Control Officer Resume

PROFESSIONAL PROFILE:

Proven audit leader, with 30 years of managing financial, IT, fraud, operational and regulatory compliance audits. Detail oriented to ensure controls are instituted to ensure financial information is reported accurately and internal controls are designed and functioning properly. Led key projects to implement and streamline significant procedures.
Looking for an opportunity to lead and manage or have a significant leadership position is an audit, risk or compliance group.

AREAS OF EXPERTISE:

WORK EXPERIENC:

Confidential

Control Officer

Responsibilities:

Review complex CDO and Structured Finance deals to ensure they are administered according to the legal document requirements.
Ensure significant risks are identified and controlled.
Test existing controls to validate they are functioning as designed.
Coordinate examinations from Internal Audit and regulators.
Ensure any findings are correct and, if correct, ensure a plan is put in place by Management to correct the deficiency and monitor progress until completed.
Participated in fraud investigation of structured product deals.
Uncovered excessive fee billings from program sponsor.

Confidential

Internal Audit Manager

Responsibilities:

Managed Sarbanes-Oxley IT General Controls reviews of oil and gas and manufacturing firms, several with international locations.
In addition, managed a SAS 70 audit of major Houston hospital claims processing.

Confidential

Audit Manager

Responsibilities:

Performed operational and financial audits of an insurance holding company.
Identified reconciliation issues and recommended solutions for issues, which had been outstanding over one year.

Confidential

Consultant

Responsibilities:

Reviewed 3 data centers of a major security company to ensure IT controls met Sarbanes-Oxley requirements.
Implemented an Operational Risk Management System for a Confidential Company.

Confidential

Vice President & Risk Manager

Responsibilities:

Managed the successful recovery of the department to its recovery site during a major flood.
Ensured proper IT controls were in place for the conversion of the loan accounting system.
Implemented changes to processes in a short time period to ensure compliance with a major regulatory change.
Developed and presented Risk and Control Training to the Department senior managers, supervisors, and employees to enhance the Department’s knowledge of controls, their purpose, and impact on their jobs.
Designed the Department’s Business Continuity Plan and directed annual tests to ensure its accuracy.

Vice President - Information Systems Auditor

Confidential

Responsibilities:

Conducted reviews of the corporate data center operations; including scheduling, physical security, logical security, LAN security and the annual data center disaster recovery plan
Discovered numerous security access weaknesses, which led to an improvement in the controls over customer information.
Identified excessive access during a review of the Job Scheduling System. Controls were enhanced to ensure Bank and customer information is protected.

Trust Audit Manager

Confidential

Responsibilities:

Worked with Senior Management to ensure major regulatory requirements were followed.
I created a trust compliance manual containing the major trust laws and regulations and their application to the organization.
The manual ensured all government regulations over the managing of trust accounts were identified and procedures put in place to comply with the regulations.