Financial Risk Mitigation, SOX, Auditor, Process Improvement

Candy Dykes Resume Page * of *

808-***-**** Omaha, NE ***.**@*******.*** https://www.linkedin.com/in/candydykes Candy Dykes

FINANCIAL RISK MITIGATION

SOX & AUDIT, INTERNAL & EXTERNAL

CONTINUOUS IMPROVEMENT MANAGEMENT

Professional Summary

Experienced professional with a robust background in Governance, Risk Management, & Compliance across diverse sectors, including International & Domestic Financial Institutions, Manufacturing, Pharmaceuticals, Retail, & Non-Profits. My expertise encompasses:

• SOX Certification: Involved in both pre- & post-IPO SOX certification.

• Internal Controls: Proficient in designing & evaluating internal control frameworks.

• Audit & Compliance: Skilled in audit execution, risk assessments, & compliance management.

• Project Management: Successfully led projects related to SOX 404 certification, process improvement & change management.

• COSO Framework: Familiar with COSO principles for effective risk management.

• Software Proficiency: Expert in Microsoft products; adept in most ERP systems Innovative Problem Solver Results-Driven Collaborative Leader As an innovative thinker, I thrive at the intersection of creativity & precision. My passion lies in uncovering better ways to achieve results, whether it’s streamlining processes, enhancing accuracy, or driving cost reductions. Here’s how I contribute:

• Strategic Vision: Balancing the big picture with meticulous attention to detail, I envision solutions that transcend the ordinary. My analytical talent allows me to dissect complex challenges & identify opportunities for improvement.

• Emotional Intelligence: I understand& that innovation isn’t just about technology; it’s about people. By empathizing with colleagues & stakeholders, I create an environment where ideas flourish & collaboration thrives.

• Quantifiable Impact: My track record includes a successful IPO via SOX Certification by leading the risk mitigation efforts that paved the way for a company to go public, ensuring compliance with SOX requirements, instilling investor confidence, along with groundbreaking solutions & cost savings through managing cross-functional teams, driving innovation & process enhancements.

• Employee-Centric Approach: I believe that employee impact drives organizational success. Faster, more accurate results stem from engaged teams, & I champion initiatives that empower individuals to excel. Let’s collaborate for long-term success. Reach out to discuss how my innovative mindset can enhance net income & transform your organization. Open to relocating for the right position. Professional Experience

Independent Consultant/Contractor

Various Companies – 2023 - Present

Various Companies - 2014 to 2018

• Internal Audit Projects:

o Led internal audit initiatives, ensuring compliance with industry standards & identifying process enhancements. o Collaborated with cross-functional teams to assess risk & improve operational efficiency.

• Financial Risk Management Projects:

o Analyzed financial data, identified risk factors, & recommended mitigation strategies. o Assisted organizations in optimizing financial processes & minimizing exposure.

• Change Management Projects:

o Facilitated organizational change by developing & implementing effective strategies. o Guided teams through transitions, ensuring smooth adoption of new processes. Candy Dykes Resume Page 2 of 4

• Internal Control/SOX Projects:

o Evaluated internal control frameworks, addressing gaps & enhancing compliance. o Supported SOX certification efforts, both pre- & post-IPO.

• Process Improvement Recommendations:

o Identified areas for process enhancement & provided actionable recommendations. o Streamlined workflows, resulting in increased efficiency & cost savings.

• Project Management:

o Successfully managed multiple projects concurrently, meeting deadlines & objectives. o Coordinated resources, tracked progress, & communicated project status.

• Federal & State Compliance Projects:

o Ensured adherence to regulatory requirements, minimizing legal risks. o Collaborated with legal teams to address compliance challenges. Senior Internal Auditor

Oriental Trading Company - Omaha, NE (2018-2023)

• Consistently Improved Efficiency:

o Spearheaded process enhancements across critical areas through innovative ideas & creative problem-solving. o Developed & refined the Internal Audit methodology.

• Risk-Based Audit Universe:

o Maintained a comprehensive risk-based audit universe. o Ensured accurate & fair assessment of OTC’s control environment.

• Annual Audit Planning:

o Developed the annual audit plan, aligning it with organizational goals. o Collaborated with cross-functional teams to prioritize audit focus areas.

• Control Environment Accountability:

o Worked closely with Berkshire Hathaway internal audit to address control deficiencies. o Held accountability for remediation plans.

• Key Internal Controls Evaluation:

o Evaluated the operating effectiveness of critical internal controls. o Provided actionable recommendations for process improvement. SOX Internal Control Officer

GE Capital Retail Bank (2012 to 2014) for Synchrony Financial

• End-to-End SOX 404 Ownership:

o Responsible for the entire SOX 404 process, including:

Planning. Risk assessments, Documentation, Execution, Testing

• Internal Controls Management:

o Ensured appropriate internal controls were identified, documented, & regularly tested. o Developed & documented risk assessment methodology for:

General ledger accounts, Business units, Operational areas

• Executive Reporting & Remediation:

o Reported status, updates, findings, & recommendations to the Executive Committee. o Drove remediation efforts for deficiencies identified during SOX testing or via Internal Audit.

• Project Support & Compliance:

o Supported major process changes & new product launches to ensure compliance. o Collaborated with process owners to document policies, procedures, & controls. o Developed action plans for risk mitigation & validated their implementation.

