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Senior Internal Auditor / Sox Analyst Resume

SUMMARY:

  • I have 11 years of in - depth auditing experience.
  • I performed as a Senior Audit Consultant with Confidential Management Resources and Protiviti and the most recent 5 years I have been a Senior Internal Auditor and Senior SOX Analyst.
  • I am effective working independent or as a team and can manage multiple projects.
  • I have years of experience overseeing staff during audits and SOX testing and am able to plan and set effective priorities and make decisions in order to meet deadlines.
  • I have also held consultant roles at 2 companies in preparation for IPO’s by preparing financial statements and supporting schedules.
  • On every project I have partnered with a mix of senior executives, SVP Sales, department VP’s, Corporate Controllers, HR or other management from domestic and international locations.
  • I have made strong connections with many process managers which have enable positive change to many areas of each organization.

TECHNICAL SKILLS:

Microsoft Office (Including Visio), SAP, Oracle 11i, Great Plains, Essbase, Protiviti SOX Tool, Lotus Applications, PPC Engagement Manager, GoSystems, BNA Fixed Asset Manager, Openpages Risk Management Solution, Beginner ACL Training for Data Analytics, Netsuite

PROFESSIONAL EXPERIENCE:

Confidential

Senior Internal Auditor / SOX Analyst

Responsibilities:

  • Documented new controls as a result of the initial Enterprise Risk Management (ERM) process and rapid growth of the company.
  • Assisted with external auditor requests in relation to the quarterly review of the 10Q and SOX walkthroughs and testing
  • Managed online internal controls tool, Movaris, for controls monitoring and documentation of completed controls, planned Finance & ITGC SOX testing and managed testers.
  • Teamed with senior executives in creation of Confidential testing and training program
  • Operated as team lead on 2 operational audits and communicated the results to the CFO, controller and process owners

Confidential, Redwood City, CA

Senior Internal Auditor

Responsibilities:

  • Effectively developed the audit templates for the team prior to the all operational audit projects (i.e. audit risk assessments, work programs, testing templates and reporting templates for internal management and the Audit Committee)
  • Operated as team lead and supervisor the following 8 operational audits resulting in significant cost savings and process improvement: Contract Worker, Treasury & Hedging, Sales Compensation, Order to Cash, Purchasing, Travel & Entertainment, South Africa & Japan country audits
  • Followed up on action items following each operational audit and reported status to management
  • Performed Confidential compliance testing and assisted with training staff at international locations
  • Performed process/controls rationalization effectively reducing overall control count by 15-20%
  • Implemented and trained process owners on new Control Self Assessment program
  • Assisted with risk assessment for top down risk based approach for US and international locations
  • Partnered with Sales Ops in order to streamline the Sales Commissions process and new system enhancement to automate a process that was mostly manual
  • Planned multiple rounds of SOX testing, supervised testers from co-sourced accounting firms, tracked progress and reported results to Management
  • Coordinate with external auditors for SOX testing and reliance strategy enabling an opportunity to reduce fees
  • Effectively lead high priority projects under tight deadlines with little or no prep time

Confidential, Milpitas, CA

Senior Internal Auditor

Responsibilities:

  • Drove the update of process documentation for our Germany and Singapore offices after the SAP implementation which included creating/modifying process maps, testing pre and post implementation and remediating exceptions
  • Managed independent consultants from Protiviti and tracked progress during SOX testing for offices in Portland Oregon, Munich Germany and Singapore
  • Lead operational audit for new Singapore location and its related processes for initial SOX compliance
  • Prepared Financial Risk Assessment and Location Analysis for SOX testing strategy
  • Assisted with the launch of a new SOX software program called Protiviti Portal to enable database storage of risks & controls, creation of management reports and testing status reports
  • Effectively reduced controls by 10% or more each year by performing risk/control rationalization

Confidential, San Jose, CA

Senior Internal Audit Consultant

Responsibilities:

  • Attended 2004 Protiviti’s 2-day Sarbanes-Oxley 404 Training
  • Designed/Tested/Remediated first flowcharts for business processes and internal controls for US and International offices for Siebel Systems
  • Performed a 98% coverage search for unrecorded liabilities at the request of client external auditor due to extreme turnover and segregation of duty conflicts in the finance department
  • Lead creation of SOX risk analysis and initial internal controls documentation for Arcsight (pre-IPO)
  • Created a Whistleblower and Purchase Order Policy for management at Arcsight (pre-IPO)
  • Prepared financial statements and flux analysis in preparation for IPO while at Arcsight

Confidential, Mountain View, CA

Finance Project Analyst

Responsibilities:

  • Reported to the Corporate Controller for confidential, pre-IPO ad-hoc tasks relating to FAS 123 and stock option valuations.
  • Prepared reports required for year-end audit and international consolidations.
  • Completed reconciliations and processed customer payments using Oracle.
  • Created future lease commitment schedule for all global offices prior to the IPO, organize new leases and updated schedules quarterly.

Confidential, San Jose, CA

Public Accounting Associate

Responsibilities:

  • Planned and performed financial statement audits, reviews, and compilations
  • Completed individual tax returns during 2003 busy season ( corporate, partnership and individual returns)
  • Served as team lead on one internal audit for a national Confidential office in Denver Colorado
  • Main clients were in industries such as manufacturing, real estate, service, construction and healthcare

Confidential, San Jose, CA

Public Accounting Associate

Responsibilities:

  • Planned and performed financial statement audits balance sheet and income statement
  • Performed 10Q reviews and Venture Capital Firm audits
  • Supervised staff, reviewed working papers and mentored interns during summer months
  • Served as liaison between audit and Transaction Services (Merger & Acquisition Group: Carve-out/spin-off and due diligence) on a financial statement carve-out for HP & Verifone
  • Performed Revenue testing which included applying SAB 101, SOP 97-2, SOP 98-1 and cut-off testing
  • Main clients were in industries such as software, networking, telecommunications, semiconductor, life science, and venture capital which ranged in size from small start-ups to publicly traded corporations

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