Steven L Gonzales MBA,CFE

**** ******* ******

Arvada, CO 80003

303-***-**** adhuvf@r.postjobfree.com

AREAS OF STRENGTH

SENIOR MANAGEMENT / BOARD REPORTING AUDIT PLANING / FIELDWORK / REPORTS

FINANCIAL / OPERATIONAL AUDITS FRAUD PREVENTION/DETECTION

SOX COMPLIANCE INTERNAL CONTROLS

CONTRACT / CONSTRUCTION AUDITS RISK MANAGEMENT/RISK ASSESSMENTS

ITGC / ICFR / SOC 1 & 2 TESTING DUE DILIGENCE

COSO /IIA/ ACFE/ GAGAS STANDARDS SOX PROCESS WALKTHROUGHS / TOC

EDUCATION

Master of Business Administration – General Business/Finance

University of Denver – Denver, CO

Bachelor of Science – Finance/Accounting

University of Colorado – Boulder, CO

CERTIFICATIONS

Certified Fraud Examiner (CFE), MSHA (Mine Safety and Health Administration)

COMPUTER KNOWLEDGE

Microsoft Office, Excel, Microsoft Word, Access, Skype, Sharepoint, ACL, Epic, Lawson, WebNow, Banner, One World JD Edwards, PeopleSoft, Oracle, SAP, SAS, Asset Suite 8, Documentum, BlackLine, Workiva, HighBond, WorkFront, RFP360

PROFESSIONAL EXPERIENCE

CenturyLink/Charles Schwab - Contractor, Denver, Colorado 8/19- Present

Senior Internal Auditor & Operational Risk/Regulatory Analyst

Perform internal control walkthroughs and Sarbanes-Oxley (SOX) testing procedures for key controls.

Recommend improvements that add value to risk management, internal control, governance and business processes and communicate control findings to process owners/audit clients.

Supported Senior Team Manager in coordinating information responses with each respective Charles Schwab Business Units when the companies to which they provide services for submit requests for due diligence information.

Acted as the Point of Contact on Vendor Management Team – Incoming Due Diligence at Charles Schwab. Gathered supporting documentation needed to complete the due diligence questionnaires submitted by current and potential clients. This included completing Shared Assessments Program, Standard Information Gathering (SIG) Questionnaires; Service Organization Control Reports (SOC 1 & 2); and other forms of due diligence as necessary.

Tallgrass Energy, Lakewood, Colorado 3/19- 5/19

Senior Internal Auditor

Perform audit field work necessary for evaluating the effectiveness of internal controls, efficiency of operations, compliance with corporate policies and procedures and industry laws/regulations.

Perform internal control walkthroughs and Sarbanes-Oxley 404 testing procedures within budgeted timeframes for business process and information technology operations.

Assist in the development of the entity-wide risk assessment and a comprehensive annual internal audit plan.

Recommend improvements that add value to risk management, internal control, governance and business processes and communicate control findings to process owners/audit clients.

Develop and maintain through direct contact a strong rapport with key operating and corporate associates. Promote organizational confidence in the value and integrity of internal audit services

Test of Controls, process walkthroughs and SOX compliance support with external auditors.

Tri-State Generation & Transmission Association, Inc., Westminster, Colorado 10/13-12/18

Staff Auditor / (Promoted to Senior Auditor on12/23/2018)

Conduct diversified special and complex audits of Association activities and compliance of various external companies. Including contract, financial and operational audits.

Prepare audit outlines, perform audit fieldwork, evaluate and analyze audit results, conduct opening and exit interviews with auditees, and prepare and present formal audit reports for Management and the Board of Directors.

Examine, test, and consult with management in the development of internal accounting, administrative, and operational controls which include all financial, energy, inventory and fuel management systems, and other Association systems and policies, as necessary.

Observe and review physical inventory procedures and methodologies, including test counts or other techniques for the verification of physical assets and supply chain management issues.

