Management Manager
Resume:
Alvin S. Singh
************@*****.***
Louisville, KY 40245
Cell: 312-***-****
PROFESSIONAL SUMMARY:
CPA candidate seeking a position in Accounting/Internal Audit/SOX Certification environment that will utilize my
skills acquired through professional education, training and work experience .
EDUCATION:
DEPAUL UNIVERSITY, Kellstadt Graduate School of Business Chicago, IL
Masters in Business Administration (MBA): Graduation date: August of 2009
Concentration in Management Accounting
RELEVANT COURSES
• Graduate Seminar in Management Accounting
• Taxation of Corporations and Shareholders
• Audit and Regulation of Corporate Financial Reporting
• Advanced Auditing Theory
• Federal Tax Valuation
• Financial Management
THE OHIO STATE UNIVERSITY, Max Fisher College of Business Columbus, OH
Bachelors of Science in Business Administration (BSBA): Graduation date: June 2003
Concentration in Finance and Economics
RELEVANT EXPERIENCE (2003 to Present):
Chicago Board of Options Exchange Chicago, IL
Audit Manager/SOX Manager ` July 2008 - Present
• Independently oversaw all aspects of all CBOE’s SOX Compliance efforts, including scoping, development
of process flows, controls and test plans, creation of process narratives and walkthrough, documenting
conclusions regarding SOX testing, exception reporting, changes to controls and other matters.
• Assist in the development and maintenance of the Company's risk assessments on business processes and
ITGCs to evaluate the adequacy of internal controls in place to mitigate those risks. Create and document
process flows/mapping and identify areas of potential risk.
• Documenting and assessing the effectiveness of internal controls over financial reporting
• Providing value-added recommendations to management for strengthening internal control performance in
practical and cost-effective ways
• Supporting overall management of program and metrics reporting as necessary
• Executing special projects at the request of the Internal Audit department (Regulatory, Compliance,
Information Technology, and Automation Review Policy “ARP” Audits).
• Design, execute and oversee operational and financial audit programs in accordance with professional and
internal departmental standards.
• Examine business processes and controls for compliance with management plans and policies and evaluate
whether controls provide management reasonable assurance regarding the achievement of the Company's
operational, financial reporting and compliance objectives.
• Partner with management to develop efficient and effective corrective action plans.
• Follow-up to determine adequacy of corrective actions.
• Prepare or review detailed and comprehensive audit reports in which audit findings are presented in a clear
and concise manner. Report audit results and recommend changes in operations and financial activities to
management. Generate implementable recommendations for process improvement opportunities over the
design and operating effectiveness of internal controls, and assist in process re-engineering.
• Assist in the update of financial policies and procedures as required.
Hub International Corporation Chicago, IL
Internal Auditor Sept. 2006 – Jan. 2008
• Review the company’s existing and newly acquired brokerage firm’s business structure, provide
recommendations, and discuss action plans to improve quality of business.
• Develop and execute specific annual internal audit plan in consultation with senior management.
• Conduct integrated Sarbanes-Oxley, Financial, and Operational audits and reviews in accordance with
Generally Accepted Accounting Principles and Generally Accepted Auditing Standards to provide
assurances regarding the functioning of major financial and operational areas.
• Sound knowledge of Sarbanes- Oxley Act (SOX); Sections 302 and 404, COSO Framework Risk
Assessment, COBIT Framework, PCAOB Audit Standards, and SEC Requirements.
• Manage all aspects of the internal audit process including: planning, data collection, document findings,
and prepares and presents recommendations for corrective action.
• Make recommendations on the systems and procedures being reviewed; report on the findings and
recommendations and monitor management's response and implementation.
• Monitor internal controls to determine if they are adequate and efficient.
• Recommend relevant policies and procedures to ensure that best practices are being followed.
• Serve as the audit liaison with external audit firms (PriceWaterhouseCoopers), and attend appropriate
meetings among external finance staff, the Audit Committee of the Board of Trustees and external auditors
who conduct the annual financial audit
USI Holding Corporation Briarcliff Manor, NY
Internal Auditor Dec. 2003 – Aug. 2006
• Performed Sarbanes-Oxley, Operational, and Compliance audits in USI’s offices nationwide, utilizing my
excellent communication skills, analytical abilities, and problem-solving acumen.
• Plan, organize and carry out the internal audit functions including the preparation of an audit plan, which
fulfils the responsibility of the department, scheduling and assigning work and estimating resource needs.
• Identified control and process weaknesses, documented main control points and provided evidential support
for report recommendations.
• Attained a significant understanding of the Insurance Industry, with working knowledge in the P&C,
Employee Benefits, Wealth Management, Affinity, and Wholesale operations within USI.
• Created and wrote process documents that follow and adhere to corporate policies and procedures.
• Coordinate coverage with external auditors (Deloitte) and ensure that each party is not only aware of the
other’s work but also well briefed on areas of concern.
SKILLS AND PROFESSIONAL MEMBERSHIPS
Computers
• Proficient in Microsoft Office, with emphasis in Excel, Word, PowerPoint, and Visio.
• Skilled in Great Plains, Oracle, SQL, Unix, Ceridian, Sagitta, IBS, Utipro, Citrix, Focus, Captiva, Internet,
and Electronic mail applications (Lotus Notes & Outlook).
Training and Organizations
• Certified Internal Auditor (CIA) candidate (passed part I & IV).
• Licensed in Illinois Property and Causality and Life, Health, and Employee Benefits Insurance.
• Certificate of Completion for “Sarbanes-Oxley: Process Improvement”, Sarbanes- Oxley Act: Implications
and Impact for Internal Auditors, Tools and Techniques for the Beginning Auditor, Sarbanes-Oxley Act of
2002 and auditing pronouncements of the PCAOB.
• Current member of The Member of The Institute of Internal Auditors
Contact this candidate