Vanessa W. Shuping
Internal Auditor, Regional banking
Charlotte, NC · (704) 555 0112 · name@example.com · linkedin.com/in/vanessawshuping
Key Qualifications
EXPERIENCE
Six years of internal audit in commercial and community banking
INDUSTRIES
Regional banking, consumer lending, deposit operations
SPECIALTIES
Sarbanes Oxley control testing, branch audits, lending compliance
SYSTEMS
AuditBoard, Fiserv core banking, Workiva, Tableau, Excel
CREDENTIALS
Certified Internal Auditor, Institute of Internal Auditors
EDUCATION
Bachelor of science in accounting, North Carolina State University
Executive Summary
Internal auditor with six years at a regional bank holding six billion dollars in assets. Leads branch operating audits, tests Sarbanes Oxley key controls over lending and deposits, and writes the reports presented to the audit committee. Certified Internal Auditor and a member of the Institute of Internal Auditors.
Signature Achievements
- Tested one hundred forty Sarbanes Oxley key controls across lending, deposits and financial reporting with no control failure missed at year end review.
- Found a wire approval gap at eleven branches where a single officer could release transfers up to 50 thousand dollars, and the limit was reset within a month.
- Reduced average audit fieldwork from six weeks to four by standardizing the workpaper template in AuditBoard.
- Audited the residential lending file review process and recovered 340 thousand dollars of unremitted escrow interest owed to borrowers.
- Cleared a backlog of sixty three open audit findings by building a tracking report reviewed by executives every month.
- Wrote nineteen audit reports presented to the audit committee, none of which required revision after committee questions.
Professional Experience
Internal Auditor
Catawba Ridge Bank, Charlotte, NC 2022 to present
Covers branch operations, commercial lending and Sarbanes Oxley testing for a bank with forty eight branches.
- Plans and runs eight to ten audits a year, from risk assessment through report issuance.
- Tests key controls over loan origination, deposit account opening and wire transfer approval.
- Reviews Bank Secrecy Act monitoring alerts for timely investigation and reporting.
- Tracks management action plans to closure and reports aging findings to the audit committee.
Audit Associate
Piedmont Trust Financial, Winston Salem, NC 2020 to 2022
Supported audits of deposit operations and branch cash controls at a nine branch community bank.
- Performed surprise cash counts and vault reconciliations at every branch twice a year.
- Tested new account documentation against customer identification program requirements.
- Drafted findings and recommendations reviewed by the audit manager before issuance.
Licensure and Certification
Certified Internal Auditor, Institute of Internal Auditors, 2023
Member, Institute of Internal Auditors
Education
Bachelor of science in accounting, North Carolina State University, 2020
Core Skills
Sarbanes Oxley testing · Risk assessment · Branch operating audits · Lending compliance · AuditBoard · Workpaper documentation · Audit report writing · Findings follow up · Excel