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Carlinton C. Clarke CPA, CIA, BSC(Hons)

** ******* ****, ********, ******* L6X4P5

ac79hu@r.postjobfree.com

Analytical and detail-oriented professional with over 10 years of experience in the Auditing, Accounting, Banking and Financial Services Industries. Adept at supervising large teams and ensuring successful execution of audit projects. Exceptional interpersonal skills, and able to adapt and respond to the risks and needs of a changing business environment. Multidimensional manager with a diverse skill sets in financial analytics, internal audit, project implementation, and human resource responsibilities. Capable of building strong relationships and maintaining close attention to detail to ensure company growth and efficiency. Overall passion and appreciation of internal audit, risk and compliance. SUMMARY OF SKILLS & QUALIFICATIONS

• Professionally certified with good

technical knowledge of IPPF, IFRS, IAS

and US GAAP Frameworks

• In-depth knowledge of risk-based audit

methodologies and principles.

• In-depth knowledge of COSO Internal

Control Framework

• Excellent interpersonal, verbal and

written communication skills

• Working Knowledge of OSFI, Fintrac

and DICO regulatory Guidelines

• Report writing.

• Proven multi-tasking and project

management skills.

• Process and controls documentation.

• Strong research and analytical skills.

• Proven team leadership, coaching and

staff development skills

• Proficient in using Word, Excel,

PowerPoint, Teammate GRC, and has

some experience with ACL Data

Analytics and SAP software

PROFESSIONAL AUDITING EXPERIENCE

DUCA FINANCIAL SERVICES March 2016-Present

DUCA Financial Services is an Ontario based Credit Union with 17 branches located across the Province. With over 50,000 members and growing, DUCA has assets of CAD$2.8bn and revenues of

$111M (2017). As the Senior Internal Auditor in the Audit Department, I am responsible managing the development and execution of detailed audit plans. I also review and approve the plan, scope, and audit approach for each project. Also, in this role, I performed various consulting functions as agreed upon with senior management and the Audit Committee Senior Internal Auditor March 2016-Present

Responsibilities:

• Supervising and managing the execution of various operational, financial and strategic risk- based audits across the organization and fully responsible for reviewing planning

(documenting process narratives, flowcharts, interviews, walkthroughs, designing test plans); fieldwork (executing test plans and collating test results); and reporting (drafting of reports)..

• Performing the annual risk assessments exercise by conducting interviews, researching emerging issues, analyzing data to develop a comprehensive audit plan which aligns with the company’s strategy and supports the ERM program.

• Collaborating with cross functional teams from the Risk, IT and Compliance departments to develop appropriate action plans for resolving major problems identified during our audits

• Manage and counsel internal audit staff; provide oversight and review their work for sufficiency of scope and accuracy. Manage annual performance evaluation and career development of the team.

• Assisting the VP of Audit in interviewing and assessing candidates for audit vacancies.

• Overseeing and coordinating the procurement processes for the selection of External Consultants for all outsourced/co-sourced audits.

• Presenting oral briefings, audit findings report and summaries to Senior Management and Audit Committee.

• Consulting with Management in reviewing new processes and controls before they are implemented.

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• Assist the VP. of Audit in providing adhoc advisory services to the Audit Committee and Management on implementing best governance practices across the organization. Accomplishments:

• Initiated various process changes to improve the efficiency and effectiveness of the Internal audit department. This resulted in the department completing 95% of its planned audits for the first time in its history and receiving a clean report from DICO regulatory assessment for the first time in 3 years

• Designed and implemented the first comprehensive risk-based audit planning framework.

• Designed and developed the Quality Assurance Improvement Programme to ensure quality is embedded in our audit processes which received conformance rating from External Quallity Assurance examiner from Instititute of Internal Audit.

• Developed and executed the company’s first risk-based branch retail audit programme which uncovered major operational and compliance issues.

