Information Technology Management

Internal Audit Executive

Results driven Executive offering over 25 years of experience and success in the Internal Audit function; Enterprise Wide Risk Assessments, Annual Audit Plans, Staffing and scheduling, Presentations to Audit Committees and Senior Management, Development and implementation audit methodologies and training initiatives, Hiring and management of staff, and experience in both domestic and international environments.

Education & Professional Certifications

Northeastern University, MBA, June 2001

American International College, B.S. Accounting, June 1989

Certified Internal Auditor (CIA), Institute of Internal Auditors

Certified Information Systems Auditor (CISA), Information Systems Audit and Control Association (ISACA)

Certification in Risk Management Assurance (CRMA), Institute of Internal Auditors

Certified Risk Professional (CRP), Bank Administration Institute

Certified Fraud Examiner (CFE) – Pending Exam

Software

Audit Software: AutoAudit, Auditor Assistant, and TeamMate

Data Analytics - IDEA, and TeamMate Analytics

Microsoft Products - Word, Excel, PowerPoint, Access, and Visio

Professional Highlights

Deputy Director of Internal Audit

Massachusetts Port Authority (Quasi-Public) * Boston, MA October 2014 – December 2017

Responsible for building a world class internal audit department for a diverse and complex organization. Audit coverage within Massport included core corporate functions (accounting, treasury, human resources, information technology, etc airport operations, construction/capital programs, land lease agreements, cruise port terminal, shipping container terminal, contract reviews, and continuous fraud, waste, and abuse audit initiatives. Continually developed and built upon improvements of the following:

Enterprise Wide Risk Assessment, Fraud Risk Assessment, and Information Technology Risk Assessment

Audit department key performance management reports

Methodology for performing internal audits and training materials

Functionality of TeamMate internal audit software including all five modules and TeamMate Analytics

Compliance with IIA Standards such as COSO 2013

Annual training program for the entire audit department

Established and monitored the annual audit department budget

Assisted in hiring and managing a team of ten internal audit professionals ranging from staff thru manager

Developed Board of Director and Sr. Management presentations

Participated on process implementation and RFP Committees

Established interaction with all levels of senior and executive management including the Board of Directors.

Assigned managers and staff to assignments to ensure utilization and completion of the Annual Audit Plan

Managed staff on operational, financial, compliance, and technology audits.

Director of Risk Management

Mass Development Finance Agency (Quasi-Public) * Boston, MA June 2013 – October 2014

Responsible for identifying and mitigating risks that could adversely impact the Agency’s ability to achieve its business objectives relating to 280 projects representing the issuance of $2.5 billion of issued loans and bonds, Real Estate Management, Real Estate re-purposing, and various other Agency initiatives.

Performed Risk Assessment and Internal Audits

Procured insurance to mitigate known and unknown risks

Developed Policy that encompass the necessary control checkpoints

Promoted and Educated management and staff about controls and risks

Provided executive management with guidance on building and maintaining a strong control environment

HEAD OF INTERNAL AUDIT

Security Finance Trust Company / eSecLending, Inc. * Boston, MA March 2008 – June 2013

Developed an International Internal Audit Function for a multi-national financial service company that performs security lending and investment management services to the world’s largest pension funds, insurance companies, investment firms, and hedge funds. Since 2008 assets under management have ranged from $20-100 Billion.

Presented quarterly to the Board of Directors - Audit Committee and frequent communication with CEO and executive management

Responsible for performing the enterprise wide risk assessment (Strategic, Operational, and Technology), maintain current perspective of risk throughout the organization, and participate on Business Continuity and Disaster Recovery on-site visits and annual test, Perform General Information Technology Control Audits

Developed and executed the annual audit plan

Promoted a corporate risk and control awareness and culture

Participated on the Risk Management Committee

Coordinated external audits and examinations: SSAE 16 and Regulatory Examinations

Point of contact for Regulators for annual and semi-annual examinations

AUDIT MANAGER

Marsh & McLennan Companies* Boston, MA August 2004 – March 2008

Marsh & McLennan is a global entity comprised of Marsh, Putnam (sold 2007), Mercer, and Kroll (sold post 2008). I managed six auditors located at Putnam and six/ten other auditors performing audits globally within the MMC family of companies.

Responsible for all internal audit activity at Putnam Investments, Mercer (financial service activities), and MMC Securities

Annually, prepared the three-year audit plan for Putnam and Mercer audit activity

Presented quarterly results to the Putnam Mutual Fund Board of Trustees

Department Training Coordinator responsible for developing and presenting department training globally

Developed and implemented a COSO based audit methodology to be used by the Putnam audit team

Managed 3-4 domestic and international audits monthly consisting of nine – twelve professionals

Responsible for auditor mentoring and coaching

AUDIT SUPERVISOR

OneBeacon Insurance Company * Boston, MA June 2001 – August 2004

SENIOR AUDITOR

State Street Bank and Trust / Boston Equiserve (subsidiary) * Quincy, MA September 1997 – June 2001

AUDITOR

Federal Reserve Bank * Boston, MA February 1995 to September 1997

AUDITOR

The Boston Company * Boston, MA September 1993 to February 1995

TPA AUDITOR

Boston Mutual Life Insurance Company * Boston, MA September 1990 to September 1993

STAFF ACCOUNTANT

BioPure Corporation * Boston, MA September 1989 to September 1990

Other Employment

INSTRUCTOR

UNIVERSITY OF MASSACHUSETTS * Boston, MA September 2002 to August 2004/September 2011 to Present

Undergraduate and Graduate level courses: Cost Accounting, Accounting Information Systems, Financial Accounting, Managerial Accounting, Advanced Accounting, and Intermediate Accounting I & II;

Develop and present weekly presentations, course discussion, and real-life application of the material.

Contact this candidate