Financial Analyst Accounting

Kent Taylor Leipold, M.B.A., C.R.M.A., C.S.O.X.

Phone: 512-***-****, E-Mail: *******@*****.***

Senior Auditor / Financial Analyst / Sarbanes-Oxley (SOX) Analyst

Highly dedicated and self-motivated professional having experience in providing recommendations regarding internal control enhancements and identifying areas of opportunity for cost control and risk mitigation with comprehensive understanding of Sarbanes-Oxley requirements. Versatile and energetic professional with leadership as well as proven project management skills including a track record of accomplishments in a senior internal audit role and widespread knowledge of internal audit principles and procedures. Self-starter, a courageous and visionary client leader, known for strong business acumen and an understanding of end to end finance processes.

~Biggest accomplishment is helping a cancer patient navigate the challenges and fears of facing cancer ~

~ Worked with individual men that have been diagnosed with prostate cancer and their family. Developed a marketing plan that resulted in the Governor for the State of Texas declaring Sep in 2016 & 2018 as Prostate Cancer Awareness month for the State of Texas – Cancer Journey Foundation ~

~Provided cancer survivor input into the grant analysis. Shared how the grant would impact prostate cancer patients and/or survivors– Department of Defense Prostate Cancer Research ~

~ Worked on the team that developed the program for educating hunters on boating safety. The draft program has been well received by the top command. Actively participated on the team development of the boating program for hunters – U.S. Coast Guard Auxiliary ~

~Recipient of the 2012 Dave Campbell Quality Award, AASHTO Administrative Subcommittee on Internal /External Audit, http://audit.transportation.org – Texas Department of Transportation ~

~ Actively participated on the publication team of a book – Publication and acknowledgment on the web site for the Sarbanes – Oxley Institute. The book has become a required reading for people wanting to gain knowledge about Sarbanes-Oxley~

SKILL AREAS: Strategic Planning wFinancial ManagementwBusiness & Financial Analysis wRisk Management wKPI Analysis wAccounting Policies & ProcedureswOrganizational Leadership wBookkeepingwAuditingwBank Operationsw w Contract NegotiationwMergers & AcquisitionwFundingwProcess ImprovementwAnnual Audit Process wFinancial Reporting wP&LwSarbanes-Oxley (SOX)wBanking Relationships wBudget Planning / Forecast wCommission Calculations wAccounts ReconciliationwAP/AR Management wSoftware Auditing wAdministrationwGenerally Accepted Accounting Principles (GAAP)wQuality AssurancewStatistical AnalysiswTransportationwCommunication

PROFESSIONAL EXPERIENCE

Leipold and Associates– Lago Vista, Austin, Texas Oct2012 – Present

Consultant– Financial Consulting, Risk Management, Cancer Awareness

Provide contract services to clients for financial and performance audits. Provide services to customers based on needs assessment and risk evaluation.

Develop audit programs for use in the field. Perform budget, financial analysis in accounting roles on contract basis.

Deliver audit and business advisory services to clients. Assess risk of client before beginning of audit. Provide recommendations for business and process improvements.

Ensure internal controls over financial reporting are sound, effective and in compliance with SOX. Lead assessment and establishment of SOX compliance within the business.

Proactively build relationships and communicate effectively with the client to provide superior client service. Interact directly with Partners and leadership on client and engagement management.

Assist cancer patients and families on resources available to them. Provide guidance risk management issues that might affect the patient and the family.

Licensed insurance agent for life and health (09/12 – 05/15). Provided guidance possibilities for insurance.

Develop, maintain and implement key policies, procedures, and standard documentation for the conduct of audit activities and engagements and offer ideas for improving performance and productivity.

Serve in Board of Adjustment Committee, Lago Vista, TX, charged with approving, revising or denying property owners request for property variances of existing municipal zoning ordinances.

Cancer Journey Foundation – Manhattan Beach California Sep2015 – Present

Texas Ambassador

Leading PCAP’s JustGet6 prostate cancer awareness initiative in Texas. The JustGet6 program is all about getting men to ask 6 of their colleagues if they have had their annual prostate cancer PSA blood test. Developed marketing plan for presentation to the Governor of Texas declaring September Prostate Cancer Awareness month.

