Project Management Risk

WILLIAM T. COLEMAN, JR., CPA, CFE

***************@*****.*** New York, NY

linkedin.com/in/bill-coleman-8740b42/ 1-917-***-**** Compliance professional with demonstrated experience providing global investigation, audit, accounting and finance experience support in highly confidential and customer-facing work environments. Holds specialty knowledge in the areas of government regulations, sales, marketing, manufacturing, third-party risk management and expense reporting. Adept in identifying and interpreting data to best report information to mitigate risk and support continuous process improvements. Core competencies include: Audits Compliance Forensic Accounting Corporate Finance Cross-Functional Team Leadership Business Process Improvement Corporate Governance Investigations Project Management EXPERIENCE

HSBC INC., New York City, NY 2015 - 2022

Audit Manager (March 2021 – December 2022)

Oversaw the audit process from engagement planning to audit report issuance including regulatory compliance, enterprise risk management, project management and governance framework assessments. Contracted Audit Manager (April 2015 – March 2021)

• Prepared monthly, quarterly and annual presentations for the US Audit and Risk Committees.

• Monitored the US Internal Audit annual budget and provided summary explanations of expenses to the US Internal Audit Lead Auditor and Audit Chief Operations Officer.

• Processed vendor billings, preparing monthly accruals and monitoring future expenses against the budget to ensure costs are in line with the annual operating plan.

• Reviewed employee headcount as well as departmental traveling and entertainment expenses. DELOITTE FINANCIAL ADVISORY SERVICES LLC, New York City, NY 2010 - 2014 Senior Manager - Forensic & Dispute Services

• Led a team of 25+ colleagues on a large, cross functional client project related to the mortgage crisis.

• Managed a team for the development of a centralized “fraud office” for a major financial services client.

• Directed a team of cross-functional colleagues in a multi-national Foreign Corrupt Practices Act (FCPA) investigation of a life sciences client.

• Presented, as a subject matter expert (SME), on investigative interviewing, the FCPA and Anti-Bribery & Corruption at industry conferences (the Institute of Internal Auditors (IIA), the Association of Fraud Examiners (ACFE) and Annual BioPharma Congresses) and as a guest lecturer at Fairfield University.

• Reviewed, analyzed and summarized financial information and supporting documentation related to an FCPA investigation of a consumer products client.

PFIZER INC., New York City, NY

Audit Compliance Manager/Corporate Audit Manager/Senior Financial Auditor Developed the Audit Compliance Group with a staff of three colleagues responsible for monitoring, investigating and overseeing financial and IT fraud allegations for a $60 billion dollar business with over 100,000 colleagues. The Group covered finance, sales, marketing, manufacturing, distribution, research and development activities.

• Worked in conjunction with the Compliance Department to monitor/investigate the compliance of sales and marketing programs under Pfizer’s Corporate Integrity Agreement (speaker programs, off-label marketing).

• Collected more than $15 million in cash and credits/refunds related to investigation recoveries as well as special project work (insurance claims, fraud recoveries, utility refunds and refunded airline tickets).

• Trained both Audit and Finance employees on how to assist during fraud investigations.

• Provided finance and operational support for the Latin American Logistics Center in Panama.

• Consolidated Corporate Policies/Procedures during the 2003 Pharmacia and 2009 Wyeth acquisitions.

• Presented at Pharmaceutical Internal Audit Forum (PIAF) meetings on the topic of fraud investigations.

• Provided support to Legal Compliance, Corporate Security, Corporate Insurance, Global Sourcing and local authorities (District Attorney offices and the US Postal Inspector Service) to address compliance violations.

• Managed multiple global audit assignments concurrently with up to ten auditors per assignment.

• Supervised six direct reports, including performance evaluations, career coaching and objective setting.

• Initiated and administered audits of global construction activity to ensure the propriety of contractor billings. Pfizer received over $1 million in refunds as a result of this work.

• Provided six months of full-time assistance to the Corporate Insurance Group due to the September 11th attacks. This included monitoring Pfizer’s global property program and liaising with insurance brokers.

• Presented “Pfizer’s Policy on Business Conduct” to over 6,000 employees at various US and global locations. ARTHUR ANDERSEN & CO., Boston, MA & Roseland, NJ - Senior Auditor EDUCATION/CERTIFICATIONS

MASTER OF SCIENCE (MS) IN ACCOUNTING:

Northeastern University, Graduate School of Professional Accounting, Boston, MA BACHELOR OF ARTS (BA) IN HISTORY:

College of The Holy Cross, Worcester, MA

Certified Public Accountant (CPA) in Massachusetts & New York and Certified Fraud Examiner (CFE). LECTURES/PANELS/PUBLICATIONS

Business Ethics, (Guest Lecturer)

(Fairfield University’s Charles Dolan School of Business, November 2012, November 2013 and March 2015) FCPA & Anti-Corruption: A Strategic Approach, (Co-Presenter)

(Monthly Meeting of the New York Chapter of the Association of Certified Fraud Examiners, March 2013) Internal Auditing for FCPA & Anti-Corruption - A Strategic Approach, (Co-Presenter)

(The Institute of Internal Auditor’s New York Chapter October 19th, 2012 Workshop) Adhering to Regulations and Avoid Corruption in Ex-US Operations, (Speaker)

(Center for Business Intelligence’s “Bio/Pharmaceutical Legal Congress”, June 2011) Responding to a Congressional Investigation, Subpoena or Inquiry, (Panel Moderator)

(Center for Business Intelligence’s “Bio/Pharmaceutical Legal Congress”, June 2011) Mitigate Risk by Monitoring Travel and Entertainment Expenses (Co-Author)

(New York, NY: Deloitte LLP “White Paper”, 2011)

Toby J. J. Bishop and Frank E. Hydoski, Corporate Resiliency: Managing the Growing Risk of Fraud and Corruption, (Hoboken, NJ: John Wiley & Sons, Inc., 2009). Interviewed by the authors, see page 113. Thomas H. Davenport and John C. Beck, The Attention Economy: Understanding the New Currency of Business,

(Boston, MA: Harvard Business School Press, 2001). Interviewed by the authors, see pages 189 & 190.

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