SUMMARY:

• After 20 years as an external audit professional, became a Risk and Compliance Specialist upon passage of the Sarbanes - Oxley Act of 2002 (SOX).
• Built compliance-oriented SOX frameworks beginning in 2003 and led multiple Confidential 500 companies in their quest to attain Sarbanes-Oxley Operational and Compliance Excellence from 2003 through 2016. Over the last 13 years, has had 15 engagements involving process and IT control design, documentation, testing, remediation, re-engineering and compliance activities.
• Also re-structured COSO and CobiT hierarchies based on new promulgations rolled out in 2013.
• Earlier on, as a Principal Partner of deadline-oriented mid-sized CPA Firm for 10 years, developed unrivaled communication and leadership skills and business acumen while cultivating innovation and integrity in the working environments of clientele.
• As sitting Board Member for several clients, exhibited competitive-edge decision-making and critical thinking capabilities while fostering business opportunities through the establishment of multiple business consortiums.
• Also, consulted both domestic and international firms on financial reporting, internal audit, CobiT compliance and IFRS.

PROFESSIONAL EXPERIENCE:

Chief Financial Officer

Confidential

Responsibilities:

• Design, forecast and execute the financial strategy of the company.
• Manage financial controls and accounting procedures.
• Ensure full transparency over the financial performance of the company.
• Provide advice on how to increase revenue and reduce costs.
• Effectively and clearly communicate potential risks in a timely manner.
• Propose action plans to ensure that annual financial objectives are attained.
• Support the CEO with the preparation of monthly and annual financial plans.
• Maintain speed and accuracy of government billings and accounts payable.
• Coordinate and produce all tax documentation as required.
• Meet with regularly with Board of Directors to communicate financial condition and achievement of goals and objectives.

IT SOX Compliance and Business Manager

Confidential

Responsibilities:

• Led IT Teams through pervasive IT SOX redesign and remediation process in the areas of user access provisioning, user terminations, user modifications, user access role reviews, program change, program change reconciliations, password parameters, user authentication, physical system access, system backup, data recovery, batch processing, data and disaster recovery, incident reporting, cybersecurity and SOD.
• Led internal Finance and Treasury Teams in a process optimization effort involving 12 domestic and foreign operations to enhance business processes via information technology improvements.
• Assessed information technology control requirements for a $2 Billion rapidly growing pharmaceutical company and implemented System for Control Management through IT process improvement, control enhancement, best practices and quality assurance.
• Enhanced business processes within the Procurement, Accounts Payable, Accounts Receivable, Sales and Distribution disciplines through the development of a series of performance monitoring devices including business intelligence dashboards, RACI charts, productivity metrics, efficiency indicators and other KPI’s.
• Re-engineered FRP processes and implemented “Best Practice” methodologies through Value-Stream Mapping eliminating over 50,000 hours of annual waste and saving the Company $4.1 million per year.
• Conducted detailed “walk-throughs” of the security and infrastructure status of eight In-Scope SOX systems with external auditors obtaining screen shots to ensure operational control effectiveness.
• Monitored the operation of 16 ITGC Controls, maintaining control effectiveness and remediating control gaps on an ongoing basis; in addition, mapped controls to COSO / CobiT principles to ensure PCAOB and ISACA compliance.
• Systems/Applications - Confidential, Business Intelligence, ADP, iContracts, Sterling Integrator, Qualanex, KACE, ALLOut Security

Senior Standard Cost Project Manager

Confidential

Responsibilities:

• Managed the standard cost accounting teams within the Financial Close process in a ground zero effort to transform and re-build materials, work-in-process, finished goods and spare parts inventory spreadsheets to ensure an accurate, complete and timely Financial Close and to facilitate future standard cost reporting.
• Configured multiple system interfaces, integrations and customizations to create a seamless series of data transfers from Excel spreadsheets to Confidential Journals saving client over 100 man hours within the Financial Close process.
• Collaborated with Internal and External Audit Management on restructuring interim and rollforward testing procedures and attributes in relation to the considerable process modifications made to the standard costing and inventory valuation work streams.
• Managed and monitored client project progress on a daily basis measuring expenditures-to-date, percentage-of-completion, schedule maintenance, scope compliance and issue remediation.
• Systems/Applications - Confidential, AS400, Business Objects, Primavera

