations to senior management.
- Assisted in creating and producing quarterly Audit Committee reports.
- Performed efficiency audits on domestic and global business units to increase operating efficiency.
0-5 years of experience
Examination, investigation, and review of records, reports and financial statements.
- Evaluated and ensured compliance with state statutes and internal regulations.
- Reviewed internal controls for school districts and charter schools.
- Drafted audit reports and recommendations.
- Conducted entrance and exit interviews.
- Conduct staff training in auditing and governmental accounting procedures.
0-5 years of experience
Developed internal and external financial, operational and contract audit plans for $900MM company
- Supervised and performed various internal audits and return of investment analyses
- Performed in-depth analyses of special projects for Senior Management and Board of Directors
- Assisted legal counsel with financial analysis for litigation support
- Presented audit findings to Board Audit Committee and Board of Directors
0-5 years of experience
Evaluate loan and lease contracts and documentation meticulously and with strong attention to detail.
- Identified missing information, errors, & ambiguity of important financial documents and resolved them accordingly.
- Maintained positive and effective relationships with clients by professionally and punctually addressing issues and resolutions via phone, fax, and email.
- Exceeded a quota of accounts processed on a time scale without compensating quality.
10+ years of experience
Performed final joint audits on members that have recently executed a Permanent Change of Station move to ensure all entitlements were correct.
- Developed, implemented, and monitor performance enhancement training programs.
- Reviewed pay authorization documents, determined entitlements, and manually computed amounts. Determined entitlements to reenlistment bonuses to make the appropriate payment.
- Maintained a working knowledge of all regulations, orders, policies, and advisories and made changes when necessary.
- Provided guidance to co-workers on how to compute and properly settle adverse travel claims, and was recognized for high level of productivity and accuracy.
0-5 years of experience
Performed clients interviews and risk assessments to improve understanding of audited areas.
- Reviewed clients’ accounting processes and internal controls and implemented audit testing
- Examined assets, liabilities, general ledger, intercompany accounts, and reconciliations
- Completed detailed SOX compliance control testing and presented recommendations to client.
- Planned and conducted audit preparation on an assignment. Directed audit team and served as a liaison during audit phase between clients and [company name]’s managers.
0-5 years of experience
Independently developed an internal audit testing program defining the scope and planning for financial compliance audits.
- Gathered audit data from company documentation, conducted interviews with employees, performed analytical testing and completed observation testing.
- Designed flowcharts detailing business processes, evaluated risks to the company and analyzed existing internal controls to mitigate those risks.
- Assessed management responses to the findings and coordinated interaction among departments to ensure satisfactory resolution of any issues identified.
- Executed annual physical inventory for assigned areas and performed detailed analysis to reconcile discrepancies.
0-5 years of experience
Evaluated the effectiveness of internal controls, operating practices and their associated risks
- Determined compliance of departments with the company’s policies and procedures
- Identified missing controls, non compliance with policies and circumvention of controls
- Developed audit findings and prepared audit reports for senior management
- Audits Performed: Political Action Committee, Deferred Profit Sharing Investments Plan, State Government Affairs Expenditures, Leaf Procurement, Policy Compliance Review, Incremental Cost
0-5 years of experience
Ensured that any changes in state regulations to the audit process are being implemented and maintained
- Assisted in the assessment, development, and implementation of audit policy and procedures
- Maintained all audit records and ensured accuracy of all related activities
- Provided in-service training to Audit staff on agency policies and procedures and auditing procedures
- Assisted Assistant Controller in preparation of audit reports
6-10 years of experience
Conducted audit entrance conferences with management of audited units and discussed the purpose, scope and process of the audit.
- Performed risk assessment to adequately account for risk at the engagement level.
- Designed audit procedures to ensure that controls are in place and functioning effectively.
- Prepared and directed the development and completion of audit tests for operational, compliance, and financial audits.
- Conducted audit exit conferences with management of audited business areas and discussed draft audit reports.
- Communicated final audit results via written reports to management.
- Performed follow-up reviews on reported audit findings.
0-5 years of experience
Participated in fifteen audit engagements of manufacturing facilities and international affiliates covering various divisions.
- Coordinated the planning and execution of seven international audits, which included identifying and assessing business risk, managing the audit budget, coordinating staffing requirements, leading meetings with local and regional management, and issuing audit deliverables.
- Assisted audit management with developing a methodology to review, explain and periodically report travel expense variances to Plan and LBE.
- Supervised international resources and mentored new audit staff and trained them on corporate policies and procedures and audit approach.
- Communicated in Spanish fluently with four countries to facilitate a smooth audit.
0-5 years of experience
Prepared daily detailed audit reports of 7 different departments’ cash inflow and discrepancies using Lotus and Excel.
- Supervised over 50 employees within 7 different departments.
