Taylor Du Bray
Denver,CO
Summary
Highly motivated, high-achieving, enthusiastic, results-oriented professional with effective leadership, communication, and project management skills. Proven abilities in successfully managing multiple projects simultaneously, identifying operational/control gaps and inefficiencies, evaluating business risks and enhancing internal control processes. Strong analytical and problem solving skills with ability to determine root causes associated with issues. Skilled at building effective and productive working relationships with people of all levels. Over 5 years in the financial services industry with experience in internal audit, and in-depth knowledge of SEC and FINRA rules and regulations governing registered investment advisers, mutual funds, and broker dealers, respectively.
Overview
5
5
years of professional experience
Work History
Internal Audit Manager
Charles Schwab
Lonetree, CO
05.2023 - Current
- Proven expertise in planning, managing, and executing internal audit assignments covering multiple business areas in alignment with IIA standards, firm policies, and methodology.
- Perform comprehensive internal audits, including designing test plans to ensure adequate identification of key risks and compliance with applicable regulations across various domains, including compliance, securities trading, portfolio management, integration, product development, proxy voting, and investment research.
- Serve as the project manager for each internal audit, and supervise audit operations to timely achieve audit milestones, and efficiently manage resources.
- Prepare and review audit and testing documentation, vet internal audit findings with key stakeholders, and document finalized findings in the audit report.
- Successfully manage and train team members across various levels to enhance audit department performance, increase operational efficiency, and maintain a collaborative work environment.
- Perform yearly risk assessment updates to maintain accurate documentation for multiple auditable entities.
- Interfaced with business partners across multiple lines of business to understand processes through effective interpersonal skills.
- Actively contribute to internal audit strategic initiatives by providing comprehensive training on front, middle, and back office operations, regulatory reforms, internal audit methodology best practices, and the development of job aids used to support the teams' understanding of the audit management system.
- Validated a matter requiring attention to ensure adherence to action plans provided to the Federal Reserve Board, and compliance with applicable regulations.
- Acknowledged by management and peers for consistently delivering high value.
Internal Audit Senior Specialist
Charles Schwab
Lonetree, CO
09.2021 - 04.2023
- Identified key risks, conducted complex control and issue validation testing, and assessed compliance with key regulations across various business areas.
- Completed critical audit deliverables, such as planning memos, process flowcharts, risk and control matrices, issue analyses, and summary memos.
- Facilitated meetings with key stakeholders and management throughout all phases of the audit, including discussions on audit findings and recommendations.
- Provided training, mentoring, and feedback to peers, and successfully supported new team members.
Internal Audit Specialist
Charles Schwab
Lonetree, CO
06.2020 - 08.2021
- Developed a strong working knowledge of key risks, controls, and the internal audit lifecycle.
- Performed planning, fieldwork, and reporting tasks to support internal audits across various domains.
- Assisted with operational tasks such as the management of internal audit status, issue validation status, audit file preparation, and implementation.
- Served as a subject matter expert for the audit management system, including creating job aids and providing training to peers and management.
Education
Bachelor of Arts - Business Administration And Economics
Coker University
Hartsville, SC06-2020
Skills
- Audit and project management
- Data analysis
- Excellent writing skills
- Internal controls
- Microsoft Office Suite
- Risk assessment
- Team leadership
- Attention to detail
- Relationship building
- Conflict resolution
- Critical thinking
- Managing multiple competing priorities
- Self-motivation
- Training and mentoring
Professional Affiliations
Institute of Internal Auditors
Certifications
Influence Skills for Leaders, Communicating with Clarity, Communication with Executives
References
References available upon request.
Timeline
Internal Audit Manager
Charles Schwab
05.2023 - Current
Internal Audit Senior Specialist
Charles Schwab
09.2021 - 04.2023
Internal Audit Specialist
Charles Schwab
06.2020 - 08.2021
Bachelor of Arts - Business Administration And Economics
Coker University
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