MARK S. BAUER CPA

GLOBAL INTERNAL AUDIT, ETHICS AND RISK MANAGEMENT LEADER

Westport, CT 06880 203-***-**** adxrxj@r.postjobfree.com

Professional Summary

A highly versatile and results oriented business professional with significant subject matter expertise in internal audit, investigations and enterprise risk management. Proven professional management capabilities necessary to drive effective and efficient global company-wide risk and compliance assurance programs in line with corporate policies, standards, and designed framework. Professional background includes internal audit, investigations and risk management positions at Big 4 and Fortune 100 companies, including performing extended expatriate assignments at key growth market and business process delivery centers in Asia, Europe, and Latin America.

Managed diverse global teams conducting financial and operational audits, forensic investigations and enterprise risk evaluation activities. Developed and led company-wide implementation of Sarbanes-Oxley provisions, as well as in-depth corporate governance and compliance programs related to sales & distribution and associated infrastructure processes. Architected and mapped business process design and implementation, along with documenting process flows and risk alignment of key controls and metrics for compliance testing and remediation requirements.

Skills

Global Internal Auditing and ERM Risk Mgt

Accounting, Finance, Treasury and Taxation

HR and Payroll Process Mgt

BPO Global Delivery Center Operational Excellence

Conduct Risk & Forensic Investigations

Financial Services & Regulatory Compliance

Third Party Vendor Mgt

Sales & Distribution and Infrastructure Process Mgt

Financial and Operational Risk and Controls

Leadership and Coaching

Work History

Director of Internal Controls 7/2022 to 1/2023

Cooper Surgical Inc.

Responsible for managing enterprise-wide risk & compliance scope matters

Provide in depth risk management subject matter expertise supporting global process owners and staff

Perform conduct risk evaluation and scope reviews of existing enterprise related processes and platforms

Drive company-wide SOX program design and risk-based process and controls documentation and compliance

Associate Director – Risk & Audit Compliance 11/2019 to 6/2022

NTT Data Services

Lead risk-based risk reviews to evaluate and design, program integrity, as well as regulatory compliance

Provide in-depth audit and risk management subject matter expertise to both clients and internal staff

Conduct internal investigations pertaining to financial and operational program matters

Provide audit and risk management consulting support for ongoing engagements and sales development projects

Develop and manage Crisis Management and Business Continuity assessment activities

Provide Third Party Vendor Risk Management reviews and guidance

Manage enterprise-wide risk & compliance scope matters

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Director of Internal Audit, Investigations & Risk Management 1/2016 to 10/2019

Conduent Inc. (spin-off) / and Xerox

Responsible for directing corporate internal audit and company-wide investigations program

Manage speak up investigations pertaining to corporate policies and process deviations

Maintain key business relationships with company leaders necessary to drive effective program governance

Recruit and train audit staff necessary to execute audit plans, risk management and corporate ethics cases

Supported various enterprise risk management initiatives

SVP Internal Audit & Fraud Risk Management, 10/2013 to 1/2016

GE Capital

Manage internal audit engagements and forensic investigation cases pertaining to financial reporting and process execution integrity, regulatory compliance, and program effectiveness

Responsible for developing and aligning company-wide COSO 2013 Fraud Risk Management requirements

Develop and implement key conduct risk mitigation strategies and reporting metrics

Global Audit, Ethics & Business Controls Senior Manager, 11/1992 to 9/2013

IBM Corporation

Lead global audits, investigations and business control activities while on multiple and extensive expatriate assignments in Brazil, Russia, India, China, Japan, Philippines and Costa Rica

Perform corporate audit and risk management duties at multiple growth market locations, providing extensive subject matter expertise across key financial and operational business sectors, including HR, Finance, Treasury, and BPO delivery centers in order to develop sound cross border global programs and processes

Perform international transaction tax planning and annual dividend repatriation activities at CHQ for 5 years prior to transferring to an assignment in Internal Audit and Risk Management

Tax Manager, 1992 and prior

KPMG LLP

Responsible for managing corporate and individual client tax matters

Review & validation of client financial statements, related business transactions and reporting compliance

Provided tax planning advice and consulting as well as review and preparation of tax return

Supported external audit engagement reviews

Education

Pace University - Master of Science: Taxation

City University of NY – Queens College - Bachelor of Business Administration: Accounting

Certifications

Certified Public Accountant: Licensed in State of New York

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