Senior IT SOX Audit Project Manager

Confidential

Responsibilities:

• Managed the internal audit teams in the testing and assessment of IT SOX control activities and control effectiveness across eight autonomous business units within change management, operations and logical security disciplines and strategically coordinated and facilitated conferences to expedite the streamlining and standardization of controls and building a reliable body of evidence.
• Corroborated with executive and senior management level personnel on the consistent design of information technology controls to ensure their operational effectiveness and to optimize their business value impact across all business units.
• Led multiple internal audit SOX teams in a risk and compliance software (TeamMate) upgrade and user-friendly reconfiguration while assessing internal control processes and policies to create more control rigor and to generate greater focus on the essence of controls across all organization business units.
• Systems/Applications - SAP, TeamMate, PLIS, PLRS, FOCUS, TrueComp, UNIX, Guidewire, ACS, EPICS

Senior IT SOX Systems Project Manager

Confidential

Responsibilities:

• Led senior management in a global SOX compliance repository customization and re-configuration project.
• Re-engineered the functionality of the global SOX review and approval process via the restructuring of critical workflows within the compliance repository system and the implementation of previously untapped compliance reporting capabilities.
• Implemented Single Sign-On capability in Accelus version 4.5 (SOX Repository Software) and applied User Acceptance Testing procedures to ensure global functionality.
• Worked with software support professionals in the creation of a Risk Analytics Enhancement and SOX Self-Assessment System within Accelus empowering senior executives in the resolution of critical compliance challenges.
• Conducted scenario analysis, stress tests, sensitivity analysis and advanced measurement approach modeling within a highly complex control environment ensuring compliance with 2013 COSO Principles and the global presence of the COSO Components.
• Updated IT and process control content to adapt to alterations and advancements in workflows and changes in regulatory requirements.
• Systems/Applications - SAP, Accelus 4.5, Excel, Visio

Senior Compliance Management Consultant

Confidential

Responsibilities:

• Partnered with senior management personnel in the compliance development process to effectuate the legal form transitioning for over 140 Confidential retail and auto center business units from a corporate structure to a limited liability company.
• Conducted substantial research and inquiry to ascertain the appropriate procedure to transfer the names and ownership of the aforementioned Confidential retail and auto center units to ensure compliance with all state and municipal rules and regulations.
• Created long-term sustainable process for monitoring and tracking state and local business licensing, sales tax and occupancy compliance requirements through the development of a series of Excel tools containing automated Pivot Table and V-Look-up functionality.
• Interacted with over 90 licensing professionals from various taxing authorities to ascertain local business tax receipt application requirements while negotiating related fees and interim business tax assessments.
• Developed a series of compliance and reporting processes for a newly devised Real Estate Investment Trust working with legal, tax and operational executives to ensure optimal financial results, long-term sustainability and SEC Reporting Compliance.
• Re-engineered over 100 IT and process controls resulting from collateral alterations in key processes.
• Systems/Applications - Outlook, Excel, Visio

Senior Project Manager

Confidential, Chicago

Responsibilities:

• Led executive management personnel and 26 Metro Chicago business units (235 personnel) in re-structuring entire Policy and Procedure framework to ensure alignment with organizational goals and financial reporting objectives and to standardize the policy creation and monitoring process across all business units.
• Mentored entire Project Management Team on the re-engineering of project control policies and procedures to include the use of risk-control matrices, performance monitoring tools and other predictive mechanisms.
• Created a Policy and Procedure tracking and update tool which aided in the streamlining, monitoring and sustainability of all policies ensuring timely updates and unrivaled accuracy and completeness.
• Partnering with Project Management personnel, created process flows for all newly created work streams relating to policies using the swim lane format illustrating the flow of activity between levels of authority and to identify control points throughout the process.
• Created and executed policy training programs across all organization business units using “Best Practice” training techniques.
• Conducted and facilitated daily stand-up meetings with Project Management Team to discuss status of all outstanding projects and resolving barriers.
• Developed project reporting mechanism for Project Management Team to ensure all projects were delivered in scope, within budget and on time while establishing project management procedures and training manuals and building a Center of Project Excellence across all 26 business units.
• Monitored client project progress on a daily basis measuring expenditures-to-date and percentage-of-completion.
• Systems/Applications - Voyager, Lotus Notes, MS Project, CCC (Rev Rec), Visio