• Influencing Change & Stakeholder Guidance:

o Utilized CAP (Change Acceleration Process) tools & personal network to influence business units. o Provided interpretation & guidance to process owners on key risks, controls, & policy changes.

• Control Testing & Data Analysis:

Candy Dykes Resume Page 3 of 4

o Developed regularly scheduled control testing to mitigate key risks. o Assisted management with reporting & data analysis related to internal control activities.

• Team Management:

o Managed internal staff, dotted-line reports, & offshore resources. Interim Controller

Heart for Africa (2010 to 2012)

• Financial Management for Non-Profit Charities:

o Managed financial aspects for three non-profit charities (one domestic & two international). o Ensured accurate financial tracking & allocation of funds.

• Bank Reconciliation & Financial Records:

o Conducted monthly reconciliation of seven bank accounts. o Recorded income (check & credit card donations) & expenses (wires, debit card charges, checks, & payroll) in QuickBooks.

o Allocated every dollar to specific projects & reconciled with bank statements.

• Accounts Payable (A/P):

o Validated & processed invoices/bills.

o Reviewed & reimbursed employee expenses.

• Accounts Receivable (A/R):

o Managed the daily operations of the post office box. o Recorded all donations (cash/checks) into Salesforce & PPFD. o Deposited received donations into the bank daily.

• Child Sponsorship Fund Management:

o Oversaw Child Sponsorship funds for five children’s homes. o Determined each child’s home’s donations & prepared financial reports. o Reviewed receipts to ensure proper spending on food, education, medical expenses, & clothing.

• Temporary Restricted Funds & Trip Participant Accounts: o Allocated temporary restricted funds appropriately. o Reviewed trip participant accounts & apportioned overages. Senior Internal Control Analyst

Oldcastle Architectural, Inc (2006 to 2009)

• SOX Certification & Global Control Management:

o Responsible for SOX certification for an internationally owned business with 77+ autonomous companies & over 240 locations.

o Established internal controls during the implementation of multiple ERP systems (Axapta, Lawson, Hyperion) & a Shared Services department.

• Annual Planning & Scoping:

o Performed annual planning & scoping for the SOX compliance process. o Analyzed risks & achieved control objectives to mitigate risks.

• Global Control Documentation & Coordination:

o Managed, updated, & administered global control documentation. o Assigned & communicated test plans, evaluating results. o Coordinated closely with cross-functional teams (Internal Audit, Finance, & IT) to ensure an efficient & synergistic approach to overall testing of internal controls.

• Deficiency Monitoring & Communication:

o Monitored & reported identified control design/operational deficiencies. o Provided ongoing communications on changes in SOX regulations & best practices.

• Comprehensive SOX Documentation:

o Created & maintained SOX documentation, including: Candy Dykes Resume Page 4 of 4

Business Overview Document, Entity Level Controls, Estimated Process Narratives, Flowcharts, Process Control Matrix, Risk Register, SOD Analysis, Scoping, Tier 3 Questionnaires, Year-end Confirmations

• Policy Development & Implementation:

o Created pertinent SOX policies & procedures.

o Updated the businesses’ financial policies & procedures manual for GAAP & IFRS compliance.

• Implementation Team Management & Self-Testing Plans: o Managed implementation teams throughout the footprint. o Developed self-testing plans for the field, scoring, & developed remediation plans related to deficiencies & weaknesses discovered.

• Audit Efficiency & Cost Reduction:

o Conducted audits on behalf of the external audit team, reducing SOX fees by $500,000 annually. Project Manager

Control Solutions International (2005 to 2006), Client: Performance Food Group (PFG)

• Operational Audits & Inventory Management:

o Conducted operational audits in multiple warehouses for 19 distribution companies, overseeing 66,000 products. o Analyzed physical inventory processes & implemented value-added practices. o Independently audited physical inventory processes, collaborating with CFOs, General Managers, & Dock H&s. o Reviewed, evaluated, & tested documentation, including narratives, walkthroughs, test control findings, & conclusion reports.

• Process Improvement & Efficiency Enhancement:

o Compared processes & procedures across locations, identifying inconsistencies & best practices. o Provided operational efficiency improvements & implemented enhanced processes & procedures.

• IT SOX Testing:

o Performed IT SOX testing, ensuring compliance with Sarbanes-Oxley requirements. o Tested data change management processes.

International Banker

SunTrust Bank (1997-1999 & 2001-2005) Requested to return by VP of International Banking First Union National Bank (1999-2001)

• Letters of Credit Management:

o Handled standby, advised, & confirmed letters of credit. o Facilitated smooth transactions for clients.

• Industrial Revenue Bonds:

o Managed industrial revenue bond processes, billing, distribution, wire payments, check distributions. o Assisted clients in securing financing for projects.

• Risk Participation & Syndication:

o Management of participated & risk deals, including contract review, language, billings, distributions. o Collaborated with other financial institutions to share risk exposure.

• Audit Projects & Compliance:

o Engaged in audit projects to ensure regulatory compliance. o Reviewed & evaluated financial processes & documentation. Education

Bachelor of Science (B.S.) in Business Administration Almeda College & University

Clayton State University

Certifications & Licenses

Change Acceleration Professional (CAP) – Present

Certified Internal Auditor (CIA) - In progress

Certified Internal Control Auditor (CICA) - In progress

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