Project Manager Internal Audit

RISK, AUDIT, COMPLIANCE and CONTROL EXECUTIVE

INTERNAL AUDIT RISK MANAGEMENT INTERNAL CONTROLS COMPLIANCE & MONITORING SOX ASSESSMENTS

Visionary audit leader skilled in: automating risk assessments, digitizing controls testing, aligning mitigation efforts with technology and delivering pragmatic solutions to difficult issues. Solid experiences in Operations and Finance. Relationship builder capable of fostering productive working relationships with boards, executives and management. Project Manager with outstanding: leadership, project management, communication and listening skills.

Core Competencies:

Automating Risk Assessments

Aligning Audit Plans with Strategy

Monitoring Emerging Risks

Integrating Data Analytics into Plans

Lead Complex Multinational Audits

Controls Assessment & Evaluations

Best-in-class Audit Process Development

Driving Flawless Execution of Plans

Problem Solving w/ Root Cause Analysis

Ensuring Mitigation Plan Implementation

Reporting results of Audit & SOX Projects

Recruiting and Developing Global Teams

Change Leader

Self-starter

Team Builder

Collaborator

Public Speaker

Strong Communicator

Education and Professional Certifications:

MBA Xavier University, Cincinnati, OH

Certified Public Accountant, (Illinois ID# 239.XXX575)

BSBA Xavier University, Cincinnati, OH

Certified Internal Auditor (Membership ID# 961XXX)

Career Accomplishments:

Finance professional (CPA, CIA, MBA) >20 years’ experience creating, leading and managing high performing audit, risk, compliance and control teams that have transformed conventional GRC functions into progressive, trusted advisors sought throughout organizations.

Integrated data analytics in audit plans, enhancing: enterprise risk assessments, internal audits, and compliance and control assessments. Resulted in creating a continuous process where risks are regularly evaluated and plans devised to: i) mitigate anticipated exposures and ii) prevent known problems from going awry.

Worked seamlessly with Audit Committees and Management to evaluate and optimize mitigation efforts, including: process improving control design, documenting/updating processes and procedures, assessing adequacy of existing controls, re-engineering practices and controls, and creating new policies and procedures.

Experienced facilitator capable of dealing with the nuances and intricacies raised by stakeholders when initiating changes modifying: legacy processes and controls. These experiences include collaborating with resources while implementing processes to enhance performance and mitigate risks.

Led high performing teams in the design and implementation of best-in-class Control and Compliance programs that provided more effective processes and practices, less errors, reduced costs and higher returns.

Collaborating with Audit Committees and CFO’s led Internal Audit function for 20+ organizations as Partner at Control Solutions (Internal Audit Consulting firm). These engagements included assisting clients in: assessing enterprise risk and attaining SOX compliance objectives through enhanced internal accounting controls.

Accustomed to collaborating with IT teams and 3rd parties in assessing controls -- ensuring that risks are thoroughly understood and vetted when identifying weaknesses, exposures and improvement opportunities.

Hired, trained, managed, developed and challenged audit resources across the globe (with diverse educational and cultural backgrounds) to attain high performance levels while conducting themselves professionally in accordance with established codes of ethics and conduct.

Implemented Internal Audit technology tools automating and streamlining: audit planning, risk analysis, Workpaper preparation and review, and reporting. Advanced flowcharting skills in Visio and Blueworks.

Recent Related Work Experiences:

Richard Rochester LLC Professional Services GRC Consulting Oct 2018 – Current

Consulted with various organizations on risk, control and internal audit initiatives, including:

o Citigroup o GameStop o AT&T/DirecTV

o Fiserv o Cleaver-Brooks Sales & Services o Legacy Housing Corporation

Following extensive evaluations of procedures/practices led re-engineering activities over accounting controls revising process narratives and generating flowcharts. Rationalized SOX/Compliance projects including: risk assessments, controls evaluations and testing. Directed various SOX/regulatory compliance initiatives, and, reviews over operating effectiveness clearing findings with management and presenting recommendations to leadership and boards.

Global Power Equipment – Irving, TX $600M Gas Turbine Products Manufacturer Feb 2016 – Apr 2018

Vice President Internal Audit and SOX Compliance

Reengineered ineffective internal audit/control functions for a business going through a 3 year earnings restatement.

Accelerated remediation of 53 deficiencies which triggered the need to restate 2012-2014 financials.

Optimized audit team - developed resources capable of working with Accounting and IT to solve problems.

Enhanced assessment efficiency by analyzing root causes of: non-compliances, improprieties and deficiencies.

Led company-wide compliance & control training program presenting solutions to mitigate complex problems.

Designed a streamlined SOX compliance program that re-aligned ownership and automated testing activities.

Babcock Power Inc. – Boston, MA $1B Energy Product Manufacturer Oct 2007 – Feb 2016

Vice President Risk and Internal Control

Created internal control function to improve the adequacy and effectiveness of global internal control system.

Implemented continuous risk evaluation tool and dashboards to pin-point high risk activities and transactions.

Developed risk based assessment tool to monitor: industry trends, financial and operational data, operating results and then evaluated their impacts on cost, margin and performance.

Delivered control and compliance evaluations mitigating identified risks: ~$20M reduction in margin erosion.

Designed process to infuse best practices in: Engineering, Manufacturing and Procurement disciplines.

Benchmarked procedures between operations to identify best practices for enterprise-wide adoption.

Collaborated with Division Presidents to reengineer and optimize controls to: reduce risk and improve margins.

Analyzed causes of non-conformances and deviations (by assessing data and interviewing leaders) to develop corrective actions that reduced cost of poor quality and increased profitability by $6M since 2011.

Control Solutions International – Miami, FL $75M Professional Services Consulting Sep 2000 – Sep 2007

Partner - Internal Audit Practice

Led client internal audit functions identifying opportunities to improve performance, controls and processes through accounting and operating enhancements for: financial services, healthcare, manufacturing and retail clients.

Chief Audit Executive for 5 organizations (two small caps, two large caps and a privately held company).

oCoordinated audit activities for organizations with international operations in Europe and Asia,

oIntegrated COSO framework into processes to ensure risks were continuously disclosed and mitigated.

Educated client management & board members in SOX requirements, risk assessments, & internal auditing.

oRecruited and trained 60+ professionals to assist > 20 clients with their SOX compliance initiatives,

oDeveloped tool to leverage compliance costs by integrating: SOX, Financial Control and Internal Audit.

Developed analytical tools and dashboard metrics to identify underperforming operations and activities.

oStabilized bottom-line performance introducing internal control reviews over operational activities,

oImproved gross margins from 12.4% to 18.2% through the design and upgrade of internal controls,

Assessed audit deficiencies, identified root cause, designed corrective actions remediating complex control issues.

oReengineered change management and earned value methods enhancing project tracking & reporting,

oImplemented data analytics to identify fraud resulting in the termination of two senior level managers.

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