Senior IT Integration Management Consultant

Confidential

Responsibilities:

• Prepared Project Calendar/Plan for financial reporting systems overhaul citing all milestones and timing of critical work streams.
• Managed the daily project activities of multiple departments (over 40 individuals) and led teams of project personnel in the identification and development of internal functional requirements to ascertain project scope and duration.
• Reviewed ERP Vendor Data Extract Guide and prepared Upload Templates tracking control tool.
• Cultivated project readiness by discussing project roles and responsibilities with IDS Project Team with a focus on project controls and the achievement of organizational objectives and goals.
• Prepared RACI chart for the project detailing responsibilities and accountabilities and reflecting critical communication lines.
• Received and analyzed Functional Requirements Document from ERP Vendor and subcontractors and documented and followed up on all concerns.
• Led Project Management Team in the creation of pervasive and seamless Solution Design Document reflecting over 120 functional configurations, customizations and controls and vetted with appropriate IDS personnel.
• Based on the Solution Design Document, implemented (via field matching and coding) entire integration/installation plan from initial modeling phase through post “Go-Live”.
• Conferred with ERP Vendor and subcontractors regarding components of customization process and SFDC integration with ERP system.
• Mentored internal Project Management Team in the development of a project control system designed to enhance project performance via customized scheduling and budgeting methodologies seamlessly configured with the new ERP Project Management module.
• In conjunction with Team activities, tested the functionalities (especially the .csv/.txt file upload functionality) of the new ERP System and the various customized integrations which were implemented; also tracked functionality, configuration and control issues as they were encountered.
• Systems/Applications - VBS, Intacct, Salesforce, QuoteWerks, UltiPro, At-Task Project Management

Senior SOX Project Manager

Confidential

Responsibilities:

• Led multiple departments (approximately 80 personnel) in the planning, forecasting and execution in a tight-scheduled and budget restricted effort to re-engineer the Order-to-Cash process to comply with SOX requirements.
• As Senior Project Manager, utilized current client interactive “brown paper” methodology to lead intact work groups to capture Order to Cash process while empowering the client to assume process ownership and share critical business knowledge with project team.
• Identified currently existing SOX control activities and control points within the Order to Cash process while assessing control design and effectiveness in an effort to streamline controls and cultivate a more rigorous control environment.
• Conducted top-down project risk assessment within the Order to Cash process to expose risks with the greatest financial reporting exposure and likelihood of occurrence.
• Crafted a Risk and Controls Matrix matching existing project risks with the controls which mitigated those risks.
• Maintained daily project control tools to closely monitor schedule adherence and budgetary restrictions.
• Systems/Applications - Oracle, Salesforce.com, Softrax, Taxware, Pramata Contract/Project Management, MS Project

Senior Project Management Consultant

Confidential

Responsibilities:

• Working with construction project management teams (92 individuals), performed functional analyses, detailed studies, System for Management assessments and “Best Practice” assessments within the Project Financial Services department across multiple subsidiaries to ascertain the potential benefits of a Shared Services organization and the areas of the PMO which require improvements in efficiency, productivity and waste reduction.
• Led multi-department construction project teams through weekly Project Planning training sessions with an emphasis on a robust Project Control System designed to improve cost effectiveness by 10%.
• Led Project Controls Team in an effort to improve current risk management methodology to include top-down risk assessments on all developing construction projects.
• Led large Project Procurement and Finance teams in the design of a future state Project Financial Services organization with a Center of Project Procurement Excellence on which all consolidated entities can rely on for accurate, complete and timely project purchasing, accounts payable and inventory data.
• Partnering with Project Management Team, designed a future state Financial Close process which reduces the close cycle from 25 days to 8 days while enabling Financial Reporting to issue Financial Statements by the 5 th day of each month versus the 25th day.
• Restructured the entire control environment for the Financial Close and Procurement processes due to significant operational changes which had been implemented.
• Monitored client project on a daily basis with emphasis on the mitigation of cost and scheduling issues and keeping in alignment with scope and project objectives.
• Re-engineered over 150 SOX controls based on process improvement activities and led internal auditors through the documentation, testing and remediation of same controls.
• Systems/Applications - ViewPoint, FAS, Heavy Job System, UltiPro, Visio, MS Project

