Top-Rated Lead Auditing Consultant Resume Examples for California

In a recent audit of a client's inventory management system, I discovered a lack of segregation of duties, allowing a single employee to both approve purchase orders and receive goods. This created a high risk of fraud. I immediately brought this to the attention of the audit manager and recommended implementing a system of dual authorization for purchase orders and independent verification of goods received. We also suggested regular inventory counts to detect discrepancies. This led to the client implementing improved controls and reducing the risk of inventory theft.

I am a member of several professional organizations, such as the Institute of Internal Auditors (IIA) and the Information Systems Audit and Control Association (ISACA). I regularly attend webinars, conferences, and training sessions to learn about emerging trends and changes in auditing standards. I also subscribe to industry publications and follow reputable sources on social media to stay informed about regulatory updates. I also have a subscription to Thomson Reuters Checkpoint for up-to-date tax and accounting guidance.

First, I would meet with the team member privately to understand the reasons behind their missed deadlines. I would listen empathetically and try to identify any obstacles they are facing, such as a lack of training, unclear expectations, or personal issues. Then, I would work with them to develop a plan to improve their performance, including setting realistic deadlines, providing additional support, and monitoring their progress. If the situation did not improve, I would escalate the issue to my manager and discuss further disciplinary action.

I have extensive experience using data analytics tools such as ACL and IDEA to analyze large datasets and identify anomalies. For example, in a recent audit of a client's accounts payable system, I used ACL to identify duplicate payments, suspicious vendors, and other red flags. This helped us to uncover fraudulent activity and improve the client's internal controls. I also have experience using Excel, SQL, and Tableau for data analysis and visualization.

If I suspected fraudulent activity, my primary goal would be to gather sufficient evidence to confirm or refute my suspicions. I would start by carefully reviewing the available documentation and data, looking for patterns and anomalies that could indicate fraud. I would also conduct interviews with relevant personnel to gather additional information. Throughout the process, I would maintain strict confidentiality and follow established protocols for investigating fraud. If I found evidence of fraud, I would immediately report my findings to the appropriate authorities.

During an operational audit of a manufacturing plant, we discovered significant inefficiencies in their production process. The findings were highly technical and involved detailed analysis of production data. To communicate these findings effectively to the plant manager and other non-financial stakeholders, I created a clear and concise presentation that highlighted the key issues, their impact on the plant's performance, and practical recommendations for improvement. I used visual aids, such as charts and graphs, to illustrate the findings and avoided using technical jargon. This helped the stakeholders understand the issues and take corrective action.