- Coordinated the renewal and maintenance of over 15 different liability insurance choices for a high attraction tourist site.
- Managed personnel files for current and new hires
- Benefits administration; distributed enrollment packages, explanation of benefits, and prepared enrollment forms.
- Payroll administration; tracked ETO, and Vacation for the department.
0-5 years of experience
Performed financial statement audits of government agencies such as Internal Revenue Service (IRS), Federal Deposit Insurance Corporation (FDIC), and Federal Emergency Management Agency (FEMA).
- Completed inventory audits of critical equipment and completed policy review of disposals for the IRS.
- Documented process flow and controls of receivership receipts and performed testing of U.S. Treasury Investments for FDIC.
- Reviewed internal controls on the purchasing process of property and equipment for FEMA.
- Prepared quarterly reports for Congressional committees on the use of appropriated funds by legislative agencies.
0-5 years of experience
Performed financial statement audits of government agencies such as Internal Revenue Service (IRS), Federal Deposit Insurance Corporation (FDIC), and Federal Emergency Management Agency (FEMA).
- Completed inventory audits of critical equipment and completed policy review of disposals for the IRS.
- Documented process flow and controls of receivership receipts and performed testing of U.S. Treasury Investments for FDIC.
- Reviewed internal controls on the purchasing process of property and equipment for FEMA.
- Prepared quarterly reports for Congressional committees on the use of appropriated funds by legislative agencies.
0-5 years of experience
Planned and performed audits (compliance, operational and financial) of all operations in compliance with professional and departmental quality standards.
- Documented financial processes and performed tests of internal controls for the Company’s SOX compliance program.
- Prepared audit reports for management and Audit Committee.
- Communicated issues to all levels of management.
- Assisted external auditors.
- Managed assigned special projects.
0-5 years of experience
Developed and implemented the Annual Audit Plan for Bank Operations.
- Managed or individually performed all aspects of the audit process including developing audit programs, conducting fieldwork, summarizing audit results and drafting audit reports.
- Managed and/or conducted audits of Bank Branches, Small Business Administration Loans, Accounting (G/L, A/P, A/R) department, Commercial Lending and Collections.
- Participated with Due Diligence Audits of Commercial Saving & Loan Acquisitions.
- Responsible for review of accounting and internal control procedures.
- Trained staff members on internal audit control testing process.
0-5 years of experience
Lead bank reconciliations, which spanned back eighteen months, included 6 escrow accounts as well as the law firm’s operating account.
- Analyze performance to generate weekly reports for Chief Financial Officer (CFO).
- Assisted and worked with accounting managers to move out of Quickbooks and transition into Microsoft
- Coordinated with CFO to update A/R Aging Report for the 2012 fiscal year.
- Improved productivity by resolving concerns in departments utilizing automated sequence solutions.
- Chosen for various business trips to increase efficiency and effectiveness within internal system
6-10 years of experience
Developed and performed financial, operational and compliance audits within various areas of the company.
- Interviewed key personnel of audited areas to understand processes, internal controls and risks to evaluate their efficiency and effectiveness.
- Developed internal audit plans for staff auditors to ensure compliance with laws, regulations and internal policies.
- Communicated with staff and all levels of management regarding potential areas of weakness and provided updates to audit and financial results.
- Drafted audit findings, audit reports and other correspondence related to the planning and reporting of the audited area.
0-5 years of experience
- Analyzed business operations, enhanced accounting procedures and performed various analytical procedures
- Performed financial statements audit, compliance audit, and agreed upon procedure in excess of $5.1 billion
- Examined financial report to verify the existence, occurrence, completeness, accuracy and compliance to reporting standards. Generated financial and other relevant reports using SQL and ad-hoc reporting
- Plan, identify, and test controls; present findings and recommend actions to management
0-5 years of experience
Gained extensive knowledge in accounting and operation, auditing company financial statements and records. Developed effective communication skills in serving New York based hedge fund clients.
- Specialized in hedge fund audit including multi-strategy funds, long/short equity funds, and distressed funds
- Interviewed and interacted with senior managements of client companies to gain full understanding of their businesses
- Compiled reports of client companies and researched client industry to assess audit risks
- Conducted audit of financial statements and disclosures for client companies
- Gained exposure to financial products including interest rate, equity, FX, and credit related derivatives (swaps, forwards, futures and options), fixed income products (corporate and government bonds), and equity securities
- Worked independently with minimal guidance to complete entire financial audit of hedge funds (AUM < 1bil)
0-5 years of experience
Evaluated controls and prepare audit reports with value-added recommendations
- Interacted and collaborate with management throughout the organization
- Performed integrated operational/ information audits and data analytics
- Evaluated risks and test key controls throughout the year
- Assessed the controls, reliability, and the integrity of the company’s internal control environment to assist with maintaining and improving the efficiency and effectiveness of risk management, internal controls and corporate governance.
