Financial and IT Audit, SOx Compliance

TODD A. DUMSTORF, CPA 847-***-****

*** **** ******* ****, ********* Heights, IL 60004 ****.********@***.***

AUDIT MANAGER

Compliance / Sarbanes - Oxley / IT Audit / Internal Control / Risk Management

Business Process Reengineering / Policy and Procedure Development / Integration

I have created the audit and compliance systems that enabled companies in industries as diverse as utilities, oil production, chemicals, consumer foods and electrical manufacturing to maintain strict compliance with Sarbanes-Oxley and other rigorous reporting and transparency mandates.

By establishing IT audit controls, I protected information assets, properly dispensed information to authorized parties, mitigated loss and assured corporate efficiency, accuracy and security. I have worked in collaboration with Big 4 firms PricewaterhouseCoopers, Ernst & Young, and KPMG in resolving internal control issues.

> Analyzing, identifying and eliminating barriers to transparency and compliance

> Designing systems that ensure conformance with strict regulatory standards

> Integrating and standardizing audit and control tools across multiple units

> Ensuring efficiency and security of information systems and practices

> Strengthening standard internal financial performance accounting

I hold a BS in Accounting from Southern Illinois University, and have CPA certification. I am known for my ability to rapidly, accurately analyze problems and achieve challenging goals quickly, either alone or within a team. My ability to stay calm, focused and effective has positioned me as the go-to resource for the most demanding tasks.

SELECTED ACCOMPLISHMENTS

Establishing systems that ensure Sarbanes-Oxley compliance. Analyzed and documented business processes at the Advanced Transformers division of Philips Lighting to achieve short deadline SOX compliance. Defined controls and developed test scripts. Identified, tested and documented over 350 controls.

Launching and integrating IT audit team. Innovene subsidiary of British Petroleum’s audit group lacked IT audit capability. Wrote audit programs in compliance with corporate risk management guidelines. Reviewed applications, network administration and security, change management and third party services. Hired and trained IT audit staff.

Resolving segregation-of-duties conflicts for SOX compliance. Inadequate SoD barriers within ConAgra’s ERP system were compromising SOX compliance. Designed and implemented new user-based access process. Determined which access points were needed and used by each party. Ensured SOX compliance within 16 plants.

Integrating and standardizing multi-unit audit standards. The Genlyte subsidiary of Philips Lighting Electronics North America itself had numerous recent acquisitions needing to be integrated with the corporate internal control standards. Assessed each unit’s audit and control methodologies, and mapped to Philips’ corporate controls.

Developing internal accounting controls for inventories, sales, collections and cash management. Analyzed asset capitalization, liability accrual and expense distribution for Acrux Group. Directed conversion to MAPICS ERP MRP software. Created reporting architecture that consolidated operations and earnings quickly and accurately.

CAREER HISTORY

Financial Consultant, Philips Lighting / Robert Half Management Resources, 2003 to 2009. Designed financial tracking, control and reporting systems. Developed processes and scripts for testing and reporting Sarbanes-Oxley compliance. Structured IT audit group responsible for risk assessment, scheduling and staffing.

Auditor, Frost Ruttenberg & Rothblatt, 2003. Served as audit team member during tax season.

Financial Director, Acrux Group, 1990 to 2003. Led financial statement presentation, purchasing, monthly close, requisition, inventory management, costing, and payroll. Set forecasts and annual budgets. Led team of six for this $25M, software, manufacturing and communications company. Undertook treasury-level negotiations with banks.

Prior Assignments: Auditor, various public accounting firms.

Personal Profile: In my free time, I enjoy golf, mountain biking, softball and rugby.

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