Resume

Sign in

Internal Audit Management

Location:
Cape May Court House, New Jersey, 08210, United States
Salary:
50000
Posted:
May 29, 2018

Contact this candidate

Resume:

*** ****** ***. **** 609-***-****

North Cape May, NJ 08204 Cell 609-***-****

E-mail: ac5nwu@r.postjobfree.com

ROBERT LAWS, CIA, CBA, CTA, CFE, CSOXP, CGRCP, CGOVP, CIRMP, CICMP

EXPERIENCE

SELF EMPLOYED

9/2017 to Independent Consultant

Current, and Miscellaneous Special Projects – Risk Management, Operations, Internal Controls,

8/2016 to Compliance, Financial, Audit, etc…

3/2017

OCEANFRONT PROPERTIES LLC; t/a: THE GRAND HOTEL

3/2017 to Temporary Controller

9/2017 Financial and Operational Controller for Hotel and Food & Beverage Operations

CREST SAVINGS BANK

Consultant - Special Projects – Compliance Audit

3/2016 to Perform selected Regulatory Compliance, Financial, and Internal Control Audit work; 6/2016 and Risk Management; reporting directly to CEO and CFO.

CAPE BANK

11/09 VP, Audit Director, SOX Specialist

To

9/2015 Update, and administer a comprehensive SOX level risk-based Audit Program for the Bank; total responsibility for audit function/department; report directly to SVP of Risk Management, Compliance, and Audit; assist SVP of Risk Management, Compliance, and Audit with all facets of audit, risk management, and compliance activities; manage audit staff; handle all special projects.

11/05 AVP, Audit Director / Compliance Coordinator

To 11/09

Develop, administer, and direct a comprehensive SOX level risk-based Audit Program for the Bank; reporting functionally to the Audit Committee, and administratively to the President/CEO. Coordinate compliance activities throughout the Bank; to include both performing and coordinating compliance reviews, and maintaining compliance with all applicable laws and regulations. Staff of three (3).

6/94 SANDS HOTEL CASINO - Atlantic City, NJ

to

11/05 Executive Director of Internal Audit

Report functionally to the Audit Committee, and administratively to the President.

Increase departmental efficiency 41.8% since 1996.

Streamline Internal Audit Department operations to provide a most efficient and effective audit environment.

Create productivity measurement tools to measure internal audit department performance on an ongoing basis.

Decrease hours per audit by 25%, while merging 42 audits in 1994 into 27 audits as of the 2001 Audit Plan.

Produce 28 Audit Reports at a staffing level of 3 auditors in 2000 (between 1994-96 the department averaged 26 audit reports at a staffing level of 4 auditors)

Save the Company $60,000 in erroneous assessment charges by the Local 54 benefit fund auditors.

Automate testing to more efficiently and effectively identify exception situations.

Combine similar testing where applicable and sensible.

Eliminate cumbersome/immaterial audit testing.

Implement concise and effective techniques for audit testing and workpaper organization.

Implement risk assessment techniques to drive annual audit plan.

Create, implement, and complete annual Audit Plan since 1996.

Risk-based budgeting.

Adjust audit testing frequency based on risk.

Re-engineer the internal audit function based on materiality and risk.

Re-evaluate and re-assess risk, not only concerning our audit mix, but testing within the audits.

Recommend and implement new audit planning techniques to enhance preparatory knowledge, and more effectively evaluate the auditable unit.

Coordinate external audits with external auditors, labor unions, and regulatory agencies.

Perform 70% of test-work for external auditors, Arthur Andersen LLP.

Eliminate duplication of testing between external auditors and internal audit, as

well as, within the audit schedule.

4/88 NATIONAL WESTMINSTER BANCORP - New York City

to

6/94 Assistant Vice President / Audit Manager

Management responsibilities reporting directly to the General Auditor. Participate on 8 member audit management team.

Recommend cost containment measures resulting in over $5.2 million in savings.

Suggest operational changes designed to enhance pro-fits resulting in over $3.9 million of increased revenue.

Coordinate formulation of 1993 audit budget to include structural changes resulting in a 30% increase in efficiency.

Perform over "40" major financial, operational, and product audits.

Manage audit staff of "16".

Prepare and finalize management and audit reports.

Plan audits and special investigations.

Flowchart operations and develop audit programs.

Assess risk of Corporate operations.

Evaluate internal controls of bank and subsidiaries.

Perform regulatory compliance examinations.

Investigate fraud loss and coordinate special projects.

Consult on EDP projects and system consolidations.

Act as regulatory consultant to Lending subsidiary.

Supervise auditor development training program.

Perform EDP audits in IBM mainframe and PC environment.

