Senior SOX Analyst
Resume:
JOHN M. CAPORALE
Schaumburg, IL 60193
**********@***.***
SKILLS SUMMARY Results-oriented professional with over ten years of financial experience in the public and private industry; proven ability and effectiveness in the planning, design and development of audits and preparing audit findings and recommendations. Experience accompanied by graduate degree, certification, professional association membership and community involvement.
EMPLOYMENT
Senior SOX Analyst
Integrys Energy Group, Inc. July 2008 to Present
Chicago, IL
Assist in the ongoing process of reasonably ensuring compliance with Sarbanes-Oxley requirements across the organization:
• Partner with Department Heads in: a)evaluating the adequacy and effectiveness of internal controls over the general ledger, financial reporting and general computer controls for organization; b) ensuring that the financial controls and supporting records are prepared in accordance with company policies and GAAP; and c) maintaining relevant SOX documentation and flowcharts.
• Liaison with Audit Services and external auditors in the documentation of noted deficiencies and monitoring remediation plans.
• Assist in the review of the impact of internal control changes and potential deficiencies on the relevant SOX documentation. Ensure that documentation and flowcharts with the SOX Tool is updated and kept current as processes change for all significant financial reporting related business processes and accounts.
• Manage opening and closing of action plans. Coordinate and ensure that the quarterly 302 questionnaires and annual 404 questionnaires are received from the Department Heads.
• Facilitate and schedule process walk through discussion of SOX controls with the Department Heads and the External Auditors.
• Remain up-to-date on new reporting requirements and current legislative guidelines from the SEC and PCAOB, external auditor interpretations and industry best practices. Assist with interpretation and implementation of new SOX requirements for organization.
Senior Auditor
Mutlistate Tax Commission January of 2006 to July of 2008
Chicago, IL
Involved with the planning and managing of several sales and use tax engagements (for up to 15 states) at publicly and privately held companies in manufacturing, retail, financial services, and other industries:
• Coordinated engagement projects and supervised and reviewed audit staff, one or two auditors, both locally and remotely at multiple locations to conduct audit of companies that are mostly Fortune 500 companies (sales in excess of $10 billion)
• Identified reporting of sales and use tax weaknesses as audit exceptions and with adequate recommendations (assess liabilities) for the individual state (up to 15 individual reports).
• Performed audit investigations (nexus investigations), gaining further experience in problem solving, researching issues and evaluating a company’s reporting systems.
Auditor
Treasury Inspector General for Tax Administration November of 2004 to January of 2006
Chicago, IL
Assisted in the organization, planning and development of audits of many areas of IRS operations:
• Responsible for preparing audit findings and recommendations.
• Managed and planned the day to day analysis of identifying internal control weaknesses and purposing recommendations to IRS management.
• Assisted in audit report writing.
Auditor
Multistate Tax Commission November of 1998 to November of 2004
Chicago, IL
Involved with the planning and managing of several sales and use tax audit engagements (for up to 13 states) at publicly and privately held companies in manufacturing, retail, financial services, and other industries:
• As lead auditor, responsible for the coordination of engagement projects and supervision and review of audit staff, one or two auditors, both locally and remotely at multiple locations to conduct audit of companies that are mostly Fortune 500 companies (sales in excess of $10 billion).
• Identified reporting of sales and use tax weaknesses as audit exceptions and with adequate recommendations (assess liabilities) for the individual states (up to 13 individual state audit reports).
Auditor
Florida Department of Revenue August of 1996 to
November of 1998
Hillside, IL
Involved with the planning and managing of several sales and use tax audit engagements at publicly and privately held companies in manufacturing, retail, financial services, and other industries:
• Responsible for the coordination of engagement projects both locally and remotely at multiple locations to conduct sales and use tax, documentary stamp tax and intangible tax audits. Audit companies varied in size from small (sales of $1 million) to large (sales in excess of $1 billion)
• Identified reporting of tax weaknesses as audit exceptions and with adequate recommendations (assess liabilities).
• Lead engagement in performing first time sales and use tax audits involving problem solving, researching Florida’s tax and evaluating a company’s reporting systems.
• Involved in the day to day analysis of financial documents in addressing non-conformance issues of several audit engagements by conducting necessary research required to resolve auditing matters.
Senior Compliance Examiner
Illinois Student Assistance Commission October of 1995 to August of 1996
Deerfield, IL
Involved with the planning and managing of several financial aid audit engagements at publicly and privately held lenders and post-secondary schools in the state of Illinois:
• As lead auditor, responsible for the coordination of engagement projects with audit staff both locally and remotely at multiple locations to review financial aid documents and student financial aid files.
• Identified non-conformance to federal and state financial aid regulations and recommendations (assess liabilities) in a formal audit report that was provided to the lending or financial aid office and the United States Department of Education.
Auditor
CNA Insurance Companies
August of 1994 to October of 1995
Chicago, IL
Participated in the organization, planning and development of audits in the different aspects of insurance operations at the home office and remote facilities:
• Conducted financial and operational audits by maintaining work papers, reviewing audit results with management and completing audit reports.
• Identified internal controls weaknesses, audit exceptions and inefficiencies with audit recommendations to management.
Auditor
Illinois Student Assistance Commission April of 1992 to August of 1994
Deerfield, IL
Analyzed, interpreted and made independent judgment of compliance of several student loan engagements at publicly and privately held lenders in the state of Illinois for the Guaranteed Student Loan Program
• As lead auditor, responsible for the coordination of engagement projects with the audit staff both locally and remotely at multiple locations to review student loan files (documentation)
• Identified non-conformance to federal and state financial aid regulations and made recommendations (assess liabilities) by analyzing student loan from inception to current status in a formal audit report that was provided to the lending institution and the United States Department of Education.
• Gained experience in problem solving by conducting necessary research for audit related issues and evaluating an entity’s reporting systems for whether federal reimbursements for loan portfolio was in conformance with federal and state regulations.
Auditor
Superior Bank, FSB September of 1990 to April 1992
Oak Brook Terrace, IL
Assisted in the organization, planning and development of audits of the many areas of the bank operations.
• Responsible for preparing audit findings and recommendations.
EDUCATION AND CERTIFICATION
• Masters of Science in Accountancy, May of 1996-Dominican University
• Bachelor of Science in Finance, June of 1990-DePaul University
• CIA-Certified Internal Auditor
• CGAP-Certified Government Auditing Professional
• Attended Intermediate Auditor Training at Inspector General Training Institute (IGATI)
• Licensed Real Estate Salesperson
COMPUTER SKILLS • Proficient in Microsoft Excel, Word, PowerPoint and Windows XP and knowledgeable about Microsoft Access, Audit Productivity Software Teammate and Trintech SOX Compliance Tool Software
PROFESSIONAL AFFILIATIONS AND COMMUNITY INVOLVEMENT • Member of the Institute of Internal Auditors-Chicago Chapter (10 years)
• Member of Institute of Management Accountants-Northwest Chapter
• Member of DePaul University Circle of Finance Opportunities
• Schaumburg Township Trustee (May of 2001 to May of 2005)
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