Compliance Analyst

Summary

Seasoned leader with experience in accounting, finance, compliance and internal audit at global corporations. Skilled in collaborating with all members of the organization to achieve audit, business, and operations objectives. Instrumental in streamlining and improving processes, increasing compliance, and implementing internal control solutions. Proven Project Manager; effectively blending a consultative approach while managing concurrent projects under tight deadlines.

Professional Experience

Pfizer, Inc. (Contractor), Collegeville, PA 2019 - 2021

Research-based biopharmaceutical company

Compliance Analyst 8/2019 – 2/2021

As a member of the Business Process & Operational Team within the Global Procurement (“GP”) organization, I provided operational support related to Pfizer’s Third Party Global Foreign Corruption Practices Act (“FCPA”) - Compliance and Due Diligence processing model, including general process support, data analysis, issue identification and issue resolution.

Worked closely with internal stakeholders from the My Anti-Corruption Policy and Procedures (“MAPP”) Due Diligence Questionnaire (“DDQ”) processing teams, business users, audit, procurement, and compliance to identify and develop opportunities to improve MAPP processes, systems and operational activities, enhance capabilities or reduce errors/issues.

Supported the alignment of all due diligence related systems and tools, and ensured processes and operations are defined in accordance with all relevant Pfizer policy and procedures.

Executed SAP system test scripts for new features, enhancements and changes to the Third-Party pre-approval form within the Master Data Governance module.

Supported the development, delivery and maintenance of MAPP third party training, training materials, work processes, SOPs and other relevant documentation for the GP MAPP processing teams.

Produced relevant and useful due diligence related analytics to help drive decision making and achieve group objectives, including operational reports, monthly metrics and systems reconciliation reports.

Gathered, analyzed and interpreted MAPP third party transactional and process data.

GlaxoSmithKline (Contractor), Philadelphia, PA 2017 - 2019

Science-led global healthcare company

Compliance Analyst 5/2018 – 7/2019

As a member of the global Supplier Security, Risk and Assurance (“SSRA”) group within the GlaxoSmithKline (“GSK”) Technology - Information Protection organization, I focused on suppliers where the information protection risk could result in a severe impact on the GSK business.

Lead analyst in coordinating request submitted from the Third-Party Oversight (“TPO”) program and performing triage activity on them to determine whether they fit the criteria for a SSRA assessment for all global businesses and functional areas

Worked with company personnel to analyze and evaluate the RFx (“request for x”) process, supplier risk assessments (ISO 27001 framework), contract negotiations, and on-site assurance visits

Provided weekly TPO triage KPI’s/metrics to the global SSRA group

Auditor/Compliance Analyst 11/2017 – 4/2018

As a member of the Business Risk & Compliance group within the U.S. Finance organization, I focused on Sarbanes-Oxley Section 404 (“SOX”) controls testing to minimize risks for the Channel Operations and Contract Management functional areas.

Monitored service level agreements for U.S. Customers (including affiliate organizations), or U.S. Healthcare Organizations against regulatory requirements, and policies and procedures to measure compliance and mitigate risk

Monitored Channel Operations processes for compliance responsibilities, business risk and to validate that controls are operating effectively

Performed SOX and/or internal controls testing of key processes and risks

Prepared compliance reports, redesigned test plans/controls, updated control documents, analyzed data, assisted with designing SAP controls for implementation, and special projects as needed

Solenis, LLC, Wilmington, DE 2015 – 2017

Global manufacturer of specialty chemicals

Senior Auditor 8/2015 – 8/2017

As a member of the Internal Audit Department, I was responsible for leading and executing global internal audits to assess the risk associated with strategic objectives, growth plans and related risk.

Designed and directed Internal Audit breadth, performed procedures, developed recommendations, and reviewed them with required Management teams from across 35 global manufacturing facilities and corporate locations

Executed risk-based audits using the Committee of Sponsoring Organizations of the Treadway Commission (“COSO”) framework, risk assessment and control analysis

Collaborated with business Managers; exchanged ideas to better understand how to achieve business objectives while meeting audit goals

Assisted in the implementation of SOX compliance requirements

Managed and coached other internal audit staff, provided oversight for co-sourcing staff

Prepared periodic Audit Committee reports and supported the annual Internal Audit Plan development

Maintained an open-door policy to engage as a leader and champion of corporate governance and internal control concepts

Saint-Gobain, Valley Forge, PA 2008 – 2015

Premier global building materials manufacturer

SAP Business Analyst 12/2014 – 8/2015

As a member of the SAP Implementation team, I performed general controls testing, security and risk assessments.

Developed and executed SAP system test scripts for internal controls testing

Scope included the following SAP modules: Finance and Controlling, Order-to-Cash, Procure-to-Pay, Forecast-to-Plan and Preventative Maintenance

Validated SAP system configuration, completed test transactions to support controls were working as expected; ensured that reports displaying information supporting controls were processing correctly

Represented business process team and provided support for the post SAP implementation review

Evaluated modifications to security and access controls design to ensure continued internal controls compliance

Senior Internal Auditor and Business Control Specialist 12/2008 – 12/2014

As a member of the Internal Audit Department, I was responsible for the planning and performance of U.S. Internal Audit functions for Manufacturing, Distribution, Shared Services, and Corporate locations.

Managed, trained, and mentored staff auditors

Assessed performance of business units and functional areas against compliance with management instructions, policies, and procedures, for planning, accounting, custodial or control activities

Identified internal control deficiencies and recommended improvements

Drove preparations for annual external audit engagements, conducted opening and closing meetings

Prepared audit reports, communicated results to regional, business unit, and corporate management

Additional Experience

Siegfried Group, LLP, Philadelphia, PA 2004 – 2008

National CPA firm providing professional financial services consulting to Fortune rated companies during critical times of need.

Senior Manager 2006 – 2008

Manager 2004 – 2005

Responsibilities included, but were not limited to, accounting assistance, financial reporting and analysis, budgeting and forecasting, legacy system support, internal auditing, acquisition or divestiture support, and special project implementation.

Rohm and Haas Company, Philadelphia, PA 1995 – 2004

Global manufacturer of specialty chemicals

North America Region Accountant 2000 – 2004

Asia-Pacific Region Assistant Financial Analyst 1996 – 2000

Accounts Payable Coordinator 1995 – 1996

Areas of Expertise & Technical Skills

Internal Controls Testing

Risk Management

Client Relationships

Strategic Planning

Budget and Forecast

Process Re-engineering

Audit Procedures

Regulatory Compliance

Education

Bachelor of Business Administration, Accounting

Temple University, Philadelphia, PA

Professional Affiliations

The Most Worshipful Prince Hall Grand Lodge of Free and Accepted Masons of Pennsylvania

Technology

Excel, Word, PowerPoint, Access, Visio, Lotus Notes, J.D. Edwards, SAP, Essbase, Hyperion, QlikView, Ariba,

MS SharePoint, Buying on Demand platform

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