FARRUKH KHAN

FARRUKH

*** ***** ***** ****, ************, SC 29681 USA

Home: 678-***-**** Cell: 864-***-**** Email: acgmkw@r.postjobfree.com

CAREER OBJECTIVE

A highly ethical and efficiency driven leader with over 20 years of audit, risk and governance experience,

seeking a leadership position in a challenging, stable and rewarding environment.

SKILLS

Solid understanding of: US GAAP; SAS; International Accounting and auditing Standards (IAS and

ISAs); Sarbanes Oxley Act of 2002; PCAOB publications and directives; IIA Standards; COSO Framework

(Original and revised); Risk based auditing; Risk Assessment, Risk evaluation and monitoring; Audit software and

tools; SAP, ACL and ERM applications.

Global Exposure – USA, Canada (North America); Germany, UK, Scotland (Europe); Mexico (South

America); China (Asia); and Pakistan/India (South Asia)

Excellent Academics – MBA, APA, CFC, CIA-*In progress

WORK HISTORY

Jan 2013 - Senior Manager Internal Audit

Senior

Present Hubbell Incorporated

Hubbell

Over $7 billion market cap-Fortune 500 company manufacturing quality electrical and electronic

products globally.

Responsibility and notable achievements:

• Lead the planning, execution and reporting of all risk-based financial, operational, compliance audit

activities and special functional area reviews in accordance with annual global internal audit plan.

• Test Sarbanes-Oxley financial controls and report gaps to senior management; helped in corporate

wide re-assessment/re-alignment of SOX key controls based on New COSO 2013 framework.

• Deliver high quality audit reports to audit clients and senior management; monitor execution of

agreed upon management action plans.

• Develop relationships with finance, information technology, and operations management to

proactively identify areas of risk and continuous improvement opportunities.

• Help improve standard audit practices including audit programs, work papers, and reporting based

on Institute of Internal Auditor’s International Auditing Standards.

• Leading an initiative to review and improve audit risk assessment and planning. This will include

ongoing identification of current and emerging risks facing the organization and internal audit group

improving alignment with an enterprise risk management (ERM) program.

• Increased overall risk and controls awareness through ongoing training, introduction of Control self

assessment (CSA) and implementation of a “guest auditor” program.

• Developed execution methodology and implemented a “continuous monitoring” strategy as an effort

to improve detective control within high-risk operations. This is currently in a pilot project phase.

Strategy being utilized to monitor access controls within corporate sourcing group.

• Prepare periodic updates to executive management and Audit Committee to facilitate risk

management and oversight.

Sept 2011 – Manager, Governance Risk & Compliance Practice, Accretive Solutions

Manager,

Dec 2012 General Electric (GE) – Digital Energy Business

General

A $158 billion Fortune 10 company. World leader in manufacturing a variety of consumer and

financial services products.

As lead consultant in the Global Controllership Team for GE Digital Energy ($10 billion) business,

worked closely advising on and/or leading several strategic initiatives including:

Risk Management, Assessment and Mitigation: Participated and actively contributed in senior

management meetings to assist in risk mitigation with respect to global roll over to APEX payment

system, Supplier Master File database integration and high-risk accounts review. Also led teams to

effectively close the gaps that were identified by Corporate Audit Team.

SOX, Internal Control Testing and Policy Development:

• Led planning, management as well as independent execution and testing with respect to GE 2012

Global SOX initiative. Successfully worked with control and process owners around the globe and

completed required RCM, CPS, TOD/TOE testing and documentation for several DE sites globally.

• Performed controls evaluation and testing with respect to Supplier Sourcing and global integration;

Foreign Corrupt Practices Act (FCPA) and Improper payment (IP) process for DE Manila,

Philippines and Ft. Edward, NY sites.

• Completed several leadership reviews, testing and reconciliations around accounting functions to

ensure compliance with SOX and best business practices.

• Reviewed recording and reporting accuracy of business concessions extended globally by DE

businesses. Reviewed that process in place complies with global concessions policy. Identified

instances of non-compliance and inappropriate recording/reporting and led improvements. Also,

participated in providing appropriate training.

• Contributed to revising/updating policy documents and processes including business concession,

delegation of authority (DOA) matrix and software capitalization.

Oct 2009 – Portfolio & Risk Manager

Portfolio

August 2011 Global Alpha Equity Fund

Global

A personal/family venture. Multi-million fund running a long/short strategy.

Apart from leading equity research, portfolio construction and management, my responsibility

included:

• Assessing and managing key financial and operating controls.

• Ensuring that the processes and procedures with respect to these controls are identified, documented

and understood.

• Leading implementation of these controls as part of the daily routine.

• Providing support and training for continued smooth operation and management.

July 2003 – Manager, Internal Audit Risk & Compliance – (07/’03 to 03/’05) and (10/’08 to 09/’09)

Manager, (07/’03

Sept 2009 John Deere (Deere & Company)

A $50 billion Fortune 100 company manufacturing world class equipment, tools, technology and

services. (World leader in agricultural equipment manufacturing).

