James Incaprera

Slidell, LA (C) 504-***-**** adquee@r.postjobfree.com

Internal – External Audit Manager / Quality Control Manager / Fraud-Investigations-Loss Prevention Manager

Objective is to secure a position that utilizes my skills and background to review compliance within the organization through a systematic and risk-related detailed approach, using 23 years experience in internal audit, quality control, operations and loss prevention management, as well as corporate fraud investigation in theft embezzlement cases.

Core Competencies

Planning /Execution Management

Leadership Development

Change Mgt/Communication

P&L / Expense Control

Sarbanes Oxley 404 (SOX) Liason

Presentation Reviews

Organizational Skills

Control Environment

Business Process Optimization

Highlights:

Successful manager with the ability for visualizing the big picture, setting priorities, reviewing results and performance, planning, training & developing staff.

Accomplished professional with experience & responsibility in Internal Audit, Quality Control, Operations & Loss Prevention management with a consistent record of reducing costs & increasing efficiency.

Excellent communication skills needed to bring together a broad spectrum of individuals as a team.

Established a proven track record for fostering teamwork between departments.

Recognized for exhibiting strong work ethic, high level of integrity & personal commitment.

Added Value:

CRMA (Certified Risk Management Assurance)–Issued by the Institute of Internal Auditors (IIA) 2013.

CPP (Certified Protection Professional)-Issued by ASIS International 1998.

CFSSP (Certified Financial Security Services Professional)-issued by ABA (American Bankers Association) 1993.

Crescent Bank and Trust (New Orleans, La) 2008-2015

Internal Audit and Quality Control Manager

Responsible for creating & implementing the annual risk assessment program for the Bank for Internal Audit & Quality Control functions and manage internal investigations.

Upgraded the quality/overall effectiveness of the staff hired for both internal audit & quality control departments by hiring experienced, qualified & technically superior staff.

Responsible for running the Audit Committee meetings and presenting the audit findings to senior management & ultimately to the Bank’s Internal Audit Committee & Board.

Focused audit reviews/report items on not only areas of operations & compliance but also on potential operational efficiencies & cost savings.

Created & presented a variety of in-house training/company-wide programs to employees.

Iberia Bank (Lafayette, La) 2005-2008

Vice President of Internal Audit

Responsible for developing and managing a bank-wide audit program; reviewing compliance, evaluating operations, recommending internal controls and risk assessment processes.

Monitored the effectiveness of internal controls & the degree of compliance with policies, laws & regulations while reviewing for operational efficiencies & making recommendations affecting cost reduction & earnings improvement.

Responsible for reporting all findings to senior management, as well as to the Audit Committee via in-person presentations regarding the findings contained in the audit reports.

Assisted external audit team with Sarbanes Oxley 404 (SOX) testwork to assure that departmental and enterprise controls were established. When necessary, assisted in remediation process to determine that deficiencies were corrected and controls were operating effectively.

Ensured all internal audit work performed adhered to require generally accepted auditing standards.

Prepared & responsible for the department’s annual budget; including variance explanations.

Earlier Progression Position

Internal Audit Manager

Stewart Enterprises, Inc. (Harahan, La) 2001-2005

Vice President of Corporate Investigations

Established the corporate investigations function to address domestic and foreign fraud and embezzlement.

Hired to create the Corporate Investigations function. Created and developed staff of investigators.

Established an effective daily working relationship with multiple CEOs, CFOs & Human Resources team leaders.

Presented findings to senior executive committee meetings on a consistent basis; items relating to risk analysis & proactive responses to losses.

Enforced the company’s fraud & defalcation policy. This included several processes researching, interviewing, investigating, obtaining statements &, if necessary, participating in the civil and/or criminal legal filing process & prosecution/restitution.

Earlier Progression Position

Director of Corporate Investigations

Bank One Corporation (New Orleans, La) 1998-2001

Vice President of Investigations

Oversee the investigations function for the state of Louisiana.

Managed investigators who worked internal/external financial crime-related cases and fraud recovery programs.

Ensured compliance with corporate policies, procedures & regulatory requirements, reviewed the accuracy of financial crime reports & safeguarded corporate & client assets.

Accomplished all responsibilities by effective planning of investigations & loss avoidance procedures, supervising work in process, thorough review of staff’s work & effectively communicate results to senior management.

Earlier Progression Position

Investigations Manager

First Commerce Corporation (New Orleans, La) 1990-1998

Vice President of Corporate Security

Developed & maintained a comprehensive security program designed to identify & respond to areas of risk & to protect the bank employees, assets, clients & client information.

Reviewed, recommended & implemented all policies & procedures regarding the internal/external integrity of the Bank’s systems and effectiveness of internal controls.

Tracked & proactively responded to crimes against bank customers. Investigated details regarding fraud cases of significant internal theft/external crimes for over 250 locations.

Earlier Progression Positions

Director of Corporate Security

Assistance Manager to Corporate Security

Landmark Land Company Inc. (New Orleans, La) 1986-1990

Senior Financial Auditor

Managed a team of auditors that performed financial and operational audit reviews of internal departments.

Developed internal controls & audit programs for numerous financial & operational audits for over 30 subsidiaries.

Supervised multiple audits simultaneously/audit team’s averaged three members per review.

Drafted, documented & discussed audit recommendations with senior management.

Prepared departmental annual budgets (both monetary & hour utilization) that required approval by both senior management & board.

Touché Ross & Company CPA’s (New Orleans, LA) 1982-1986

Senior Auditor

Provided external audit services and financial statement reviews.

Performed financial audits of clients. Clients included: banks, credit unions, savings & loans, manufacturers, retailers, insurance agencies, hospitals, governmental-nonprofit agencies, shipbuilders & transportation firms.

Reviewed procurement card transactions for compliance.

Reviewed controls of IT and operations departments including policy and procedures.

Education

Bachelor of Science, Accounting / University of New Orleans

MBA / University of New Orleans

Louisiana Bankers Leadership School

Professional Certifications

CRMA (Certified Risk Management Assurance)–Issued by the Institute of Internal Auditors (IIA) 2013.

CPP (Certified Protection Professional)-Issued by ASIS International 1998.

CFSSP (Certified Financial Security Services Professional)-issued by ABA (American Bankers Association) 1993

Computer Skills

Windows, Microsoft Power Point, Microsoft Word, Microsoft Excel, Microsoft Visio, Microsoft Project

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