Audit,SOX, Control,Risk

SUMMARY

Accomplished Senior Leader with diversified skill set in Sarbanes Oxley 302 & 404 (IT (ITCG), Operational, Compliance, and Financial), Internal Audit (IT, Operational, and Financial), Outsourced Internal Audit, Project Management, Process Improvement, Enterprise and Operational Risk, Assurance, Consulting, Advisory, and Internal Control (IT, Operational, and Financial) expertise within Big 4, Fortune 500, midsized and startups, financial services, banking (credit card and mortgage), energy(oil), fintech (payment services), and manufacturing industries (food and electronics).

Specific expertise in team management (3-30), building internal control, operational risk, internal audit, and SOX functions. Additionally, creating audit programs, policies, and procedures, preparing board presentations and reports for Audit and Risk committees, developing findings and recommendations, and communicating them to the clients (Executive and Senior Management) to develop action plans as well as tracking remediation efforts and completion. Proven track record mentoring and training small to large teams, identifying, and assessing risk and controls, and reviewing complex business processes for improvements and harmonization efforts.

KEY COMPETENCIES

Financial statement auditing in accordance with United States General Accepted Accounting Principles (GAAP), International Financial Reporting Standards (IFRS), Internal control testing and rationalizing in accordance with Sarbanes-Oxley (SOX) 302 &404; Updated COSO and COBIT frameworks; Integrated ERM (Enterprise Risk) framework; Operational Risk (ORM) management; Basel framework; General Accepted Audit Principles (GAAS); SOC Type I and II; and Pre IPO SOX-Readiness.

WORK HISTORY

Plastiq (Funding not secured to go public-Laid Off)

Head of Audit

Fintech (Payment Services-Credit Card)

2021-2022

Established an internal audit function (developed audit charter and standard operating procedures)

Developed reporting and presented to the Audit Committee

Responsible for managing co-source third party activity and relationships

Accountable for providing independent opinion on the effectiveness of the risk and control framework across the entire company

Reviewed and recommended policy and procedural process improvements (created a universal policy template)

Identified 5 million savings on payment reconciliation process

Consulting Firms

Financial Services

Clients: Big 4 and Fortune 500 Pharma

Created reporting templates for BOD and Audit committee quarterly meetings

Worked with various clients going public (Pre IPO SOX 302/404) to update policies, procedures, conduct key control testing, document, and map key controls, identify, and remediate deficiencies

Responsible for the creation of ERM & US Compliance internal control testing programs, risk assessments, process mapping and documentation, tracking and reporting on deficiencies (200 key controls)

Worked with external auditors to address significant deficiencies (Financial and IT)

Oversaw SOX and internal control testing (ITCG) (created templates and testing criteria)

Methode Electronics (Laid Off)

Senior Manager of Internal Control, Risk, and Accounting Policy

2018-2020

•Building an internal control and second line of defense function (SOX/Compliance/Control/Risk function)

•Responsible for developing integrated Internal Control audit programs and reporting on deficiencies to the Audit and Governance (Risk/SOX) committees, and Senior Management

•Serving as an internal control, risk, and SOX liaison to both Internal and External Auditors and global management

•Globally responsible for identifying risks (including emerging), mitigating risks, and working on remediation plans with management from a consultative perspective to resolve deficiencies as well recommending solutions (track issues as well as resolutions)

•Standardized and streamlined processes (IT/Financial/Operational), automated manual processes, implemented controls for new systems (pre and post implementation)

•Performed and reviewed internal control testing and workpapers, performed risk assessments, planned internal control reviews, IT system implementation audits, worked with External audit to ensure risks are properly addressed and tested (IT, Financial, and Operational)

•Oversaw a team responsible for developing and implementing compliance programs in the second line of defense as well as RCSA assessments

•Reduced annual Audit fees by $3 m (conducted key testing for SOX controls previously done by external audit)

•Reduced key controls from 700 to 300 in 6 months

Senior Manager of Internal Control (Permanent Role-Navigant Consulting)

Audit-SOX-Risk-Internal Control Executive Consultant (Temporary-Consulting Roles)

Jefferson Wells/DLC/Robert Half Management Resources (Consulting Companies) Clients: Chicago Public School/BMO Harris/Northern Trust/Treehouse Foods/ Walgreens

2015-2018

•Responsible for quarterly and annual integrated risk assessments, budgeting, walkthroughs, substantive testing, working with external and internal audit to ensure risks are properly addressed and tested (IT, Financial, Compliance, and Operational), prepared audit reports, and presentations for SOX, Audit, and Board Committees

