Project Manager Management
Resume:
Angela K. Wallace
CPA, CIA, CISA
*** ******* ******** #***, *******, MD 21113
**********@*****.***
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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