Date

 

 

Hiring Agent Name

Title

Company Name

Address

City/State/Zip Code

 

Dear__________________:

 

I am currently seeking a challenging career opportunity in a <insert job title/position> capacity and am submitting my resume for your review.  In advance, thank you for your time and consideration.

 

I bring to you a seasoned background in directing internal audit operations, exemplary expertise in controlling and strengthening corporate and regulatory compliance, and outstanding capabilities in evaluating, testing, streamlining and enhancing internal control processes. To complement these qualifications, I offer polished organizational, analytical, planning, forecasting, and technical skills which are paramount as a  <insert job title/position>. 

 

As a proactive contributor to your organization, you will find me to be a self-motivated professional and stellar leader committed to supporting you in achieving your objectives through superior performance and initiative. I am confident that I could be a valuable asset to <insert name of company>, and look forward to interviewing with you in the near future.

 

Sincerely,

 

 

 

Yyyyyy x. yyyyyy

 

 

 

 

 

 

 

Dynamic Management Professional eager to contribute strong leadership, process analysis,

and project management skills toward supporting a progressive organization in optimizing compliance and risk management.

 

 

         Significant background in financial services industry with an emphasis in risk assessment, audits, corporate compliance, process optimization, and internal controls.

         Adept at personnel development, team-building, coaching, motivation and leadership.

         Proven ability to establish cooperative working relationships with all levels of an organization.

         Excel in auditing and analyzing a company s operational processes and controls to minimize risk and ensure regulatory compliance.

         Able to institute compliance activities from scratch as evidenced by establishing Internal Audit Department for General Health Services in Madison, Wisconsin.

 

 

Ameriprise Financial, Minneapolis, MN, 1991 to Present

Compliance Director      (2006 to Present)

         Recruited by Chief Compliance Officer to develop compliance testing program in adherence with SEC requirements to swiftly detect and correct deficiencies with company policies and procedures.

         Proactively designed Asset Management Compliance risk assessment process and documentation, and perform extensive testing for annual compliance review.

         Coach and instruct peers in risk assessment, control identification, and test design.

         Attend numerous meetings with independent boards of directors and deliver presentations.

         Conduct additional risk assessments as necessary following major process changes.

         Steer preparation of Conflicts of Interest Matrix, diligently documenting conflicts and corresponding tests of controls, and testing disclosures.

         Create and continually optimize forensic testing program in alignment with industry, regulatory, and management recommendations.

         Conduct independent review of certain controls as requested by peers.

         Spearhead broad-scope Compliance projects as requested by Chief Compliance Officer and play an integral role in preparing documentation for regulatory exams.

 

Audit Director                (1999 to 2006)

Audit Project Leader      (1995 to 1999)

• Leveraged substantial leadership talents to direct audit teams in accurately and thoroughly assessing risk of distribution and product functions. 
• Championed efforts to improve and fortify internal controls throughout organization via advisory engagements, enhanced communication, and effective relationships.

 

Continued

 

 

 

Yyyyyy x. yyyyyy C Page 2 of

 

Professional Experience (Ameriprise) continued

 

Senior Internal Auditor        (1991 to 1995)

• Exercised outstanding organizational skills to plan, schedule, supervise and conduct benefit, client service and financial planning audits. 
• Orchestrated cohesive and collaborative efforts with external auditors to precisely evaluate and strengthen internal controls.

 

First Bank Systems, Minneapolis, MN, 1990 to 1991

Senior Internal Auditor

         Strategically planned and administered consumer lending, mortgage lending, and regulatory audits critical to compliance and quality assurance.

 

                                           

 

Prior Background:

 

Associate Manager, Internal Audit

Prudential Home Mortgage, Minneapolis, MN

 

Corporate Internal Auditor

General Health Services, Madison, WI

 

Senior Financial Auditor

Wisconsin Physicians Service, Madison, WI

 

 

B.B.A., Accounting, University of Wisconsin, Madison, WI

 

CPA

 

 

American Institute of CPAs

 

Minnesota Society of CPAs