Internal Audit & Policy Compliance Professional

Shanika Lockett

Alexandria, VA ***** +1-601-***-**** **************@*****.***

Willing to relocate: Anywhere

Work Experience

Internal Auditor

National Rural Utilities Cooperative Finance Corporation Sterling, VA Evaluate the internal control environment by liaising with process holders throughout the engagement by gathering information, analyzing large datasets, performing testing, and assessing financial statements. Senior Audit Specialist

The WII Group

May 2023 to August 2024

• As an Auditor, perform audit procedures, including identifying and defining issues, developing risk-based criteria, reviewing and analyzing evidence, and documenting client processes and procedures Schedule and participate in entrance conferences and walkthrough meetings. Coordinates external auditor request for documentation and interviews with Agency Offices. Obtains and analyzes documentation from Agency Offices to ensure audit requests are fulfilled. Works with Offices to provide requested items in a timely manner. Provides advice to Agency Offices on corrective action plans and the submission of sufficient evidence to support implementation. Manager

Kearney & Company

February 2023 to May 2023

• As a Manager, provided comprehensive policy analysis, interpretation, and assessment of federal policies and directives. Developed and recommended plans to management officials improve the effectiveness and efficiency of work. Analyzed processes to identify inefficiencies, streamline processes, and eliminate redundancies. Assist in the writing and preparation of policy documents. Supervised 3-5 employees. Auditor

District of Columbia Washington, DC

June 2022 to February 2023

• Review work generated by designated staff to ensure compliance with audit standards and prepare written evaluation of staff performance to management.

• Analyze the audit results to objectively determine the effectiveness of internal controls, efficiency of operations, and protection of company assets; perform thorough reviews of assigned areas, including transactions, documents, records, physical assets, and automated functions, reviewing for accuracy, adequate controls, and operational efficiency.

• Prepare for management review a draft report of the audit that includes a description of the audit findings and recommendations; participate in a closing conference with management in which audit results are discussed.

• Evaluate the responses to audit reports to verify that all issues have satisfactory responses. Senior Financial Analyst

Old Dominion Strategies Reston, VA

August 2020 to June 2022

• Analyze internal controls and standard operating procedures in accordance with the requirements of OMB Circular A-133.

• Develop, implement, and monitor Corrective Action Plans (CAP) for controls where a testing failure was noted, and documenting lessons learned.

Senior Accountant

Empirical Concepts CPAs Oxon Hill, MD

February 2017 to July 2020

Contract support at U.S Department of Agriculture/National Resources Conservation Service (NRCS) Supported NRCS with implementation of processes to adhere to OMB- Circular A-123 standards; which includes Appendix A & C, Enterprise Risk Management (ERM), and Improper Payments program. Helped NRCS develop and execute internal control assessments that not only meet the Department's (USDA's) compliance requirements but also meets NRCS's goals to establish its own A-123 Program. Responsibilities include, but are not limited to:

• Leading calls with NRCS stakeholders to determine if updates to existing business processes documentation is required.

• Documenting potential updates to ensure compliance with all applicable laws, regulations, and statutes.

• Working with junior staff to ensure that process narratives, process maps and listings of key controls were properly updated and reflective of the current business environment.

• Responsible for conducting reviews and making updates to review and testing checklists prior to each round of testing to ensure all testers would be able to quickly and accurately execute testing steps prior to receipt of supporting documentation received from the client.

• Analyzing and testing internal controls and standard operating procedures in accordance with the requirements of OMB Circular A-133.

• Developing, implementing, and monitoring Corrective Action Plans (CAP) for controls where a testing failure was noted, and documenting lessons learned.

• Preparing financial statements, including required disclosures to ensure that they are in accordance with generally accepted accounting principles (GAAP) and other regulatory requirements.

• Effectively plan, organize, and assign audit work to audit staff and provided feedback to team members.

• Writing audit findings, recommendations, and other data in accordance with Government Auditing Standards Contract support at National Oceanic and Atmospheric Administration (NOAA)

• Analyzing and testing internal controls and standard operating procedures in accordance with the requirements of OMB Circular A-133.

• Certify expenses against agency policies identifying noncompliant expenses reimbursed to personnel.