Provide direct assistance for the External Auditors in conjunction with the Association's annual financial audit.

Test of Controls, process walkthroughs and SOX /ICFR / ITGC (Control testing over entire IT environment including access, infrastructure, applications & data) compliance support for and with external auditors.

Performed a Quality Assessment Review (QAR) on the Internal Audit Function.

Perform supervisory duties in the absence of the Manager.

Coordinate the work of staff auditors when assigned to assist with special/complex audits.

Coordinate Joint financial and operational audits with other utility entities with shared partnerships in coal mines and power plants.

Denver Public School District, Denver, Colorado 7/13-9/13

Consultant/Contractor

Perform a Payroll audit which includes planning, creating a risk matrix, performing fieldwork and writing the draft and final audit reports.

Follow up on previous audit findings and recommendations to ensure issues have been cleared and or corrected.

Assisted in District wide risk assessment to identify future years audit plans.

Furniture Row & Other Consulting Firms, Denver, Colorado 8/11-7/13

Consultant/Contractor

Visit store locations around the country to conduct operational audits. Audited daily operations including cash receipts, inventory and other store operating functions.

Prepare written report of audit/inspections which include audit findings and recommendations to management.

University of Colorado Hospital, Aurora, Colorado 9/10-8/11

Senior Internal Auditor

Conduct a Hospital wide risk assessment to develop the audit plan for the upcoming fiscal year. Incorporated a new risk model to rank more important areas of risk. Met with over seventy (70) management team leaders which included Vice Presidents, Executive Directors and key mangers to identify and discuss risk issues and potential risk areas.

Perform standard financial and operational reviews covering a wide variety of Hospital administrative areas and operations for the purpose of providing an independent assessment of compliance, performance and overall condition and then providing recommendations for improving accountability and performance. To identify audit topics, work with the Hospital’s president, Board, and key Hospital personnel on an annual basis while applying audit standards to identify the areas with the greatest risk.

Performed a hospital wide PCI-DSS (Payment Card Industry Data Security Standards) gap assessment.

Conduct hospital wide fraud investigations.

Metropolitan State College of Denver, Denver, Colorado 1/06-6/09

Internal Auditor

Initiate and create the first Internal Audit Department at Metro State. This includes:

Designing and implementing the Internal Audit web page and whistle blower hotline.

Developing the Internal Audit Charter and operating procedures.

Analyzing the College’s environment and assessing the risk of all areas.

Establishing a reporting relationship with both the Board and College’s president to maximize independence while maintaining a direct supervisor relationship with the president.

Conduct campus wide fraud investigations.

Perform standard financial and operational reviews covering a wide variety of campus academic and administrative areas and operations for the purpose of providing an independent assessment of compliance, performance and overall condition and then providing recommendations for improving accountability and performance. To identify audit topics, work with the president, Board, and key college personnel on an annual basis while applying audit standards to identify the areas with the greatest risk.

Meet with the College’s Chief Financial Officer weekly to apprise her of audit work, key issues facing the College, and to identify potential issues with upcoming audits. Meet with the College’s Finance Committee, a subcommittee of the Board, to update them on audit status, present key audit reports and findings, and to address any potential issues facing the college.

Conduct special reviews, investigations, or projects at the request of the Board of Directors and/or President. For example, after the College suffered a significant data breech, I worked with the EDP Contract Auditors, information technology staff including the CIO, to ensure that technology weaknesses identified and controls implemented. I conduct semi-annual reviews to monitor the progress of the College’s IT department to ensure that they are moving forward with this important project to protect the sensitive data of the college.

Perform periodic budget audits to monitor department’s adherence to policies and procedures.

Performed contract and grant audits for each department and implemented new policies and procedures for procurement and accounts payable.

PROFESSIONAL AFFILIATIONS

Member, Denver Chapter of the Institute of Internal Auditors (IIA), Association of Certified Fraud Examiners (ACFE), Construction Financial Management Association (CFMA), Association of College and University Auditors (ACUA)

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