0-5 years of experience
Developed operational and financial audits programs, conducted audits and prepared audit reports.
- Flowcharted significant processes, identified and tested key internal controls.
- Conducted audits in accordance with GAAS, audited to ensure compliance with FAR, prepared audit reports and presented report findings and recommendations to DOE, DCAA, and the OIG.
- Supervised four internal auditors and reviewed audit work papers and reports.
0-5 years of experience
Performed audit of state agency, Department of Children & Family Services, in conformance with professional auditing standards
- Collected and analyzed data to detect deficient controls, fraud, and non-compliance with laws, regulations, and management policies
- Interviewed and observed DCFS employees to ensure proper operational procedures
- Performed risk assessment, audit planning, and other audit duties as required
0-5 years of experience
Participated in the completion of internal audit examinations.
- Analytical Documentation: Prepared work papers and documented audit evidence including process documentation and related test work.
- Presentations: Drafted recommendations and communicated control weaknesses and findings to audited area management.
- Time Management: Organized and completed work within established budget and time frames under direction of the Financial Audit Supervisor.
- Federal Regulations: Participated in special projects such as Sarbanes Oxley and performed additional assignments as requested by management.
0-5 years of experience
- Performed limited and full scope audits of divisions, subsidiaries and branches.
- Analyzed departmental operations and documented procedures via flowcharts and workpapers.
- Identified strengths and weaknesses in operations and provided process improvement recommendations.
- Analyzed various financial reports and records to ensure compliance with company’s policies and procedures.
- Recommended and contributed to the conversion and automation of manual workpapers to Lotus Notes.
- Participated in major discovery of fraud case through extensive analysis of credit memos.
0-5 years of experience
- Produced, maintained, and analyzed primary care physician capitation on a monthly basis
- Produced monthly reports of financial activities (i.e. payment analysis, capitation summary)
- Developed, produced, and improved quarterly report used to analyze and compare claim payment trends
- Created and ran automated claims reports to extract data from the IDX system and Access database
- Performed research and recommended preferred utilization strategies and payment methodologies
6-10 years of experience
- Created new GL accounts and generated P&L reports and Excel spreadsheets
- Maintained all bookkeeping records including general ledger and trial balance.
- Managed Payroll, cut checks, created invoices and produced open A/R reports.
- Reconciled bank accounts and provided client services.
- Handled pledges through razor edge.
0-5 years of experience
- Led audit team for a variety of clients in entertainment, financial services and employee benefits industries.
- Planned and executed all phases of the audit process including: planning, control / substantive testing, reporting and filing.
- Interacted with management of client companies discussing sensitive financial issues and making recommendations for reporting and process improvements.
- Managed the overall progress and budget of the audit, supervised and reviewed staff’s work to ensure any potential issues and findings were properly addressed.
- Performed Sarbanes-Oxley Section 404 compliance, including evaluating process documentation, testing effectiveness of internal controls, and assessing control deficiencies with recommendations for remediation.
0-5 years of experience
- Managed and led financial, operational, and information system activities for a $1 billion multinational enterprise and operating subsidiaries located in Singapore, Korea, India, Malaysia, and Thailand.
- Performed two equity injection reviews with joint venture partners amounting to $28 million.
- Managed full-time audit professionals and contract auditors from local accounting firm during audits.
0-5 years of experience
Lead auditor on 5 Casino clients, 3 Tribal Government clients, 4 401(k) clients, and 1 College client
- In-charge of a large tribal government in Washington for the past two years; drafted government-wide financial statements and notes (operations include tribal government and eight tribal enterprises)
- Perform internal audits by verifying the Casinos are in compliance with the National Indian Gaming Commission (NIGC) or the Nevada Gaming Control Board
- Perform Title 31 audits by reviewing transaction logs held by the Casino, inquiries with various Casino personnel, review the clients Title 31 program
- Perform financial audits of Casinos, Tribal governments, and related Tribal enterprises by obtaining the client prepared Trial Balance and using PPC checklists and audit programs
- Perform compliance audits by verifying the Casinos controls with the NIGC Minimum Internal Control Standards (MICS)
- Perform 401(k) audits through verification of client and plan administrator documentation and the use of PPC checklists
0-5 years of experience
Lead auditor on 5 Casino clients, 3 Tribal Government clients, 4 401(k) clients, and 1 College client
- In-charge of a large tribal government in Washington for the past two years; drafted government-wide financial statements and notes (operations include tribal government and eight tribal enterprises)
- Perform internal audits by verifying the Casinos are in compliance with the National Indian Gaming Commission (NIGC) or the Nevada Gaming Control Board
- Perform Title 31 audits by reviewing transaction logs held by the Casino, inquiries with various Casino personnel, review the clients Title 31 program
- Perform financial audits of Casinos, Tribal governments, and related Tribal enterprises by obtaining the client prepared Trial Balance and using PPC checklists and audit programs
- Perform compliance audits by verifying the Casinos controls with the NIGC Minimum Internal Control Standards (MICS)
- Perform 401(k) audits through verification of client and plan administrator documentation and the use of PPC checklists
0-5 years of experience
Developed written audit program following generally accepted accounting and auditing standards
- Performed audits by analyzing data and documents to report on the adequacy, accuracy, and effectiveness of the activities being reviewed
- Made written and/or oral presentations to management, discussing deficiencies and making recommendations
- Performed analyses on various general ledger accounts
- Maintained fixed asset accounting system including month end close and necessary journal entries
0-5 years of experience
- Conducted on-site audits at operating units and staff departments to measure compliance with and effectiveness of policies, procedures, systems, methods and controls.