• Responsible for conducting reviews of contractor billing support documentation received from the client ensuring compliance with the Improper Payment Program.

• Developing and updating testing checklists to prepare for electronic conversion of the audit process

• Supervised 7 employees.

Auditor

Defense Contract Audit Agency Linthicum, MD

March 2016 to January 2017

• Examined contractor books and records, budgetary and historical data, financial statements, and cost type proposals to determine allowability, reasonableness, and compliance with established laws and regulations.

• Conducted various DoD contract Audits in accordance with the FAR, Defense FAR Supplement (DFARS), Cost Accounting Standards (CAS), the Auditing and Accounting Standards Generally Accepted in the United States, and Governmental Accounting Standards.

• Performed incurred cost audits

• Performed system audits and internal control audits including system audits including accounting and billing systems. Accounting Professor

Tougaloo College Tougaloo, MS

August 2011 to May 2016

• Facilitate the learning process for students and help them achieve their educational goals.

• Maximize retention of students toward the completion of their program and provide students with a proper educational environment so that the students may derive the maximum benefits from the classes for which they are enrolled.

• Plan for instructional activities to include, but not limited to, lecture, class discussion, demonstration, and projects.

• Organize concepts to be taught in a logical and understandable sequence covering all objectives as outlined in the course syllabus.

Accountant/Auditor Professional II

Mississippi Department of Human Services Jackson, MS October 2012 to August 2013

• Reviewed work generated by designated staff to ensure compliance with audit standards and prepare written evaluation of staff performance to management.

• Analyzed the audit results to objectively determine the effectiveness of internal controls, efficiency of operations, and protection of company assets; perform thorough reviews of assigned areas, including transactions, documents, records, physical assets, and automated functions, reviewing for accuracy, adequate controls, and operational efficiency.

• Prepared for management review a draft report of the audit that includes a description of the audit findings and recommendations; participate in a closing conference with management in which audit results are discussed.

• Evaluated the responses to audit reports to verify that all issues have satisfactory responses.

• Supervised 2 employees.

Internal Auditor

The Isle of Capri, Inc Vicksburg, MS

November 2010 to August 2011

• Constructed complex and detailed financial, compliance, Human Resources, and operational examinations that ensure system reliability, data integrity, and the identification of key trends

• Prepared detailed formal audit reports presenting assessed findings, identifying causative situations, reconciling, and recommending corrective action and due diligence for internal controls

• Examined records, interviewed workers, employed statistical techniques and quantitative data analysis, in providing financial leadership, advice, and direction to the management team about asset utilization, audit results, and changes in operations and financial activities

Accountant/Auditor Professional I

Mississippi Gaming Commission Vicksburg, MS

May 2008 to November 2010

• Conducted complex audit projects, working independently under the general direction of audit management

• Planned assigned projects; determine the scope of the audit work to be performed and develop and write the audit work program; interview employees and perform the audit work as developed in the audit program.

• Analyzed the audit results to objectively determine the effectiveness of internal controls, efficiency of operations, and protection of company assets; perform thorough reviews of assigned areas, including transactions, documents, records, physical assets, and automated functions, reviewing for accuracy, adequate controls, and operational efficiency.

• Advise Internal Audit management of any events or occurrences that could be construed as fraud or in violation of established laws or statutes; documents audit findings that will be the basis for the final report.

• Prepared for management review a draft report of the audit that includes a description of the audit findings and recommendations; participate in a closing conference with management in which audit results are discussed.

• Evaluated the responses to audit reports to verify that all issues have satisfactory responses. Education

accounting (Master of Professional Accountancy)

Jackson State University Jackson, MS

January 2006 to December 2007

Economics (Bachelor of Arts)

Tougaloo College Tougaloo, MS

January 2000 to May 2004

Skills

Financial report writing Governmental accounting Financial statement preparation SOX Internal financial audits Corporate accounting Experience in non-profits Financial reporting Project management Federal Acquisition Regulations Account analysis Financial analysis Process improvement standards implementation Financial performance report preparation Vendor management Policy & process development Supervising experience Regulatory compliance Continuous improvement standards implementation Auditing Training delivery Financial systems implementation Accounting software Microsoft Outlook Additional Information

Authorized to work in the US for any employer

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