What Are My Annual Goals

Annual goals:

• Develop an understanding of my client’s business and their accounting process.

• Enhance my technical skills and audit methodology skills by stepping out of my comfort zone and completing challenging tasks

• Actively seek opportunities and assignments at my engagements where I can develop my project management skills

• Perform self-reviews of audit documentation prior to review by others

• Coach and mentor interns and less experienced staff on the engagement to help them succeed

• Continue to develop my technical and leadership skills

• Continue to improve written and verbal communication skills

I made the following progress on my annual goals during this engagement:

During my 7 weeks with the Citi Servicing team, I had the

opportunity to be in charge of three separate AUP/Compliance audit engagements. Given the nature of these engagements, they are very different from the financial statement audit and the learning curve is deep at the beginning of each engagement. Throughout the engagements, I was able to take a grasp of client’s business from a regulation/operational perspective. The in-charge role and the much different material in these engagements forced me out of my comfort zone and to take on challenging tasks such as project management, internal communication, client relationship, coaching, new material learning, and much more. I actively interacted with manager, client, and staff and made sure information got communicated in a timely manner. Given I was also taking on more technical documentation such as planning memo and material weakness consideration memo, I developed a habit to perform self-reviews on my audit documentation before manager/partner reviews. In addition, I was able to provide coaching to interns and less experienced staff in these engagements and pointed them to the directions where works could be done in the most effective and efficient way, such as utilizing GDC for testworks and asking specific documentation for purposes of testwork.

On this engagement, I believe I consistently demonstrated highly effective or outstanding performance for an Associate in the following audit areas:
• I was able to manage various resources available in the engagement, such as the GDC, staff, manager/partner, client contact, and meet all deadlines and milestones.
• I was able to effectively coach interns and less experienced staff in these engagements and helped them overcome the steep learning curve at the beginning.
• I was able to minimize the number of open review notes in the RegAB and Custodial files before filing and address all open review notes soon after filing.
• I was able to timely communicate status/issues internal with staff/manager/partner and externally with client contact
• I was able to quickly learn and develop project management skills in a relatively short period of time. Keeping track of the status of three different files is one of the example.

During my role on this engagement, I identified the following areas for further development:
• I need to continue to develop my project management skills by being more organized through identifying and executing on the priority responsibilities especially in situations where I need to be multitasking and by developing a better tracking system for PBC and testwork management.
• As an in-charge, I need to continue to develop my interpersonal and communication skills.

I made a positive impact to the team environment for this engagement.
I believe I have made a positive impact to the team environment by offering help to members in the team when needed.