- Verified adequacy and accuracy of operating reports, financial statements, administrative procedures, and management information reports.
- Developed audit comments, obtained management responses and reviewed the draft comment letter with management prior to audit exit meeting.
- Performed or assisted in the evaluation of special projects, audits and reports as directed by the audit manager.
0-5 years of experience
- Reviewed and audited all daily financial information for the resort, including sales and transaction statements.
- Reconciled monthly credit card statements for Amex and Visa/MC.
- Entered daily financial data for the resort into MAS accounting system.
- Acquired valuable knowledge of the inner workings and financial structure of the hospitality industry.
0-5 years of experience
- Identified internal controls and sourced business risks by interviewing client management and documenting information flow
- Reviewed ledgers and supporting document, and performed test of controls to detect systematic deficiency
- Adjusted financial statements in accordance with local GAAP and International Accounting Standard
- Drafted audit report in compliance with GAAP disclosure requirements for annual audit, IPO and due diligence
0-5 years of experience
- Maintained compliance with credit risk benchmarks by monitoring cash balances at close of each business day.
- Ensured reporting accuracy in auditing financial statements within fund group.
- Supported internal consistency by developing and implementing training programs for new entry-level employees.
- Assisted with annual ERISA reporting by providing legal department with all relevant required data.
0-5 years of experience
- Developed strong understanding of the P&L, expense analysis, and the organization’s business model
- Initiated revision of state tax guidelines resulting in an update to Policy & Procedures
- Created new Microsoft Excel templates to minimize manual data entry and provide more comprehensive analysis of store operations
- Strengthened ability to work independently and diligently with minimal oversight
- Performed three advanced facility training sessions with new auditors
- Analyzed internal controls and existing processes at the store level and provided coaching to management
- Suggested revisions to existing Field Audit steps to accurately identify and review sources of risk within stores
0-5 years of experience
- Prepared year end workpapers, including adjusted trial balances, bank reconciliations, and other supporting schedules
- Audited, reviewed, and compiled financial statements
- Maintained securities inventories for several foundations and trusts
- Prepared Corporate, Individual, and Partnership income tax returns for Federal and various State governments
- Prepared quarterly and year end payroll tax returns
0-5 years of experience
- Performed financial audits of reinsurance partners to verify compliance with contractual obligations.
- Performed complex data analysis using ACL and MS Access on premiums and claims data provided by reinsurance partners.
- Performed extensive sampling selection and compared data provided to statements submitted to find discrepancies.
- Analyzed data presented, evaluated the impact of information collected and drew appropriate conclusions.
- Ability to communicate clearly, concisely, and accurately using oral and written communications with all levels of management.
0-5 years of experience
- Performed weekly audits on University Credit Cards for the Senior Accounting Department for accurate use of card services.
- Performed cost analysis on credit card purchases to vendors to ensure projects stayed within allotted budget
- Developed a vendor analysis tracking all costs associated with the University’s Building Maintenance Division
- Performed payroll process for employees and management of the University’s Building Maintenance Division.
- Managed staffs daily time load of projects being performed on University’s campus.
- Trained staff on new policies and procedures of newly implemented operating system.
6-10 years of experience
Audited funds characterized by complex accounting procedures, rules and regulations.
- Performed numerous financial statement audits of various government agencies including A133 audits.
- Performed audit planning, risks assessment, analytical review, and audit program preparation.
- Premier user of computerized audit techniques for statistical sampling.
- Formulated audit conclusions and issued recommendations to management with regard to audit findings.
- Extensive GAAP, GAAS and internal control experience.
0-5 years of experience
Performed Financial, Operational, Manufacturing and Sarbanes-Oxley Audits and business process consulting to manage corporate risk and compliance for an $8 billion leading consumer brands company.
- Prepared quarterly risk assessment reports on $550 million home and hardware subsidiary.
- Assisted in conducting peer interviews for potential audit staff.
- Managed process and prepared 2007 audit schedule for department.
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Financial Auditor
Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
