Quality Assurance Management

Lisa M. Bacot

*** ***** *****

Newark, DE *****

Phone: 302-***-**** / Email: ******@*******.***

[pic]SUMMARY

Highly skilled, motivated and entrepreneurial minded Professional; with

expertise, certification or training in the areas of Audit, Compliance,

Accounting and Law; within the Trust, Banking and Financial Services

industries. Actively seeking a challenging, high profile, career enhancing

opportunity, with availability for relocation and travel. Skills are

seamlessly transferrable to various industry groups.

OVERVIEW of EXPERIENCE and SKILLS

- Financial Statement Compilation, Preparation and Review

- Operations and Internal Control Evaluation and Testing (SAS 70, SOX 404)

- Regulatory Compliance Evaluation (Trust, Banking and Securities)

- Develop and Execute Audit Plan, Audit Program and Manage Resources

- Practice Standards, GAAP, GAAS, Institute of Internal Auditors, COSO

- Inventory Auditing (Retail & Manufacturing)

- Interface with Executive Management, External Auditors and Examiners

- Bank Statement Reconcilement

- Hire, Supervise, Develop, Coach and Evaluate Staff

- Legal Research and Writing; Alternative Dispute Resolution Training

- Certifications Achieved: CPA, CIA, Certified Fiduciary Investment Risk

Specialist

- Education Achieved: B.S. Accounting, J.D. (May 2010)

Professional Experience and Notable Accomplishments

Wilmington Trust Company, Wilmington, Delaware April 2001 -

Present

Audit Manager and Senior Audit Officer

. Identified and documented key controls and gaps relative to provisions of

SOX 404; designed repeatable test plans; monitor SOX testing status,

issues identified and remediation measures

. Interface effectively with all levels of management across various

service lines; external auditors and examiners

. Ensure the performance of risk-based, regulatory-driven operational,

internal control & compliance audits, to include: process mapping;

control environment assessment; evaluation of adherence to established

policies & procedures and testing of key controls

. Established, with the assistance of the Legal Department, a comprehensive

universe of key regulations affecting the company; monitor for updates

and incorporate key changes as appropriate

. Prepare and manage a current combined regulatory audit budget of over

7,000 resource hours, to include AML/BSA/OFAC; direct and supervise a

staff of up to 9 staff members in the execution of the work

. Redesigned the Corporate Audit; addressing governance, risk and control

issues across the enterprise, and providing a global view of risks and

exposures affecting the entity

. Evaluate examiner issued reports; identify, track and monitor resolution

of noted issues and concerns

. Designed policies and procedures, outlining quality standards over work-

paper documentation and review; perform department-wide quality reviews

as key member of the Quality Assurance and Improvement Program, in line

with professional standards

. Participate in the Enterprise-Wide Compliance Risk Management Task Force

working group, as a representative of the Internal Audit Department,

lending expertise in the evaluation of feasibility and reasonableness of

management's action plan; provide updates and feedback to the Chief Audit

Executive

. Draft comprehensive reports to the Audit Committee and other

stakeholders; communicating results and improvement recommendations

Alliance Consulting, Philadelphia, Pennsylvania July 2000 -

April 2001

Corporate Accountant

. Prepared month-end close; periodic financial statements; monthly bank

reconcilements; and monitored collateral levels and borrowing base.

. Drafted a new-employee users' guide, detailing the preparation of

periodic bank reconcilements, and periodic financial statements

utilizing the company's systems.

PricewaterhouseCoopers, Philadelphia, Pennsylvania January 1999

- July 2000

Experienced Associate Auditor

. Performed financial compilations; financial statement audits; and

inventories for various industries, to include financial services,

retail, not-for-profit and manufacturing.

. Performed all work in compliance with GAAP, GAAS and GAGAS, as

appropriate.

United States Air Force, Dover Air Force Base, Delaware August 1986 -

July 1994

Services Support Non-Commissioned Officer

. Provided leadership over the lodging, food service and linen exchange

areas, while remaining ready for short-notice assignments with

undefined durations.

EDUCATION

Juris Doctorate, Law (May 2010 completion)

WIDENER UNIVERSITY SCHOOL OF LAW (Evening Program), Wilmington, Delaware

Bachelor of Science, Accounting, Magna Cum Laude (1998)

DELAWARE STATE UNIVERSITY, Dover, Delaware

TRAINING and SKILLS

Fiduciary & Investment Risk Management School I, II, III (Cannon Financial

Institute)

Accredited Investment Fiduciary Program (Center for Fiduciary Studies)

Auditing Treasury and Investment Activities (Investment Training &

Consulting Institute, Inc.)

Data Mining (Investment Training & Consulting Institute, Inc.)

Microsoft Office Suite / ACL / TeamMate

LICENSES AND DESIGNATIONS

Certified Public Accountant (CPA)

Certified Internal Auditor (CIA)

Certified Fiduciary Investment Risk Specialist (CFIRS)

INTERESTS

Self-Improvement, Golf, Sketching, Home Improvement, Bowling

Contact this candidate