Auditor or Internal Auditor/ Sox compliance

Patricia Ann Sokol

*********@*****.***

Cell: 732-***-****

Summary

I am a Financial, Internal and Sox Auditor/Accountant with 15 years of experience in the field of which 9 years I worked for Deloitte. I am experienced in auditing from planning the audit, organizing and prioritizing the workload, delegating staff, executing the work plans, managing daily aspects of the Client Engagement, documenting and presenting Client deliverables, issuing reports, interacting with Senior Client Management and supervising and reviewing the staff accountants’ work. I also performed auditing procedures for the 404 Sox Certification from implementation to testing and remediation. I have worked 4 years for AIG within their Reinsurance Division as an Audit Manager/ Sox Coordinator/Internal Auditor reviewing their key controls and narratives and identifying any gaps in controls to be remediated by year-end including their Sox Certification.

WORK EXPERIENCE

11/2014-12/2015 Consulting Engagements

VOLT, New York, NY - Internal Senior Auditor

Reviewed the entities key controls, narratives, process flows, risk control matrices and design effectiveness assessments.

Performed auditing procedures for Internal Audit as well as the 404 Sox Certification.

Citigroup, New York, NY - Internal Audit Manager within the CIB-CMO Group

Lead Audit Manager on the Syndicate Operations audit.

Interacted closely with the VP and AVP of the Syndicate Operations Group.

Reviewed the entities key controls, narratives and policies and procedures within the Group.

Documented and updated narratives, process flows, risk control matrices and design effective assessments.

Communicated to upper management if there were any control deficiencies or gaps.

David Landau & Associates (DLA), Fairfield, NJ - Senior Sox Auditor/Senior Internal Auditor

Major Clients: ICON, Jefferson Electric, Pioneer and Emisphere

Performed auditing procedures for the 404 Sox Certification.

Reviewed all of the entities key controls.

Maintained a listing of deficiencies and their corresponding remediation plans.

Documented the processes of the clients and their key controls by creating/updating their risk matrices and narratives.

2010-2014 AIG, New York, NY

Accounting Manager/Sox Coordinator/Internal and External Auditor Liasion

Reviewed all of the Reinsurance Unit’s Key Controls.

Performed auditing procedures for the 404 Sox Certification.

Directly interacted with upper Management to optimize controls within the Reinsurance Unit.

Interacted closely with the Sox Team, Internal and External Audit and Management on an optimization

project related to all of the Unit’s Key controls. Optimized controls and was able to reduce or

consolidate certain controls that were no longer key controls by 30%.

On a daily basis worked with all the Directors and AVP's of the Reinsurance Unit in maintaining all of their End User Tools (spreadsheets) and Handoffs.

Reviewed journal entries to confirm they contained the proper supporting documentation.

This process reduced quality control rejections annually by 40%.

Improved the SAB99 (misstatements) process by empowering the employees to

utilize the correct language within their executive summaries. This made each owner of their

misstatements responsible to take ownership of this process. Established timelines given to us

to produce a quality product to present to upper Management. Utilized the SAB99 Tracker

System to input misstatements as needed. This process reduced misstatements by 55%.

Worked throughout the year on remediating any SAD’s (Significant Aggregate Deficiencies)

that were identified in prior years and/or in the current year by 80%.

Accomplishments Include:

Successfully completing the following:

Quarterly Ethics and Insider Trading Training Courses

Anti-Trust & Compliance Course and Information Security Risk Awareness Course

Anti-Money Laundering for Insurance Companies Course.

Received Incentive Bonuses each year from 2010 thru 2014.

2008-2009 Deloitte & Touche LLP, Princeton, NJ

Learning and Development Writer

Selected to join the United States Learning Team to develop and write learning materials for

the audit staff which included creating performance support e-learning modules for the different areas of an audit, as well as step-by-step instruction booklets.

Participated in creating workshops and training courses in all aspects, from creating the

materials, facilitating, and creating and administering a feedback questionnaire.

Daily interaction with the Global Learning Team and upper Management.

2000-2008 Deloitte & Touche LLP, Princeton, NJ, Parsippany NJ

Audit Manager –September 2005 to January 2008

Audit Senior – September 2002 to August 2005

Audit Staff Accountant – October 2000 to August 2002

Major Clients: Merrill Lynch Insurance Group, Metropolitan Life Insurance Company

Responsibilities included all phases of conducting an audit.

Understand related Client's accounting policies and procedures to ensure compliance with Generally Accepted Accounting Procedures (GAAP).

Assisted Client in understanding compliance requirements of the Sarbanes Oxley Act of 2002.

Experience in Agreed Upon Procedures.

Reviewed and evaluated internal controls and accounting procedures.

Lead and maintained the coordination and communication with the Deloitte ERS,

Actuarial and Tax teams assigned to the Client.

Experienced in researching and preparing the following: engagement, Management

Representation, legal, awareness, internal control and qualification letters, opinions, consents, position papers, letters to those Charged with Governance, and Management comments.

Prepared correspondence for the Client's Audit Committees and Board of Directors.

Experienced in communicating and signing-off to a Corporate Team.

Worked closely with the Client and Deloitte Partners on product filings for 14 Separate

Account Reports which included more than 15 products and 750 funds.

Communicated with Concur Partners successfully to file the following: Form 10Q, Form 10K,

Form 8K, Form S-3, Form N-4, Form N-6, Statutory Reports, and Separate Account Reports.

Counselor for six counselees, which required meeting with and discussing any and all

counselees’ concerns and their mid-year and annual performance reviews.

Provided formal and informal career mentoring for first and second year associates and interns.

Accomplishments Include:

Received Outstanding Performance/Recognition Awards and Bonuses– 2002 thru 2007.

Successfully completed yearly audit training seminars and Life Insurance training seminars.

Received high marks on all Client Service Assessments.

EDUCATION

1996-2000 Rutgers, The State University of New Jersey

Newark College of Arts and Sciences / School of Management

Bachelor of Arts and Science, Accounting, May 2000

COMPUTER SKILLS

Microsoft Office Applications - Windows and Vista

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