Hands-On ICFR Specialist

Wayne R. Masters, CPA

www.linkedincom/in/waynermasters 412-***-**** *************@*******.***

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HANDS-ON ICFR SPECIALIST

• BIG 4 – ALUMNUS OF EY, KPMG, PWC. SIGNIFICANT BEST-IN-CLASS LESSONS LEARNED WITH MARKET LEADERS.

• COSO FRAMEWORK – ENSURE KEY CONTROLS IMPLEMENTED ARE ALIGNED WITH COSO – ICFR BEST PRACTICES.

• DAY 1 – GETS RIGHT INFORMATION, MAKES RIGHT JUDGMENT, TAKES RIGHT ACTION, EVERYTIME – EVERYWHERE.

• ENTERPRISE RISK MANAGEMENT – COLLABORATE WITH TEAMS TO ENSURE SEAMLESS RISK APPETITE ALIGNMENT.

• INTERNAL AUDIT – HELP CONTROL OWNERS TO IDENTIFY ROOT CAUSES, MITIGATE RISKS AND VALUE FOR MONEY.

• INTERNAL CONTROLS OVER FINANCIAL REPORTING – IMPLEMENT CONTROLS & ENSURE PROCESSES ARE IN PLACE.

• PEOPLE-TEAMS – DEEP RELATIONSHIPS WITH KEY STAKEHOLDERS TO ENABLE SCALABLE-SUSTAINABLE SOLUTIONS.

• SPECIAL PROJECTS – HELPING 1ST, 2ND, 3RD LINE OF DEFENSE HIGH-IMPACT TEAMS IN ET, CT, MT AND PT ZONES. Expertise Knowledge Technology Values

ERM – Enterprise Risk Management Bio-Tech Archer ICFR Best–in–Class ICFR – Consultant & Specialist Financial Services A-SCEND Scaleable-Sustainable Internal Audit – Special Projects Healthcare AuditBoard Servant Leadership RCSA – Risk Control Self-Assessments Manufacturing Oracle – SAP Spirit of Excellence SOX – ITGC, SOC, Tester, Walkthroughs Technology Workiva Value for Money HANDS-ON ICFR SPECIALIST – HYBRID, ONSITE, REMOTE CONSULTANT ROLES: GENENTECH – ROCHE GROUP SILICON VALLEY, CA ICFR – AUDIT CONSULTANT 2025

• 1ST, 2ND, 3RD LOD – DESIGN AND EVIDENCE ICFR CONTROLS MANDATED BY ROCHE GROUP FINANCIAL COMPLIANCE.

• 1ST, 2ND, 3RD LOD – COLLABORATE WITH THE HEAD OF ICFR FINANCIAL COMPLIANCE TO ENSURE TO ICFR PROCESSES.

• 1ST, 2ND, 3RD LOD – RISK APPETITE MANAGEMENT, IDENTIFY CONTROL RISKS & PROPOSE ACTIONABLE REMEDIATION. ZONE & CO BOSTON, MA ICFR – SOC AUDIT MANAGER 2024

• 1ST, 2ND LOD – ENSURE SOC 1-SOC 2 CONTROLS ARE IN PLACE TO PROTECT DATA IMPACTING FINANCIAL REPORTING.

• 1ST, 2ND LOD – LEAD A-LIGN SOC AUDIT IMPROVE SECURITY FOCUS ON CONFIDENTIAL DATA, INTEGRITY, AVAILABILITY. WELLS FARGO BANK IRVING, TX ICFR – LEAD INDEPENDENT TESTING OFFICER 2023

• 1ST, 2ND LOD – HELPED CORPORATE RISK TRANSFORMATION HIGH-IMPACT TEAMS REMEDIATE OCC CONSENT ORDER.