• Planned and executed various complex audits such as Commercial and Retail Lending, Third Party Vendor Management and Securitization which were previously outsourced to external consultants thereby reducing the audit outsourcing expenses by 50%. GRACEKENNEDY LIMITED Nov 2011 to DEC 2015

Grace Kennedy Group(GK) is a dynamic Food Manufacturing, Distribution, Banking and Financial Services Conglomerate with offices in North America, Africa, Europe, Latin America and the Caribbean .With over 20 companies within the group GK has an asset base of approximately CAD $1.26B (2018)- In my last position at GK I had the responsibility for leading the Banking and Financial Services audit team which audited First Global Bank and GK Capital Management (Formerly First Global Financial Services) Internal Audit Manager Oct 2014 to Dec 2015

Senior Business Auditor Jan 2014 to Sept 2014

Business Auditor Nov 2011 to Dec 2013

Responsibilities

• Performed annual risk assessments to develop the annual audit plan.

• Managed and lead team of up to 5 auditors in the execution of various risk-based operational strategic and financial controls audits across the banking and financial service companies (First Global Bank and First Global Financial Services) within the group.

• Presented oral briefings and prepared written reports to Senior Management and the Audit Committee.

• Provided guidance and coaching to 3 direct reports and completing their yearly performance appraisals

• Designed and coordinated the department’s training programme for 15 Auditors

• Performed control assessment reviews as part of due diligence for the acquisition of new Companies.

• Conducted various special projects reviews including fraud and whistle blowing investigations at the request of the Audit Committee and the CEO.

• Collaborated with External Auditor in completing assigned areas during their annual year end audits.

Accomplishments:

• Identified a major error during a pre-implementation project review which would have resulted in project failure costing the company US$540,000.

• Improved the efficiency and effectiveness of the department’s client feedback process by designing and launching a web-based survey which resulted in an improvement in response rates from 30% to 70% in one year.

• Received a 93% compliance rate from the annual IPPF Internal Quality Assurance Review.

• Consistently received an average rating of at least 4/5 from client satisfaction surveys on audits.

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• Received an award for “Best Written Project” in the GK Supervisory Development Programme of 2014

• Consistently met quantitative performance targets and received a rating of above 90% on annual performance appraisals

ERNST & YOUNG

Dec 2009- Nov 2011

Audit Senior

Audit Intermediate

Oct 2010- Nov 2011

Dec 2009- Sep 2010

• Supervised multiple concurrent external audit engagements for medium to large, sized companies and directed the preparation and completion of reports and financial statements.

• Tested the design and implementation of controls environment to obtain comfort over the internal controls over Financial Reporting. (SOX)

• Conducted audits for both public and private companies in industries such as Finance, Retail, Distribution, Insurance, Utilities and Energy.

• Trained and supervised audit teams, ranging in size from 2 to 5 members.

• Reviewed and prepared draft financial statements with disclosure notes in accordance with IFRS or US GAAP

Accomplishments:

• Lead the audit team as Audit Senior on the firm’s largest revenue earning audit for 2011.

• Consistently received an above average rating for operational excellence on annual appraisals.

• Promoted to Audit Senior within a year of joining the firm KPMG May 2008 -Nov 2009

Audit Associate

• Assisted Audit Seniors in performing controls and substantive testing on various external audit engagements.

• Conducted analytics testing to determine the reasonableness of expense and revenue accounts.

• Identified and communicated accounting and auditing matters to Audit Seniors and Managers.

• Prepared draft memorandums for control weaknesses identified during testing. Accomplishments

• Assigned as Auditor in Charge for 4 small sized engagement within the first year at KPMG.

• Completed all my CPA exams on first sitting.

EDUCATION AND PROFESSIONAL CERTIFICATIONS

INSTITUTE OF INTERNAL AUDITORS (IIA)

Certified Internal Auditor (CIA) 2013

AMERICAN INSTITUTE OF CERTIFIED PUBLIC ACCOUNTANTS (AICPA) Certified Public Accountant (CPA) 2012

THE UNIVERSITY OF THE WEST INDIES (UWI)

B.Sc. Accounting and Management (1st Class Hons) 2008

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