ANJANETTE ORTIZ

Mobile: 646-***-**** ad31e4@r.postjobfree.com

Highly motivated and detailed-oriented internal audit professional with over 17 years of comprehensive financial and operational audit experience within various industries. Results-driven with a proven track record for effectively meeting goals and expectations, completing numerous assignments simultaneously without compromising quality and the ability to lead a team to achieve the overall objectives. Successfully streamlined business processes, completed internal control assessments as well as assured Sarbanes Oxley (SOX) compliance for multi-national financial institutions and for integrated audits.

Core Competencies

Sarbanes Oxley (SOX)

Internal Audit

Internal Control Assessment

Audit Management

Audit Policy & Procedure Development

Report Analysis

Dodd-Frank

Regulatory Compliance

Public Company and Accounting (PCAOB &) Securities and Exchange (SEC) Pronouncements

Risk Assessment

Generally Accepted Accounting (GAAP)

Leadership & Team Building

Relationship Building

Professional Experience

MACIAS GINI & O'CONNELL, LLP (MGO), New York, NY

Manager, Assurance 2021 to Present

Manage overall compliance of SOX 404a and 404b for the public client service line. Manage all aspects of the Internal Controls Over Financial Reporting (ICFR) including planning, budgeting, risk assessments, control rationalizations, testing review, communications, and conclusions for integrated audits.

Evaluate results of test work completed to identify client performance and compliance with SOX 404b.

Validate findings while making recommendations as appropriate and drafting final communications to the client.

Supervise, train and motivate staff to ensure the achievement of the final goals in a cost effective and timely manner within the budget.

Provide firm-wide SOX 404 Compliance training.

Renewable Energy Company (Disclosed Upon Request), New York, NY

Consultant (Senior Manager, SOX Compliance) 2019 to 2022

Provided SOX 404 consulting services for a large accelerated Renewable Energy Company filing for both the corporate and service lines, by assisting senior management in defining control objectives and monitoring compliance efforts for SOX 404. Validated test findings within the Internal Audit Team, facilitated remediation of control gaps, and escalated critical issues to the senior management.

Monitored significant business and process changes impacting the design and operating effectiveness of controls related to vendor management, acquisitions, leases, revenue and financial reporting.

Provided consultation to business owners on control implementations, control execution and overall SOX compliance.

Recommended controls for newly implemented modules in the Debt Management system.

Created end-to-end SOX documentation for Debt and Derivatives process including narratives and flowcharts.

Collaborated with SOX IT and the business areas to reduce the number of manual controls and achieve 20% increase in automated controls.

Provided expertise and knowledge for the various business segments to help ensure controls are properly designed, executed, operating effectively aa well as ensured proper audit evidence exists.

Managed 2020 annual SOX scoping and risk assessment.

Prepared executive management and Audit Committee materials highlighting overall SOX progress and results.

Executed over 20 test plans to identify for the Internal Audit function the client’s performance and provided improvement suggestions for the strengthening of the internal controls structure.

Experience Continued.

Directed and guided the implementation of the COSO framework for newly acquired business segment, providing insight for process improvements.

Supervised two junior staff to ensure all fieldwork was focused on key areas and documentation met high quality standards.

Provided recommendations and supported management in the development and execution of the updated 2021 Business Continuity Plan.

New York City Economic Development Corporation (NYCEDC), New York, NY 2016 to 2019

Vice President – Internal Audit

Successfully completed the fiscal year 2018 and 2019 annual company-wide risk assessments. Created a five-year audit plan by identifying emerging and key risks to the company. Developed and executed the fiscal year 2017, 2018 and 2019 audit plans on time and within budget. Managed over 25 financial and operational audit engagements from the planning phase to the drafting of the final audit report as well as liaised all communications between key stakeholders and the Board of Directors. Served as a trusted adviser on business process improvements and the overall internal control environment for the various business segments as well as collaborated with management for special audit projects and investigations.

Identified and investigated a $22 million discrepancy within a contract compliance audit.

Spearheaded the documentation of the internal controls process by creating narratives and flowcharts for 15 business segments.

Contributed to the ongoing Internal Audit Department initiatives and increased awareness by successfully completing a company-wide Internal Audit Road Show.

Ensured staff was provided with appropriate training development and monitored continuing professional education.

Implemented a staff performance review process as well as provided coaching and feedback upon completion of all audit deliverables to ensure maximum effectiveness of internal audit operations.

David Landau & Associates (DLA), New York, NY 2010 to 2016

Internal Audit Manager

Managed the annual Sarbanes Oxley (SOX) compliance as well as the financial and operational internal audits for both public and non-public multi-national financial institutions. Led all aspects of the engagements from the planning phase to the drafting of the final audit report phase as well as communication between key client personnel and senior management. Provided exemplary client service by completing all projects in a timely manner and within the budget.

Managed a team of three consultants (per engagement) that successfully identified key risks, identified, and assessed mitigating controls, as well as provided recommendations on improving the control environment with the development and execution of risk assessments for four major clients.

Managed staff and senior level consultants with documenting narratives, performing walkthroughs and testing the business area critical controls. Provided management reviews on completed testing work-papers and tracked design effectiveness and operating gaps.

Created and documented the internal control processes by creating narratives and risk matrices for two Pre-IPO clients.

skills & Knowledge

Mastery in MS office suite (Word, Excels, PowerPoint, Access, Project) Visio and AuditBoard.

Proficient in PeopleSoft, Microsoft Dynamics GP, ADP, Concur, IDEA, Teammate and RSA Archer Suite.

Education

B.S Accounting, RUTGERS UNIVERSITY-School of Management, Newark, NJ

Candidate for CIA Exam (In progress)

professional organization

IIA (Institute of Internal Auditors) – New York Chapter 2006 to Present

Contact this candidate