Project Manager Management

RESUME

James Lee, CPA, CISA

Phone: 212-***-****

************@****.***

EXECUTIVE SUMMARY:

Internal Audit, Risk Management, SOX and Integrated Auditing (IT and Operational). Industries

include Banking, Retail, Entertainment, Publishing, Manufacturing, and Insurance.

EDUCATION Dublin Business School, Dublin, Ireland - Obtained CPA – 1998 – interned with Big 4 firm

(Arthur Andersen) while studying

LICENSES European CPA - Certified by the Chartered Association of Certified Accountants (ACCA)

and the Information Systems Audit and Control Association (ISACA)

EXPERIENCE

April 2012 to Bank of Ireland, Dublin Ireland (Largest Bank in Ireland – Total Assets $200 Billion)

March 2013 Internal Controls Specialist (Contract Assignment)

• Establishing Integrated Assurance program (compiling controls evaluated by

Internal Audit, Risk, SOX function etc.,) so that controls can be assessed on a total

enterprise level

• Designing and evaluating internal controls

• Scoping and reviewing existing operational and IT Controls for design effectiveness

• Performing and overseeing SOX Testing.

September 2010 to Simona America, Inc.

April 2012 Internal Controls Specialist

• Reviewing and strengthening internal controls

• Providing objective and professional evaluation of internal activities, to assist

management in controlling areas of responsibilities and safeguarding assets

• Ensuring policies and procedures are followed

• Perform individual internal audit projects, as part of the total internal audit plan by

developing internal audit scope, planning internal audit procedures, conducting tests

through interviews, sampling, observation and inspection

• Developing recommendations to improve internal control structure and preparing

internal audit reports reflecting the results of the work performed

• Preparing organized work papers to support audits

• Assist Internal Audit management with periodic reporting to Senior Management,

development of the annual internal audit plan.

September 2003 to Provident Bank

August 2010 Operational Risk Supervisor

• Designed and implemented Operational Risk Management Program involving

Commercial and Consumer Lending, Trust, Loan Valuation, Operations, Human

Resources and Finance areas

• Worked with business partners to complete Risk and Control Self Assessments

(RCSA) and examined completed RCSAs for risks that required mitigation

• Performed trend analysis using completed RCSA’s (among other sources) and

developing Key Risk Indicators (KRI’s), so that actions could be taken in the present to

prevent future losses

• Developed strategies for mitigating potential risks

• Worked closely with Internal Audit to test and evaluate controls

• Assisted management in the identification and assessment of IT related controls

• Assisted in the oversight of the IT Security function (Protection of confidential data

(GLBA), Vulnerability testing, Identification of critical systems etc.,)

• Developing recommendations to improve internal control structure and preparing

reports reflecting the results of the work performed

• Performed periodic reporting to Senior Management on risks and internal controls

• Led and reported on data privacy and vulnerability assessment initiatives

• Oversaw internal audit and risk software implementation

• Demonstrated solid understanding of business processes, internal control, risk

management, IT Controls and related standards.

.

Note: Started as consultant in SOX project manager role and was offered Risk

Supervisor position after the client successfully passed SOX for Year One.

May 1999 to Viacom Inc., New York, NY

August 2003 Supervisor of Internal Audit

• Planned and supervised integrated operational, financial, and special project audits of

Viacom Corporate and operating units

• Updated strategic audit plan

• Supervised multiple audits and teams

• Worked with IT auditors to develop audit requirements, monitor execution and utilize

resulting queries.

• Evaluated internal controls by developing and implementing various methodologies,

including narratives, flowcharting, and testing

• Ensured that the methodology and format of work complied with Sarbanes Oxley

legislation

• Presented and discussed audit findings with middle management.

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