Governance, Risk Management, and Compliance experience with Internatio

Summary

Governance, Risk Management, and Compliance experience with International and Domestic Financial Institutions, Manufacturing, Pharmaceuticals, Retail, and Non-Profits, including but not limited to: SOX certification (pre and post IPO involvement), internal controls, SOX compliance, audit, project management, change management, continuous process improvement, COSO 2013, software savvy and an expert in Microsoft products; an out-of-the-box thinker that can see the big picture and also drill-down into the details; very analytical, intuitive, and emotionally intelligent. Seeking to build a long-term business relationship to create a collaborating team environment to safeguard and improve net income by my unique approach to risk management.

Experience

Independent Consultant

2014 – Present

•Internal Audit Projects

•Financial Risk Management Projects

•Change Management Projects

•Internal Control/SOX Projects

•Process Improvement Recommendations

•Project Management

•Federal and State Compliance Projects

•Third-party Vendor Compliance Projects

•FDICIA Compliance Projects

SOX Internal Control Officer at GE Capital Retail Bank

2012 - 2014

•Responsible for the wing to wing ownership of the SOX 404 process including planning, risk assessments, documentation, execution, and testing

•Accountable for ensuring appropriate internal controls are identified, documented and regularly tested

•Developed and documented risk assessment methodology for all general ledger accounts, business units and operation areas in order to efficiently and effectively provide risk mitigation

•Reporting to Executive Committee status, updates, findings, recommendations etc

•Drive and follow through on remediation for any deficiencies identified during SOX testing or via Internal Audit

•Supporting larger projects such as major process changes and new products to ensure compliance

•Interface with process owners to ensure policies and procedures are appropriately documented and compliant with regulatory requirements

•Work with stakeholders to identify procedures, create process maps, document risks and controls, determine gaps, develop action plans for remediation, and validation of implementation

•Utilize CAP (change acceleration process) tools and personal network to influence business units to implement necessary process modifications to meet regulatory needs

•Provide interpretation and guidance to process owners regarding key risks, key controls, bank policy and proposed process changes

•Develop regularly scheduled control testing to ensure mitigation of key risks

•Assist management with various reporting and data analysis around internal control activities

•Management of internal staff, dotted-line reports, and offshore resources

Interim Controller at Heart for Africa

2010 - 2012

Heart for Africa is a Christian non-profit 501(c)3 public charity delivering quality care, shelter, food, water, clothing, health care, and education to the orphaned and vulnerable children of Swaziland.

•Management of the financial aspects for 3 non-profit charities; 1 domestic and 2 international

•Monthly reconciliation of 7 bank accounts

•Income (check and credit card donations) and Expenses (wires, debit card charges, checks and payroll)entered into QuickBooks, every dollar incoming and outgoing allocated to a Project, and reconciled with the bank statements

•A/P – validation and payment of all invoices/bills; review and reimbursement of employee expenses

•A/R – daily management of our post office box, recording of all donations made via cash/checks into Salesforce and PPFD, daily bank deposit of received donations

•Manage the Child Sponsorship funds for 5 children’s homes, determine what each children’s home received in donations and preparation of financial reports

•Oversight of how the Child Sponsorship funds are spent, reviewing receipts provided by the children's homes ensuring every dollar was spent on food, education, medical expenses or clothing

•Allocation of temporary restricted funds, review trip participant accounts and properly apportion overages

Senior Internal Control Analyst at Oldcastle Architectural, Inc.

2006 - 2009

•Responsible for SOX certification for an internationally-owned business with 77+ autonomous companies accompanied by over 240 locations with multiple ERP systems

•Establish internal controls during implementation of Axapta, Lawson, Hyperion, and a Shared Services department

•Perform annual planning and scoping for the SOX compliance process

•Responsible for analyzing risks and achievement of control objectives to mitigate risks

•Manage, update and administrate global control documentation, assignment and communication of test plans, and evaluate results

•Monitor changes in businesses, processes and systems to ensure timely updating of control documentation and identification of items impacting 302 and 404 compliance

•Coordinate closely with cross-functional teams (Internal Audit, Finance and IT) to ensure an efficient and synergistic approach to overall testing of internal control

•Partner with senior and local management and Internal Audit to recommend and implement best practice solutions to enhance the internal control environment and operational efficiency

•Monitor and report identified control design/operational deficiencies and remediation efforts

•Provide on-going communications on changes in SOX regulations and best practices

•Create and maintain SOX documentation: Business Overview Document, Entity Level Controls, Estimated Process Narratives, Flowcharts, Process Control Matrix, Risk Register, SOD Analysis, Scoping, Tier 3 Questionnaires, Year-end Confirmations

•Create pertinent SOX policies and procedures and update the businesses' financial policies and procedures manual for GAAP and IFRS compliance

•Manage implementation teams throughout footprint

•Create self-testing plans for the field, scoring, and develop remediation plans including the implementation, testing, and assessment of remediation activities related to deficiencies and weaknesses discovered

•Perform audits on behalf of external audit team reducing SOX fees by $500,000 a year

Consultant at Ricoh Americas Corporation

2006 - 2006

•Create flowcharts identifying business processes, systems interactions, risks, and controls

•Perform internal control testing and provide results to management

Project Manager at Control Solutions International

2005 - 2006

Performance Food Group (PFG)

•Perform operational audits in multiple warehouses for 19 distribution companies – 66,000 products, analyze physical inventory processes and implement value-added practices

•Independent autonomy to audit physical inventory processes which involve conferring with CFO’s, General Managers, and Dock Hands, to review, evaluate, and test documentation which include narratives/walkthroughs, test control findings, and conclusion reports

•Compare processes and procedures from each location, note inconsistencies and best practices; provide operation efficiency improvements, and implement improved processes and procedures

Lowe's Companies, Inc.

•Perform IT SOX Testing

•Test data change management processes for Sarbanes-Oxley compliance

International Banker at SunTrust Bank

1997 - 1999 and 2001 - 2005

•Standby, Advised, and Confirmed Letters of Credit

•Industrial Revenue Bonds

•Participated/Syndicated Risk

•Audit Projects

International Banker at First Union National Bank

1999 - 2001

•Standby Letters of Credit

•Advised/Confirmed Standby Letters of Credit

Education

Bachelor Degree, Business Management 2004

Certifications

Change Acceleration Professional (CAP)

GE Capital Retail Bank

Certified Internal Auditor (CIA)

Certified Internal Controls Auditor (CICA)

In progress

I am committed to keeping my toolbox loaded with sharpened and up-to-date skills, which includes continually pursuing new certifications within my field.

Contact this candidate