• 1ST, 2ND LOD – INDIVIDUAL CONTRIBUTOR, LEAD, VALIDATE COMPLEX ICFR REMEDIATION IN MATRIX ENVIRONMENT. CPI CARD GROUP LITTLETON, CO ICFR – SOX PROGRAM TESTER 2022 – 2023

• 1ST, 2ND LOD – COORDINATE AND PERFORM SOX YEAR 1 INTERNAL CONTROLS YEAR-END TESTING AND REMEDIATION. J.P. MORGAN CHASE NEW YORK CITY, NY ICFR – Q. A. AUDIT CONSULTANT 2022

• 3RD LOD – LEAD ICFR QUALITY ASSURANCE REVIEWS OF QUARTERLY REPORTING TO THE JPMC AUDIT COMMITTEE. Tandem Diabetes Care San Diego, CA Senior SOX Compliance Analyst 2021 – 2022

• 1st, 2nd LOD – Lead ERM – ICFR – ITGC – SOC – SOX, Reporting Results To The Executive Mgt. Team.

• 1st, 2nd LOD – Delivered Excellence with Tight Frames, Ever-Increasing Expectations from EY Auditors.

• 1st, 2nd LOD – Helped Improve Internal Controls; ICFR – ITGC – RCSA – SOC – SOX Process Owners. NAVY FEDERAL CREDIT UNION VIENNA, VA ICFR – SOX Program Specialist 2021

• 2ND LOD – LEAD IMPLEMENTATION OF 1ST SARBANES-OXLEY PROGRAM FOR THE WORLD’S LARGEST CREDIT UNION. MUFG UNION BANK TEMPE, AZ ICFR – SOX PROGRAM TESTER 2020 – 2021

• 1ST, 2ND LOD – LEAD ICFR TEAMS YEAR-END KPMG SOX WALK-THROUGHS, TESTING WITH INTERNAL STAKEHOLDERS. HANDS-ON ICFR SPECIALIST – ONSITE EMPLOYEE ROLE:

BANK OF NEW YORK MELLON PITTSBURGH, PA VICE PRESIDENT, SENIOR CONTROL SPECIALIST 2017 – 2020

• 1ST, 2ND LOD – AWARDED BNYM WOW AWARD HELPED REMEDIATE $4.5B ASSET SERVICING 5 KPMG SOX S.D’S.

• 1ST, 2ND LOD – CURED-REMEDIATED 5 SIGNIFICANT CONTROL DEFICIENCIES ACROSS 13 IN-SCOPE REVENUE STREAMS.

• 1ST, 2ND LOD – DIRECTED RCSA RISK CONTROL SELF-ASSESSMENT EMEA, INDIA,AND U.S. FOR EFFICIENT CONTROLS. Wayne R. Masters, CPA

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Hands-On ICFR Specialist – OnSite Consultant Roles: HILLENBRAND BATESVILLE, IN 3RD LOD, INTERNAL AUDIT SPECIAL PROJECTS 2016 BANK OF NEW YORK MELLON PITTSBURGH, PA 2ND LOD, ICFR – SOX PROGRAM TESTER 2015 MODEL N REDWOOD CITY, CA 2ND LOD, SOX YEAR 1 PROGRAM SPECIALIST 2014 SHIRE PHARMACEUTICALS SAN DIEGO, CA 1ST LOD, INTERIM CONTROLLER 2013 PACIFIC GAS & ELECTRIC SAN FRANCISCO, CA 2ND LOD, SOX CONTROLS TESTER 2012 ASTREYA SAN JOSE, CA 3RD LOD, BILLING-EXPENSE SPECIAL PROJECT 2011 MAXWELL TECHNOLOGIES SAN DIEGO, CA 3RD LOD, SOX INVENTORY SPECIAL PROJECT 2010 ESILICON SUNNYVALE, CA 1ST LOD, 1ST CORPORATE CONTROLLER 2009 Hands-On ICFR Employee – OnSite Employee Roles:

TIVO – FKA, ROVI, MACROVISION SANTA CLARA, CA 1ST DIRECTOR, SOX COMPLIANCE 2005 – 2008

• RIGHTSIZED KEY CONTROLS FROM 1,027 TO 229 ENABLING 10K TO BE FILED 61 DAYS EARLIER THAN PRIOR YEAR. PWC SAN JOSE, CA DIRECTOR, SOX COMPLIANCE 2002 – 2005