Senior Project Management Professional

Confidential

Responsibilities:

• Planned and created project plan for a tight-scheduled and deadline-oriented series of project proposal packages involving several large mass transportation organizations throughout the United States.
• Partnered with sourcing, procurement, inventory management, cost analysts and other project professionals (150 internal and contract personnel) in the tendering, planning, forecasting, execution, reporting and the process improvement of six different types of rail car projects; also, devised and implemented First Article Inspection (FAI) audit procedures and project scheduling and cost control mechanisms.
• Led multiple teams of engineers and project professionals in the validation, preparation and presentation of project proposals for such organizations as Chicago Transit Authority, Maryland Transportation Administration, California Transit Authority, New York City Metropolitan Transit Authority and Washington Metropolitan Area Transit Authority.
• Worked in conjunction with procurement, engineering, costing and project management in the crafting and validating of multi-million dollar proposals; also, monitored and tracked progress and fostered a streamlined and problem solving work environment.
• Led Project Controls Team in the development of Earned Value Management and Earned Schedule monitoring devices.
• Systems/Applications - SAP Materials Management Module, Adobe Acrobat X Pro, Excel, Access, Visio, MS Project

Senior Supply Chain Management Consultant

Confidential

Responsibilities:

• Led Planning, Procurement and Project Teams (over 200 internal and contract peronnel) in the re-engineering of Supply Chain Management model and implemented “Best Practices” enhancing bill of material accuracy, optimizing receiving function and warehouse efficiencies and improving overall inventory accuracy resulting in 2% margin enhancement for the Company.
• Interacting with multiple scheduling and costing intact work groups, implemented activity-based costing systems in multiple plants substantially improving the accuracy of materials scheduling and product costing.
• Working with Production, Procurement and Inventory Management personnel, implemented ongoing program of auditing bills of material to ensure accurate inventory quantity data; achieved minimum accuracy level of 99%.
• Led cost analysis teams in the implementation of labor routing audit program to ensure labor record accuracy and avoid the erroneous costing of products.
• Led Project Controls Team in the development of enhanced cost estimation, cost engineering/control and value engineering tools.
• Systems/Applications - MS Project, SAP Materials Management Module

Senior Interim Controller

Confidential

Responsibilities:

• Interim Controller for the world's leading manufacturer and distributor of pliers for professional users.
• Analyzed and documented existing manufacturing production reporting processes to the task level and recommended the addition of critical non-existent tasks and assessed capacity and resource requirements based on transitioning production and maintenance model.
• Created multi-dimensional transition tool to facilitate work management processes for newly-hired incoming Controller position.
• Systems/Applications - SAP, MS Project, Visio

Senior Operational Management Excellence Consultant

Confidential

Responsibilities:

• Led multiple department teams (28 individuals) as Project Manager for University Foundation Operational Management Excellence initiative for 30,000 enrollments educational institution.
• Designed, developed and implemented structured World Class operational management model through operational reporting process analysis and coaching and mentoring executive management to empower personnel and foster a problem-solving work environment.
• Engendered organizational alignment by developing key communication lines between executive management, middle management and rank-and-file personnel.
• Created and implemented a working Quality Tool providing for a more structured approach to defining, assigning, accelerating and balancing organizational work flow with an emphasis on long-term sustainability while maintaining quality processes.
• Developed and implemented a Customer Service model for the Financial Services business unit ensuring optimal delivery of requested services while minimizing the interruption of regular work flow.
• Systems/Applications - PeopleSoft, MS Project, UltiPro, Millenium, Visio