Leading a team of 5-7 professionals in John Deere Landscapes division, responsibilities included:

• Conducting full scope internal Sarbanes-Oxley (SOX) review and pre-test for various business

cycles. This entailed: Review of the ICQ control objectives and activities; risk evaluation and

identification of critical controls; designing an implementation and testing strategy; providing

counsel to the team and process owners on risk and controls; process and controls documentation;

reviewing work and progress and communicating findings with recommendations to the Vice

President of the Division.

• Leading an internal pre-audit testing to ensure departmental readiness for corporate audits. Based on

testing and evaluation, provided counsel on actions needed for mitigation of these identified gaps;

As an audit supervisor in the global internal audit department, responsibilities included:

• Manage staff and oversee the completion of moderate to complex audit reviews and SOX projects in

accordance with the Annual Internal Audit Plan and the departmental guidelines;

• Develop and manage control testing plans, evaluate results, and provide remediation guidance;

• Provide subject matter expertise and guidance regarding documentation scope, critical applications and

adequacy of control design;

• Evaluate the extrapolated business-wide risk of identified control weaknesses, and proactively identify

opportunities to enhance process effectiveness;

• Coordinate with business owners, SOX team, Director internal audit, and others to ensure timely

completion of documentation, testing, remediation, and reporting;

• Score each audit and SOX/internal control review and present written results to management to ensure

adherence to deadlines and timely follow-up on identified issues;

• Organize, coordinate and lead closing meetings in which audit results and control environment scores are

discussed and recommendations formulated;

Assistant Head Equity Trader & Portfolio Manager – (03/’05 to 09/’08)

(03/’05

As a senior member of the Pension Fund (~USD 12billion) Investments committee, contributed in making

strategic fund level decisions related to asset allocation; portfolio research, management and trading; and

performing due-diligence on external managers and making hiring/firing decisions. Gained exposure to

different strategies across various asset classes. Research, constructed, back-tested and built first

international portfolio for the Fund.

Dec 2002 – Audit Supervisor

July 2003 Asher & Co.

Asher

During a short association with this regional CPA firm, I performed few external audits for clients and did

research to improve understanding of sections 302 and 404 of Sarbanes Oxley Act of 2002.

Jan 2001 – Senior Consultant, FAS (Financial Advisory Services)

Dec 2001 KPMG

A $24 billion fortune 100 (#80 in 2013) and one of the BIG4 public accounting firms providing

assurance, tax and advisory services to clients across the globe.

Leading teams of 5-7 professionals on various full scope internal audit and financial advisory assignments,

responsibilities included:

• Lead front-end client relationship; conduct planning meetings, engagement scoping and agree on final

deliverable, milestones and reporting rhythm.

• Resource planning and developing and/or customizing task and test plans and assigning responsibilities to

the engagement team.

• Overall execution and management, including drafting final report and conducting follow-up meetings to

discuss or resolve outstanding issues.

• Perform staff coaching, performance appraisals and identifying development needs.

July 1998 – Finance Director

Dec 2000 Afghanaid

Afghanaid

A British non-governmental humanitarian aid charity.

Supervised 17 directly reporting staff members, responsibilities and noticeable achievements included:

• Overall management of day to day operations of finance department and providing guidance to direct

reports on various company policies, desired controls and new processes and procedures

• Consolidate annual organizational budgets, prepare financial forecast, and participate in long-range

strategic planning campaigns and solicitation for available grants.

• Designed and implemented a fully integrated accounting and reporting system to ensure compliance with

donor/regulatory reporting requirements and improved financial analysis.

• Participated in coordinating internal audit efforts with external auditors to maximize extent of auditor

reliance and audit assistance, resulting in approximately 15% savings in annual audit fees.

July 1993 – Audit Supervisor/Lead Consultant

July 1998 PricewaterhouseCoopers (PwC)

PricewaterhouseCoopers

A $32 billion fortune 100 (#65 in 2013) and one of the BIG4 public accounting firms providing

assurance, tax and advisory services to clients across the globe

Leading teams of 3-5 professionals on various full scope audit and financial advisory assignments,

responsibilities included:

• Maintain the responsibility of first hand client interaction and coordination for planning audit procedures,

timing of the fieldwork, establishing deadlines, ensuring smooth audit operation and effective resolution

of audit issues;

• Provide measurable value to management by coordinating engagement teams and ensuring proper

planning, execution and delivery – effective administration and project management – including

assignment of individual responsibilities, monitoring and periodically reporting on progress, directing

day-to-day efforts of assigned audit personnel, and ensuring job completion within time and budget

requirements;

• Generate well-organized and easily understandable professional written audit, project status and other

reports for executives and senior management.

EDUCATION & PROFESSIONAL CERTIFCATION

MBA: Finance

2007

Kelley School of Business - Indiana University, Indiana USA

Bachelor: Accounting and Business

1996

Punjab College of Commerce, Pakistan

APA – Associate Public Accountant

2001 APA

PIFPA, an associate member of International Federation of Accountants (IFAC)

CFC – Certified Financial Consultant

2001 CFC

Institute of Financial Consultants, USA

CIA – Certified Internal Auditor

*In progress

Institute of Internal Auditors, USA

*Passed Part I & II (Scheduled to take Part III in Nov 2014)

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