Angela K. Wallace

CPA, CIA, CISA

*** ******* ******** #***, *******, MD 21113

502-***-****

ab30hz@r.postjobfree.com

PROFESSIONAL EXPERIENCE

Wallace Consulting Services, LLC Self-Employed Consultant

August 2009 - current

I specialize in audit, risk and compliance consulting work ranging from

SOX, disaster recovery, internal control frameworks, process analysis and

improvement, regulatory compliance and executive communications.

. American Commercial Lines-interim audit work for external auditors,

SOX testing, disaster recovery and business continuity process

improvement and substantive audit testing. May 2012-current

. Achieve CCA, Inc.-provided daily accounting and treasury management,

month-end general ledger closing and financial statements preparation

using QuickBooks; directed the year-end financial statement audit and

preparation of audit workpapers. Jun 2010-Aug 2010; Dec 2010-Mar 2011

. Steel Technologies-completed SOX documentation in the areas of

treasury, fixed assets, purchasing and payables, inventory and

revenue, and receivables. Aug 2009-Oct 2009

Waddell & Reed - Louisville, KY Financial Advisor

July 2011-May 2013

Independent financial advisor, finding appropriate solutions for clients in

the areas of financial planning, investment planning, retirement planning,

education planning and estate planning. Series 7 and Series 66 license

holder.

Achieve CCA, Inc. - Louisville, KY Accounting & Compliance

Manager

November 2009-March 2010

Achieve CCA, Inc. was a for-profit credit counseling agency working with

the healthcare industry offering a debt management program to patients who

have incurred medical debt and also contracts with hospitals and physician

practice groups to offer this solution to their patients. The company is

no longer in business.

. Assisted with annual budgeting process and financial estimates using

QuickBooks and Excel.

. Project manager for ISO 9001:2008 certification to obtain debt

management licensing in additional twelve states.

. Managed state compliance initiative for obtaining debt management

licenses in seven states.

Jefferson National Financial Corp. - Louisville, KY Chief Compliance

Officer

June 2005 - March 2009

Jefferson National Financial Corporation, a Registered Investment Advisor,

is the parent company to Jefferson National Life Insurance and JNF Advisor

and markets fixed and variable annuity products, with the flagship product

Monument Advisor, the first flat insurance fee annuity product in the

industry with a portfolio balance of $340MM.

Concurrently performed as CCO and Director of Internal Audit, saving

the Company internal costs of approximately $85,000 annually.

. Planned, executed and performed over 35 annual SEC compliance audits

in areas such as market timing, late trading and exchange offers

mandated by federal securities laws and Investment Company Act of 1940

reporting result to Board of Directors.

. Analyzed accounting policies, procedures and company programs to

ensure compliance with securities laws and regulations applicable to

registered investment advisers and reviewed audit programs, working

papers, audit progress and draft reports of team members to ensure

accordance with Generally Accepted Auditing Standards and determine

resources necessary to complete audits.

. Effectively prepared and communicated the results of audit findings

and third-party IT assessments to the Board of Directors, executive

management and departmental management.

. Through the use of external IT resources, improved vulnerabilities of

IT department with server configurations, security event monitoring,

change management procedures, penetration testing, environmental

controls, password standards and disaster recovery preparation.

. Assisted senior management in complete revision of the Company's

business continuity and departmental disaster recovery plans,

reporting quarterly results of testing to the Board.

. Led a management team to accomplish organizational training objectives

in areas of disaster recovery preparedness, corporate policy regarding

proper use of e-mail, establishment of more secure system passwords,

compliance training on anti-money laundering, market timing and other

significant compliance policies. Counseled and advised team members

with training and performance improvement opportunities.

National Tobacco Company - Louisville, KY Director-Internal Audit

May 2003 - June 2005

National Tobacco is a limited partnership of North Atlantic Trading Company

that manufactures and distributes smokeless tobacco, make-your-own

cigarettes and premium brand cigarettes and has annual revenues exceeding

$100 million.