Implement integrated (EDP) and PC-based field audit approach.

Develop or revise over 25% of Departmental policies and procedures.

Audit Company-owned subsidiaries servicing portfolios greater than $8 billion.

Audit Trust and Investment portfolios of greater than $17 billion.

11/86 FLEET/NORSTAR FINANCIAL GROUP - New York City

to

3/88 Senior Internal Auditor

Supervise operational and functional audits for over "35" departments and branches.

Perform subsidiary and financial audits.

Receive extensive training in Government regulatory compliance, Bank Secrecy Act, Audit Management, Audit Planning, Audit Report Writing and EDP Auditing.

6/85 CAPE SAVINGS AND LOAN ASSOCIATION - C.M.Court House, NJ

To 11/86 Bank Auditor

Report to the Controller, President, and Audit Committee.

7/80 LAWS COLOR LITHOGRAPHERS INC / COASTLINE ADVERTISING

To 6/85 General Manager / Controller (32 employees)

8/78 ARTHUR ANDERSEN LLP

To 7/80 Accountant/Auditor

EDUCATION VILLANOVA UNIVERSITY, College of Commerce and Finance, B.S. in Accounting with 3.5 GPA, Minor in Finance.

CERTIFICATIONS Certified Internal Auditor (CIA); Chartered Bank Auditor (CBA); Graduate of Canon Trust Institute (CTA); Certified Fraud Examiner (CFE); Certified Sarbanes-Oxley Professional (CSOXP); Certified Governance, Risk, Compliance Professional (CGRCP); Certified Corporate Governance Professional (CGOVP); Certified Integrated Risk Management Professional (CIRMP); Certified Internal Control Management Professional (CICMP)

COMPUTER

SKILLS Various Bank operating and accounting systems, IBM Mainframe, AS/400, DBMS systems, information systems, Internet, Word Perfect, Microsoft Word for Windows, Excel spreadsheet, Advanced Lotus 123, Enhanced Multiplan, Harvard Graphics, Framework IV, Flowcharted, Infobeam, E-mail systems, Easytrieve, Infocenter, ACF2 Data Security, and Culprit and CAAT software.

CURRENT REFERENCES

Herbert L. Hornsby Fred Houston

Anthony DeSalle Henry J. Obergfell

Bob Boyer

*ADDITIONAL REFERENCES AND DETAILS AVAILABLE UPON REQUEST*

WORK OBJECTIVES

Utilize audit and compliance knowledge and experience to the advantage of the Company assisting to achieve established goals.

Emphasize continued professional growth, and development of audit skills for self and staff with special emphasis on audit communication.

Fulfill departmental responsibilities to the Company, regulators, external auditors, and the Audit Committee.

Strive to contribute to the organizations goals of increased profit and reduced cost by adopting a "value added" audit approach.

Emphasize the familiarity with, or identification of "Red Flags", the key indicators of fraud throughout the Company.

Analyze and document Company procedures and product workflow during audits to increase audit effectiveness, and more efficiently distinguish materiality.

Emphasize the evaluation of risks and exposures prior to audit scheduling to more effectively establish annual audit budget, and focus efforts.

Implement a more system (EDP) oriented audit approach taking advantage of time and cost saving EDP audit techniques; current industry trends indicate a migration towards this approach.

Integrate my proposed changes/additions with the current productive approach to enhance the Company audit environment.

Gain the knowledge and experience necessary to become an integral part of the Company; and seek advancement within the Company to achieve my full potential.

PERSONAL OBJECTIVE

Achieve business-oriented objectives in an environment conducive to personal and family growth.

ADVANTAGES - ROBERT LAWS

Strong audit and accounting experience (25+ years; 8 with large New York Banking Corporations). Skilled in Compliance testing, operational control evaluation processes, and flowcharting.

Management experience at the supervisory to Director Level (20 years; up to 16 auditors, simultaneous supervision of multiple audits - multi-tasking environment).

Management experience (8 years) in private business (Printing, Advertising, Marketing) prior to Internal Audit career.

Bank audit and regulatory compliance experience (16+ years)

Casino audit and Atlantic City casino regulatory environment experience (10 years)

EDP audit experience during last 13 years.

Strong computer mainframe and PC-based system background within past 20 years.

Significant responsibility accepted during job experience.

Communication-based audit approach.

Strong planning, risk assessment, and organization skills demonstrated.

Total responsibility for Cape Bank and Sands Internal Audit Department budget/planning/ scheduling/reporting process. Active participation in budgetary process, and audit planning for the Internal Audit Department (staff complement = 100+) at Nat West Bank.

Strong experience as an Internal Audit training specialist during New York years.



Contact this candidate