IT Audit Professional

Joe A. Wilson

704-***-**** · ***********@*****.***

CRISC, CISA, CISSP, CGEIT, ITIL, CPA, CGMA, CIA, CFE, CSOE, CFSA, CCSA, CPCU, ARM, AIAF, AIS, MBA

SUMMARY OF QUALIFICATIONS

A highly qualified, seasoned and globally experienced Top IT Audit and Accounting Professional with 20+ years of wide-ranging international audit experience in financial, operational, IT, and integrated audit; SOX compliance implementation/audit; internal audit department development; segregation of duties (SOD), anti-fraud programs’ and fraud audit. Industry experience includes banking, property & casualty insurance, manufacturing, retail, distribution, financial services, credit union, and public audit. Proven capabilities as a sole contributor and manager of internal audit departments. IT Audit experience with JDEdwards, AS400, Oracle, SAP, SAP GRC, SQL Server, general and application controls. Dynamic, motivated team player excelling in team leadership, alert to continuous process improvement, and adept at identifying opportunities for the utilization of technology.

Manufacturing · Distribution · Construction · P&C Insurance · Retail · Financial Services · Anti-Fraud Program Development · Forensic / Fraud Audit · Risk Assessment · COSO · SOX · JSOX · KSOX · COBIT · PCAOB · SEC Interpretive Guidance · AS5 · Enterprise Risk Management (ERM) · Continuous Improvement · Audit Department Development and Remediation · Audit Planning · Business Process Improvement · Financial Audit · IT Audit · Operational Audit · Integrated Audit · Controller · Financial Management · Financial Analysis · Audit Policies, Procedures, Programs · General IT Controls · IT Application Controls · TeamMate · JDEdwards · Oracle · SQL Server · SAP · SAP GRC · MAS90 · QuickBooks · Microsoft Office · Microsoft Project · Visio · ACL · AS400 · RS6000 · RACF · Lawson · OpenPages · ITIL · TOD · TOE

PROFESSIONAL EXPERIENCE

Doosan Bobcat

Internal Audit Manager – North America October 2017 - Present

Responsible for design and testing of KSOX financial reporting controls for North America operations.

Manager (System Admin) for proprietary testing system (Doosan Internal Control Assessment System)

Led bi-annual internal control testing for 2017 and 2018.

Updated internal control documentation and VISIO flowcharts.

Presented summary findings to C-Level Executives for review and approval.

Global IT SOX Compliance and Controls Manager August 2015 – September 2017

Worked with Global Director of IT Compliance to achieve SOX readiness through active supervision of outside Big 4 consultants in developing ITGC framework and successful completion of tests of operating design and operating effectiveness. Completed on-time for successful pre-IPO review by Deloitte.

Team member responsible for redesigning and testing SOX framework to comply with KSOX regulatory requirements in support of Korean IPO accomplished in November 2016. Configured and administered Korean in-house developed GRC system for testing and documentation of control performance.

Updated global IT policies and procedures. Facilitated meetings between IT and Business to complete Standardized Systems and Data Classifications over 20+ systems.

Coordinated IT requests of external auditors for North America and EMEA regions, including SOC1 reviews

Flint Group ($3B global manufacturer of inks and printing supplies) November 2014 – July 2015

Senior Internal Auditor (FTE)

Responsible for conducting internal audits, investigations and assigned projects globally for the Flint Group businesses, with a North America focus.

Performed integrated audits including manufacturing, supply chain, IT and fraud audits at US locations, Venezuela, China, and Japan.

Swiss Re (Consultant – OTSI) April 2013 – October 2014

IT General Controls & Governance Business Analyst

Responsible for implementation of IT General Controls and IT Governance for the Corporate Solutions P&C business, including Governance and Risk Management reporting to Zurich HQ Risk Management.

Leading implementation of division’s IT Governance infrastructure and architecture including vendor SOC reviews and including Segregation of Duties analysis.

Bank of America (Consultant – MATRIX) Oct 2012 – Jan 2013

IT Controls & Governance Consultant

Responsible for review of IT general and application controls, and governance over IT aspects of Independent Foreclosure Review program.

Elster Group SE ($1.8B manufacturer of electric, gas, water meters & SMARTGRID) 2009 – 2012

SOX Compliance Auditor (FTE):

Responsible for developing and performing the SOX audit compliance plan primarily for the Americas including US, Brazil, and Colombia; also performing SOX audits for Germany, and remotely for Slovakia and Italy. Responsible for control evaluation, prioritization, testing and reporting to the Germany-based VP of Internal Audit.

Key implementation leader on installation of SAP GRC system for Control Test of Design (TOD) and Test of Effectiveness (TOE) to efficiently track and report on control performance and testing progress.

Focused testing on IT General Controls (ITGC), Segregation of Duties, Financial Statement Close Process (FSCP), and Inventory (INV) processes.

Audited and reported on SOD ITGC controls in SAP (including review of rule sets), BAAN, and MAPICS.

Independent Audit Consultant 2008 – 2009

AbitibiBowater, Inc, Montreal, Canada and Greenville, SC Served as audit manager and consultant. Developed SOX anti-fraud program and Audit Committee presentations; led audits of treasury, cash management and cash applications, and credit and collections audits in a JDEdwards environment, Drafted IA department policies and procedures. Mentored and trained staff.

Asahi Glass Company (AGC), Kingsport, TN. Performed testing of IT general controls at Kingsport service enter for JSOX testing purposes in an AS400 / JD Edwards environment.

Ahold Delhaize (previously Delhaize Group), Salisbury, NC 2004 – 2008

Director of Internal Audit

Implemented Delhaize Group global anti-fraud program, working with the Loss Prevention and Legal Departments. Conducted fraud related audits in US, Romania, and Belgium.