•Responsible for the ongoing identification of emerging risks facing the organization through a comprehensive internal control assessment and through interaction with business leadership at all levels of the organization

•SME responsible for reviewing all process documentation for internal control and SOX (IT, Financial, and operational) as well as ensuring key controls are adequately captured via process mapping and testing of key financial controls

•Built audit programs, policies and procedures, charter, and audit mission statement for newly created audit function (Managed a team of 25)

•SME working with various business units to create, re-engineer, and streamline processes specific to risks and controls as well as remediation of deficiencies with management

•Performed internal control audits as well as reporting to Senior Management and Audit Committee on control deficiencies as well as tracking deficiencies and resolutions

TD Ameritrade (Role relocated to Omaha)

Senior Manager of Internal Control/SOX/Operational Risk 2014-2015

•Built an operational risk and internal control function for a 2-billion-dollar trading business

•Built a SOX, risk, and internal control training program for C level executives as well as Managers on a quarterly basis (webinars and classrooms up to 200 participants)

•Built a relationship with internal and external audit on all SOX, internal control, and risk topics with a specific emphasis on lean principles and material financial SOX exposures

•Performed internal control and integrated audit reviews for trading platforms and systems to streamline and improve the quality of the internal control environment (root cause analysis, problem solving, and lean principles)

•SME on risk assessment (responsible for developing risk control self-assessment (RCSA) and testing programs)

PNC

AVP Operational Audit (Role relocated to Pittsburgh) 2012-2014

•Direct Mortgage, financial, process improvement, SOX, and operational audits focused on foreclosure, bankruptcy, collections, and loan modifications (Consumer Lending)

•Responsible for a team of 10 (administrative responsibilities)

•Performed inherent and residual risk assessments, scoping, planning, scheduling, and execution of the audit plan with the Chief Audit Executive

Executive Audit-SOX-Internal Control-Risk Consultant (Temporary)

(Consulting Roles-Bank of America, Baxter Healthcare, Redbox) 2009-2012

Trained and educated Audit Committee, Board, and C-Level Executives on SOX 302/404, SOC, and internal control matters

Directed a team of 20 virtual risk professionals

Responsible for root cause analysis and risk self-assessment processes for business (Lean Principles)

Led a team of 25 auditors

British Petroleum (BP) (Role relocated to Texas)

SOX/Internal Control/Audit Coordination 2005-2008

Implemented SOX framework as well as policies and procedures for a 2-billion-dollar business unit with 100 Accounting and Finance departments

Reviewed, simplified, tested, recommended, and documented SOX 404 requirements for 100 Accounting and Finance departments within a 30-day period for a two-billion-dollar business unit

Streamlined SOX documentation by eliminating 90% of unnecessary process information

Reduced external audit fees by 1M simplifying SOX documentation and testing

Led a team of 15

Altria (Parent of Philip Morris) (Role relocated to Virginia)

Lead Senior Auditor (Supervisor) 2003—2005

Identified a $5M dollar sales tax exposure with 500 non-exempt customers during an audit of the order entry process

Identified and recommended a $1M inventory write-off that had not been previously disclosed

Managed 5 auditors. Established training programs for Audit and drafted relevant performance appraisals

Illinois Tool Works (ITW)

Supervising Lead Senior Auditor 1999-2003

Managed 30 auditors internationally

Streamlined several processes at various manufacturing facilities using the 80/20 principal and visual inventory replenishment methods (Kan Ban)

Responsible for the supervision and management of audits, which includes preparation of audit strategy, setting budgets, scheduling audits, selecting staff, assigning workloads, and financial reporting

Household International 1997-1999

Experienced Lead Auditor (Bank acquired)

Solely responsible for planning, conducting, finalizing, and reporting on operational, IT, compliance, and financial audits for $500 million business segments

Served as sole audit liaison to senior management and Audit Committee on audit risks

KPMG, LLP 1996-1997

Staff Auditor Financial Services & Banking

Performed operational, compliance, and financial statement audits

Analyzed and resolved major fluctuations on balance sheets and income statements

EDUCATION

•Wilberforce University – Wilberforce, Ohio

•Bachelor of Science, Accounting

•GPA: 3.2/4.0

SYSTEMS AND SOFTWARE

•SAP, MS Office (Power Point, Excel, Word), ACL, Access, Visio, People Soft, Teammate, Lotus Notes, Business Objects, Hyperion Enterprise, Oracle, Workiva, OneStream, Open Pages, Teams, Workday, WDesk, and Share point.

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