. Established corporate internal audit function creating a reporting

relationship directly to Audit Committee of Board of Directors.

. Positioned internal audit as value-added business function to address

enterprise risk management to appropriately identify and prepare a

comprehensive risk assessment to prepare audit plans.

. Developed and implemented Sarbanes-Oxley compliance strategy

addressing the 404 project timeliness, documentation methods, testing

and remediation plan by working with external consultants and leading

the project internally.

. Implemented SOX 404 pilot project to establish the process

documentation methodology, identification of key controls and risks,

and financial statement assertions to streamline efforts performed by

external consultants.

. Provided assistance with the review of quarterly and annual filings to

the SEC for sections applicable to internal audit programs.

. Management consultant for internal control evaluations and

recommendations for process improvements of operational, financial, IT

and compliance related areas.

. Communicated orally and in writing with Audit Committee and Board of

Directors to promote effective corporate governance and communicate

changes or risks affecting internal control environment.

. Assisted CFO by performing due diligence on financial statement

information and internal controls on the acquisition of Stoker, Inc.

Humana Inc. - Louisville, KY Audit Consultant

March 1998 - April 2003

Humana Inc. is a Fortune 200 health services company headquartered in

Louisville, Kentucky with 5.3 million medical members and annuals premium

revenues of $10 billion.

. Audit project team member consulting on development of business

continuity plan and supporting plans for emergency mode of operations,

employee training and risk tolerance analysis.

. Designed an Access database to track audit recommendations and

management follow-up comments for Audit Committee resulting in a more

timely and organized method for reporting and resolving audit

recommendations.

. Assess and consult on design and effectiveness of internal controls on

company physician policies, claim processing policies and procedures

and member programs.

. Served as audit team lead to develop or modify audit program to better

align audit steps to risk assessment in the field and guide other team

personnel; develop initial audit determinations that identified

deficiencies or non-compliance and prepared reports of audit findings,

recommendations and remediation.

. Performed audits of regulatory compliance resulting in more efficient

and accurate identification and reporting of federal program members,

related benefits and claims.

. Performed detailed testing and examination of physician programs,

member programs, claims processing and information management

resulting in improved process flows, greater accuracy of claim revenue

recognition and timely identification of potential risks for

management with audit documentation managed in TeamMate and analysis

using ACL audit software.

U.S. Cavalry, Inc. - Radcliff, KY Accounting Manager

February 1991 - March 1998

U.S. Cavalry, Inc. is a mail order and retail business specializing in

military, adventure and camping equipment with annual revenues of

approximately $50 million.

. Managed monthly financial statement preparation, classification of

journal entries, formulating and developing accounting policies and

procedures, year-end audit process and preparation of reports for

Board meetings using Great Plains software.

. Management project lead to design, test and implement new accounts

payable mainframe application resulting in prompt and accurate

processing of daily transactions by integrating purchasing, receiving,

inventory and accounts payable.

. Identified needs for improvement in accounting function regarding

efficiency and effectiveness of departmental policies and developed

recommendations involving substantive impacts on policies, procedures

and systems.

. Managed an internal accounting project to convert fiscal year-end by

modifying general ledger software and designing interim financial

spreadsheets used during transition period.

. Enhanced fixed asset management system by converting data from

spreadsheets into Best Fixed Asset Software that resulted in improved

asset tracking, greater accuracy of depreciation calculations and

quicker analysis of asset depreciation status.

. Provided guidance and leadership to staff of four employees and

received extensive training on leadership and communication skills.

Education & Professional Background

Bachelor of Science - Accounting, University of Kentucky

Certified Public Accountant

Certified Internal Auditor

Certified Information Systems Auditor

Series 7 & 66

Member Organizations

American Institute of Certified Public Accountants

Institute of Internal Auditors

Information Systems Audit & Control Association

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