RANDY L. NOTT, CPA, CIA

469-***-**** ac10bq@r.postjobfree.com

SUMMARY:

Well-rounded professional with extensive experience in internal audit and risk management. Has worked in many countries around the globe performing financial statement audits

Collaborated in building out a SOX program, as well as an RCSA program from scratch

Lead a project to establish key risk indicator metrics for continuous monitoring

Facilitated risk assessments for new product launches and strategic project initiatives, and oversaw the governance of management-level committees.

PROFESSIONAL EXPERIENCE:

OCWEN FINANCIAL, Addison, TX

Manager, Risk Governance & Policy

Nov. 2015-July 2017

Managed the governance structure of the organization, including changes to management committee membership and updates to charters and policies. Oversaw the administration of all management-level committees to ensure deliverables were being met (frequency, attendance, presentation materials, meeting minutes, etc.)

Managed gathering and preparing presentation materials and meetings of the Chief Risk Officer. Developed and updated Risk Management presentations for various third parties (rating agencies, investors, auditors, regulators, etc.)

Served as Administrator for the New Product Committee, and acted as project manager for all new product initiatives. Managed the RCSA (Risk and Control Self-Assessments) for the Risk Governance function

Stayed abreast of industry news and regulatory developments pertinent to the industry to facilitate a more proactive approach to risk identification and mitigation.

Key Accomplishments

Ensured Consent Order findings were remediated, resulting in the end of State-imposed Monitors and the associated costs.

Developed a risk taxonomy that was used in all new product and strategic project risk assessments.

SANTANDER CONSUMER, Dallas, TX

Sr. operational risk analyst / Sr. Controls Assurance Analyst

Aug. 2012-Nov. 2015

Collaborated in developing and implementing a SOX compliance program in preparation for an IPO. Performed walkthroughs and detailed testing of key financial reporting controls. Authored the company’s policy on sampling, testing, and remedial testing methodology. Mapped controls provided by third-party service organizations to internal control framework and obtained and evaluated SSAE 16 reports for external controls the organization relied upon. Updated the SOX narratives and matrices to incorporate acquisitions and new lines of business.

Developed and expanded the internal control program by performing RCSA’s. Managed the continuous monitoring of control indicators (this included obtaining and analyzing supporting documentation to support indicator measures; performing trend analyses; meeting with business owners to understand the cause of any alerts raised; establishing remediation plans as necessary; and performing detailed testing to verify weaknesses were successfully remediated). Partnered with Enterprise Risk Management for the facilitation of Risk ID and Assessment workshops with various internal lines of business.

Key Accomplishments

Improved internal control efficiency and risk reduction by presenting valuable audit findings from the newly developed SOX and RCSA programs.

Increased efficiency and enhanced operations by developing a key risk indicator program that identified control weaknesses more timely than by control testing.

AMERICAN AIRLINES, Ft. Worth, TX

Internal Auditor

November 2010-July 2012

Acted as a liaison with key business areas and process owners to ensure changes to business processes are updated in the SOX documentation and questions/concerns from process personnel are addressed.

Reviewed, monitored, and participated in the resolution of issues identified in either the Company’s internal testing/review or issues identified by the Company’s external auditors.

Identified potential control impacts resulting from modifications to business processes, supporting systems and applications. Prepared, developed, and executed audit plans to determine compliance with established Company policies, plans, procedures, laws and regulations.

Performed audit consultations for new airport openings to ensure in compliance with established company policies, procedures, and regulations.

Key Accomplishments

Identified errors in the calculation of executive compensation in the Proxy Statements, allowing them to be corrected prior to financial statement issuance.

Identified inefficiencies in the process for issuing vouchers for distressed passengers, saving the company more than $300,000.

BRINK’S, Coppell, TX

Senior Auditor

January 2007-October 2010

Planned financial audits for global Brink’s subsidiary companies (this included financial statement analysis, risk assessment, and scope planning)

Conducted internal audits in 11 countries, providing recommendations for improvement to internal controls and compliance with U.S. GAAP

Performed follow-up testing of previous audit findings. Completed performance evaluations for other auditors, when acting as lead auditor

Assisted KPMG in Venezuela each year in performing external audit.

Key Accomplishments

Lead a fraud investigation, resulting in numerous recommendations for controls to prevent and detect future fraud.

Produced a monetary recovery of more than $200,000 by identifying errors during a contract audit pertaining to royalty payments.

Identified material P&L misstatements related to billing and accounts payable, and made control recommendations to prevent future misstatements.

EDUCATION

Master of Science – Accounting and Management Information Systems University of Texas at Dallas, TX 2012

Bachelor of Science – Business Administration University of Montana Missoula, MT 2003

SKILLS & CERTIFICATIONS

Certifications - Certified Public Accountant (CPA), Certified Internal Auditor (CIA)

Foreign Language - Fluent in German and Spanish (speaking, reading, and writing)

Software - MS Office, SAP, Hyperion, AutoAudit, TeamMate, Visio, SharePoint, Archer, MetricStream

PROFESSIONAL AFFILIATIONS

American Institute of Certified Public Accountants (AICPA)

Institute of Internal Auditors (IIA)

OTHER WORK EXPERIENCE

Audit Assistant / Staff Financial Auditor, BBVA, 2003-2007

German translator, U.S. Army Reserves, 1999-2003

Spanish cryptographic linguist, U.S. Army, 1995-1999

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