Audit Coordinator, Investment Audit Department
- Assemble and maintain binders containing Portfolios of Investments as well as financial statements, along with drafts and supporting documentation
- Prepare and review financial statements for accuracy; compliance testing of portfolios to ensure compliance with GAAP tax requirements, IRS and SEC investment rules.
- Prepare Cash Flow Statements, FAS 157, Level 3 Rollforward and 161, 24f2. Prepare tax information and other required disclosures. Filing N-SAR.
- Train new employees on financial statements preparation, regulatory and GAAP requirements, financial reporting platforms and all applicable system applications.
- Communicate with Fund Accounting on a daily basis to resolve any open issues and complete financial statement preparation
- Conducted audit related activities including obtaining and analyzing data, reviewing record and supporting documentation, completing audit work papers, completing audit findings worksheets, and submitting audit findings for review, discussion, update and approval.
- Coordinated administrative support in relation to the completion of audit files, the semi and annual audit packages; supplier qualification activities and identification of risks associated with audit findings.
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Client Audit Coordinator
- Identify inaccuracies in a historical review of data remittances that can create a potential compliance issue
- Develop containment and remediation plans for various compliance defects that occur with suppliers
- Identify and escalate areas of data gaps that could be remediated to prevent audit finding defects in client conducted audits
- Fulfill monthly and quarterly client-required audit testing and deliverables as well as prepare detailed reports on audit findings
- Serve as a company representative during recurring client conference calls as well as schedule and lead conference calls with suppliers
- Perform quality assurance reviews regarding documentation and information that is submitted by suppliers to ensure completion, accuracy, and compliance with client and legal requirements
- Function as a complaints auditor of consumer complaint processing and escalations for specific clients
- Ensure compliance of suppliers to client standards for consumer complaint remittance
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Provide Audit Coordinator
- Utilizing Audit criteria and guidelines, reviews claims loaded through the Claim Audit Database to identify recovery opportunities.
- Selects and assigns claims for clinical staff to audit.
- Interfaces with External Providers to coordinate audit projects.
- Organizes audit project records, tracks incoming bills and profiles, and confirms itemized bills and pharmacy profiles are prepared and available for review.
- Creates PAF formula sheets for facilities per contractual agreements.
- Monitors amendment due dates and appeals as well as adjudicates approved late charges.
- Maintains department databases, calendars, logs and filing systems.
- Participates in project development and research.
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Vice President - Internal Audit Coordinator
- Assists in the development of the Bank's audit objectives and execute audit plans as documented in the schedule and budget.
- Analyze various Bank operations (Trust, Accounting, Credit Risk & Administration, Investing, Legal, Human Resources, and Bank & Branch Operations) to ensure compliance with accounting principles, business practices and state and federal laws and regulations.
- Determines the effectiveness of the Bank's internal controls.
- Reviews and performs follow-up on audit findings, and corrective actions taken or to be taken by Management.
- Consults with management to facilitate the implementation of audit recommendations.
- On a regularly scheduled basis presents audit concerns to the Audit Committee, Senior Management and Branch/Department Managers.
- Liaison to Bank's external auditors.
- Manages all investigative requests from management, supervisory authorities, external auditors, or the Board of Directors.
- Participates in various committees (Operations Risk Committee, New Products Commitee, IT Sub Operating Commitee, and Steering Committee) to an advisory capacity.
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