Sox Compliance Risk Management

SUSAN KELLUM CPA, CIA

SOX COMPLIANCE PROFESSIONAL

PROFESSIONAL SUMMARY

Results-driven Senior Auditor with over 20 years of experience specializing in internal auditing, SOX compliance, risk management, and financial analysis. Recognized for leading audit teams to deliver high-quality projects within deadlines and budgets. Demonstrates exceptional analytical and problem-solving skills with a commitment to enhancing business processes and ensuring regulatory compliance.

GAP IN EMPLOYMENT

Personal leave was taken from professional commitments from September 2022 to May 2024 to address significant personal and family matters, including relocating back from Ohio, where relocation had occurred for a previous position, as well as March 2019 to December 2020 while managing a family tragedy. This period was essential for addressing personal responsibilities and ensuring a stable environment, positioning for a focused and dedicated return to the workforce, fully prepared to engage in new professional challenges. PROFESSIONAL EXPERIENCE

SENIOR MANAGER (POD Lead II - Competency Audit & Financial Services) Protiviti – Global Consulting Jun 2021 - Aug 2022

• Spearheaded a dynamic team within Technology Risk and Compliance Services, focusing on strategic audit initiatives and compliance enhancements across the organization.

• Orchestrated client meetings to ensure robust stakeholder engagement and alignment with business objectives, leading to enhanced service delivery and client satisfaction.

• Ensured the accuracy and compliance of deliverables with industry best practices and standards, significantly reducing risk and improving operational efficiencies.

• Fostered strong collaborations with site leaders to drive essential data analysis initiatives, resulting in improved decision-making processes.

• Managed a suite of administrative duties, including performance evaluations and budget oversight, optimizing team productivity and resource allocation. SENIOR BUSINESS RISK AND COMPLIANCE ANALYST (Contractor) USAA Consumer Lending Jan 2021 - Jun 2021

• Conducted in-depth testing of Consumer Lending and Credit Card products, applying rigorous Test of Design and Effectiveness (TODE) methodologies to evaluate control robustness.

• Enhanced communication channels with control owners, facilitating timely and effective implementation of audit recommendations and risk mitigation strategies.

• Played a key role in fortifying USAA’s risk management framework, contributing to the development and refinement of audit processes and protocols. SOX COMPLIANCE AUDITOR (Contractor)

Option Care Health (previously Bio Scrip) Oct 2017 - Feb 2019

• Led comprehensive control testing across critical business processes including ELC, ME Close, and Vendor Setup, significantly improving financial and operational controls.

• Identified and addressed control weaknesses, providing strategic recommendations for remediation that were instrumental in enhancing the overall governance framework.

• Collaborated effectively with stakeholders to drive the implementation of remediation plans, ensuring compliance with regulatory requirements and internal standards. SUSAN KELLUM CPA, CIA

SOX COMPLIANCE PROFESSIONAL

SENIOR SOX COMPLIANCE AUDITOR (Contractor)

Kaiser Permanente Oct 2016 - May 2017

• Planned and executed SOX, HIPAA, MMP, CMS, and IT audits, applying advanced audit techniques and methodologies to assess risks and validate control mechanisms.

• Led audit engagement walkthroughs, ensuring thorough documentation and compliance with statutory requirements.

• Collaborated with healthcare and billing departments to optimize Medicare and Medicaid billing processes, achieving significant improvements in compliance and operational efficiency.

DIRECTOR OF INTERNAL AUDIT (10 Year FTE)

Simpson Housing LLLP – Real Estate Dev Const & Mngt Sep 2006 - Apr 2016

• Established and led the internal audit department, developing a robust risk-based audit framework from the ground up to oversee all phases of real estate development.

• Conducted detailed contract and regulatory compliance audits, mentoring staff to ensure efficient deadline management and fostering a culture of continuous improvement.

• Implemented innovative corporate surveys to gather actionable insights, driving strategic improvements and enhancing value across the organization. SENIOR AUDIT MANAGER (5 Year FTE)

EchoStar Communications Corp - Satellite Television Services Nov 2001 - Aug 2006

• Pioneered the SOX compliance program, designing and implementing a comprehensive audit framework that became a benchmark for industry practices.

• Developed and executed advanced SOX audit methodologies, leading to enhanced internal controls and compliance across the organization. EDUCATION

Bachelor of Science in Accounting & Finance: University of Arizona MBA in Entrepreneurial Studies & Accounting: University of Phoenix SKILLS

SOX Compliance Expertise, Accounting Proficiency, Risk Management, Audit Methodology, Policy Development, Regulatory Knowledge, Process Improvement, Financial Analysis, Communication Skills, Attention to Detail, Professional Development, Relationship Building, Innovation, Collaboration. Staff Leadership and Mentoring. TECHNICAL SKILLS

Audit Board, Salesforce, Workiva (wDesk), MSO365 (Excel, Word, Teams, PowerPoint, Outlook), Oracle/Sage, Blackline, Workday, Oracle Financials, AS400, Yardi, Rent Roll. CERTIFICATIONS

CPA, CIA, CRMA

FAVORITE PROFESSIONAL QUOTE

CONTACT INFORMATION

MOBILE: 303-***-****

EMAIL: ************@*****.***

SOCIAL: www.linkedin.com/in/auditguru123

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