Directed the global implementation of the TeamMate audit management suite for U.S, Belgium, Romania, Indonesia and Greece. Enhanced and refined TeamMate for consistent and efficient use.

SOX compliance leadership team member including materiality assessment, key control rationalization, fraud risk assessment and SOX fraud controls and testing. Key leader in initial year of SOX compliance and subsequent migration from AS2 to AS5.

Researched, and developed global implementation plan for Enterprise Risk Management (ERM) program.

Managed Food Lion Corporate Audit function (2004-2005) of 5 - 8 eight auditors, overseeing up to 12 audit projects simultaneously. Responsible for risk assessment and development of Food Lion / Delhaize Group annual audit plan. Managed SOX Entity Level Controls and Anti-Fraud Controls testing. Brought staffing from 50% to 100%. Managed integrated audits including reviews of segregation of duties.

Developed and implemented group-wide internal audit policies, procedures, and standard audit programs.

Royal & SunAlliance Insurance Company, Charlotte, NC 2001 – 2004

Internal Audit Manager

Responsible for risk assessments, IT and assurance audits in Latin America operations (Argentina, Brazil, Chile, Colombia, Mexico, Netherlands Antilles, Uruguay and Venezuela.) Responsible for 15 local auditors.

Internal audit manager for US operations’ financial services function including general ledger accounting, reconciliations, reinsurance, treasury, investment portfolios, receivables and payables.

Participated in fraud investigations resulting in significant results for the company.

Performed as Senior IT Auditor leading general controls reviews, segregation of duties analysis, application reviews, and post-implementation reviews in an Oracle and IBM mainframe (RCF/CICS) environment.

Independent Accounting/Audit Consultant, Charlotte, NC 2000 – 2001

Radiator Specialty (Automotive Care Products), Responsible for monthly close and financial reporting, as well as documentation of related procedures. Implemented account reconciliations and analysis.

KoSa (Mexican-American-German producer of Polyester) Organized start-up Audit function for North America. Led reviews in capital projects, shared services, IT vendor contracts, and IT consultant services.

Champion Road Machinery, Led finance area for a $6 million factory with responsibility for monthly closings, FS preparation, reconciliations, and system management. Established reliable general accounting procedures, processes and reporting. Improved quality of reporting and initiated account reconciliations.

RJR Nabisco, Winston-Salem, NC and Amsterdam, The Netherlands 1986 – 1999

R.J. Reynolds International, B.V. (Internal Audit Manager - Emerging Markets) Amsterdam, The Netherlands (1996 – 1999) Winston-Salem, NC (1994 – 1995). 1994 - 1999

Responsible for hiring, developing and supervising multi-national staff in establishing the international audit office of RJRI in The Netherlands.

Implemented COSO risk assessment and audit methodology. Developed annual audit plan based on business plans, risk assessment and client needs.

Lead audits of emerging market operations in Russia, Ukraine, Kazakhstan, Romania, China, Hong Kong, Vietnam, Malaysia, South Africa, and Tanzania.

Allegacy Federal Credit Union, (Assistant Controller) RJR Affiliate, Winston-Salem, NC 1986 – 1994

Established and lead the internal audit function for 6 years, including audits of mortgage lending and mortgage origination and secondary market sales processes.

Management team leader in maintaining credit union regulatory compliance.

Performed implementation study of mortgage lending and assisted in implementation. Researched and implemented Fitech mortgage origination system to efficiently produce secondary market compliant mortgage documentation packages for 7 states.

Responsible for monthly reporting for mortgages sold to FHLMC. Performed reconciliations, secondary mortgage market reporting, managed relationship with auditors, and prepared annual financial statements.

Key leader in managing internal data processing center including operations of in-house RS6000 system in a UNIX environment, ATM network, marketing subsystem, and production of ad-hoc reports as required.

Deloitte, (Senior Auditor) Greensboro, NC 1983 – 1986

Specialist in audits of banks, S&Ls, mortgage bankers, and financial institution IT service centers. Time 80% dedicated to audits of financial services companies, mostly mortgage related. Experience in auditing non-performing loans, REO, fraud, loss mitigation, regulatory compliance, Resolution Trust Corporation.

First Citizens Bank, (Branch Manager) Greensboro, NC 1980 – 1983

Loan Officer managing consumer and commercial lending. Managed all aspects of branch operations including cash paying & receiving, ATMs, branch security, and customer service.

EDUCATION

University of North Carolina at Greensboro, MBA, Accounting, Finance & Operations Research

Wake Forest University, BA, English, Cum Laude

CERTIFICATIONS

Certified in Risk and Information Systems Controls (CRISC) – License #1619852

Certified Information Systems Auditor (CISA) – License #9819373

Certification in Governance of Enterprise Information Technology (CGEIT) – License #1406116

Certified Information Systems Security Professional (CISSP) License #466692

Information Technology Infrastructure Library (ITIL) - Foundations

Certified Public Accountant (CPA) – NC License #14770

Certified Global Management Accountant (CGMA)

Certified Internal Auditor (CIA)

Certified Sarbanes-Oxley Expert (CSOE)

Certified Financial Services Auditor (CFSA) – Highest Annual Score, 2014

Certification in Control Self Assessment (CCSA)

Certified Fraud Examiner (CFE)

Chartered Property Casualty Underwriter (CPCU)

Associate in Risk Management (ARM)

Associate in Insurance Accounting & Finance (AIAF) / Associate Insurance Services (AIS) / General Insurance

PROFESSIONAL AFFILIATIONS

American Institute of Certified Public Accountants (AICPA)

Association of Certified Fraud Examiners (ACFE)

Information Systems Audit and Control Association (ISACA)

Institute of Internal Auditors (IIA)

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