The Prostate Cancer Awareness Project (PCAP) developed and operates an international prostate cancer early detective system available free from the internet at http://ProstateTracker.org or http:/ThePCAP.org

Texas Department of Transportation (TXDOT) – Austin, TX Sep 2002 – Oct2012

Senior Auditor

Selected, developed, and evaluated personnel to ensure the efficient operation of the function. Provided strategic leadership to the audit staff at organization-wide level.

Conducted performance & compliance audits covering areas of accounting systems, federal acquisition regulations, risk management, internal control, and executive compensation of private companies; audited Certified Public Accounting (CPA), firms for compliance with the AASHTO Audit& Accounting Guide; in manufacturing& engineeringindustries; conducted performance audits of non-profit organizations for compliance with Federal A-133 circular.

Directed and developed a risk-based annual audit plan and budget, manage significant financial reporting and other risk exposures, safeguard company assets, and compliance with laws and regulations. Developed a risk-based model for use by auditing office.

Trained four new staff over two years on audit process of contractors for compliance with Federal Acquisition Regulations, as well as state regulations, accounting standards and risk analysis; via On-The-Job (OJT) training and classes on auditing, risk management, contract analysis, and Federal Acquisition Regulations.

Ensured audit and compliance training programs for management and staff are established and regularly updated.

Developed audit work papers in Teammate software and ensured audit work papers were maintained in Teammate.

Developed procedures for reviewing management’s quarterly Sarbanes-Oxley 404 self-assessment.

Worked with multiple country finance and operations departments and generated “best practices” for audit projects. Leveraged support and buy-in for major initiatives.

Worked with internal audit and other managers to establish strategic workflow plans.

Executed the department’s operational plan and was responsible for the performance and goal achievement of the group. Collaborated with senior leadership on critical and complex aspects of internal audit and made operational recommendations.

Texas Physician Health Program– Austin, TX Mar 2014 – Jul 2015

Clinical Coordinator

Worked with patients daily on their program of recovery and compliance with the program. Worked with 40 clients in the areas of compliance and recovery. Standards, guidelines and commitment to the program were established in the beginning. The program was for five years in duration. Responsible for monitoring compliance, testing, recovery.

Ensured all clients stayed in the program and worked on their recovery which helped them to return to their respective careers in the medical profession. Identified 17 that grasped the benefit to their life and career of recovery.

Department of Defense Prostate Cancer Research – Arlington, Virginia Aug –Oct2011& Jun – Aug 2012

Consumer Reviewer –http://cdmrp.army.mil

Teamed with 10 consumer reviewers and 10 scientists to review grantproposals for funding on cancer research.

Performed financial and performance analysis of grant proposals for research in the cure for prostate cancer.

Analysed grant proposals for effectiveness to the cancer patient, to the medical community, and length of time grant would take to bring procedures to market.Read and learnt the medical terminology for the grant proposal.

PRIOR EMPLOYMENT DETAILS

Reviewer for Sarbanes-Oxley Body of Knowledge (SOXBoK) The GRC Group – New York, NY, www.grcg.com/sox-institute Jul 2007 – Jul 2008

Responsible to read, edit and recommend changes to chapters in the draft book. The book addresses the finance, accounting, auditing, IT, risk impacted by SOX. Concentrated on chapters with auditing function and risk management. An Introduction for publisher: Van Haren Publishing; 1st ed, August 15, 2008, 226 pages.

PROFESSIONAL DEVELOPMENT

Masters of Business Administration – Financial Management Le Tourneau University – Austin, TX

Bachelor of Science – Economics Southwestern University – Georgetown, TX

Certifications

C.R.M.A, Certified Risk Management Assurance Institute of Internal Auditors 2011 Status: Retired

C.S.O.X, Certified Sarbanes-Oxley Sarbanes-Oxley Institute 2009

Trainings: Management Classes, Public Relations, U.S. Coast Guard Auxiliary, Emergency Management, FEMA, Salesforce 2014

Affiliations: Institute of Internal Auditors, Institute of Sarbanes Oxley

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