• DELIVERED PWC CLIENTS 1ST YEAR SOX; AMEX, SAFEWAY & VAXGEN CONSISTENT SOX CONTROLS AND PROCESSES. INTERTRUST SANTA CLARA, CA 1ST CORPORATE CONTROLLER 2001 – 2002

• REDUCED CASH BURN RATE FROM $12 MILLION TO $4 MILLION AND MANAGED $150M IN CASH INVESTMENTS. INFINERA – FKA, BIGBEAR NETWORKS SUNNYVALE, CA 1ST CONTROLLER 2000 – 2001

• CREATED FINANCE INFRASTRUCTURE FROM “SCRATCH”, MANAGED $10M OPERATING BUDGET, VC RELATIONSHIPS. ERNST & YOUNG SAN JOSE, CA SENIOR MANAGER, RISK SERVICES 1998 – 2000

• CREATED AMAZON.COM AND AMERICA ONLINE ENTERPRISE RISK MANAGEMENT PROGRAMS FROM “SCRATCH.” CISCO SYSTEMS SAN JOSE, CA 1ST DIRECTOR, INTERNAL AUDIT 1996 – 1998

• IMPLEMENTED KEY PERFORMANCE INDICATOR METRICS IN 300+ SALES OFFICES TO ENABLE CISCO 1-DAY CLOSE. FLEXTRONICS, FKA SOLECTRON MILPITAS, CA 1ST MANAGER, INTERNAL AUDIT 1994 – 1996

• ONLY 2-TIME MALCOLM BALDRIGE NATIONAL QUALITY AWARD WINNER, 3RD LARGEST EMS IN > 30 COUNTRIES. CAE INC. TORONTO, CANADA DIRECTOR, INTERNAL AUDIT 1989 – 1994

• WORLD LEADER FLIGHT SIMULATORS AND TRAINING SERVICES, OPERATIONS & TRAINING FACILITIES IN 35 COUNTRIES. RAYTHEON – FKA, ROHR, INC. SAN DIEGO, CA PROGRAM CONTROLLER (PROMOTION) 1985 – 1989

• ONE OF THE LARGEST AEROSPACE AND DEFENSE MANUFACTURERS IN THE WORLD BY REVENUE AND MARKET CAP. ASTRONICS – FKA, RACAL-VADIC SAN JOSE, CA MANAGER, FINANCE (PROMOTION) 1979 – 1985

• SERVES THE WORLD’S AEROSPACE, DEFENSE AND MISSION CRITICAL INDUSTRIES WITH INNOVATIVE TECH SOLUTIONS. KPMG – FKA, PEAT MARWICK PITTSBURGH, PA SENIOR AUDITOR (PROMOTION) 1977 – 1979

• HELPED CLIENTS BY CREATING NEW OPPORTUNITIES, SOLVING COMPLEX CHALLENGES AND DRIVING GREATER VALUE. ACHIEVEMENTS AND QUALIFICATIONS:

BIG 4 ALUMNUS & EXPERIENCE PWC, EY, KPMG DIRECTOR, SR. MANAGER, SR. AUDITOR ABOVE BIG 4 CONTINUING EDUCATION BIG 4 WEBCASTS BIG 4 SUBJECT MATTER EXPERTS 2025 PROTIVITI @ PITTSBURGH PITTSBURGH, PA COSO ICFR – SOX ASSURANCE UPDATE 2016 PWC @ SILICON VALLEY SAN JOSE, CA COSO ICFR – SOX ASSURANCE UPDATE 2013 PWC @ THE Q CENTER ST. CHARLES, IL COSO ICFR –SOX ASSURANCE YEAR 1 2004 INSTITUTE OF INTERNAL AUDITORS SAN JOSE, CA IIA CHAPTER PAST PRESIDENT 1984 AMERICAN INSTITUTE OF CPA’S NEW YORK, NY ACTIVE AICPA MEMBER 1981 CERTIFIED PUBLIC ACCOUNTANT CALIFORNIA INACTIVE CPA 1981 CERTIFIED PUBLIC ACCOUNTANT PENNSYLVANIA INACTIVE CPA 1981 ROBERT MORRIS UNIVERSITY PITTSBURGH, PA BSBA 1977

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