SUMMARY

• Accomplished Audit Professional with exceptional Leadership, Communication and Organizational skills. Hands on auditor with a focus on being results and team oriented. Proven builder of internal audit functions, process improvement and policy/procedure analysis.
• Well developed background in Confidential Compliance, Budgets, Reporting, and System controls. Motivated to build productive working relationships and alliances that enhance business needs. Creative thinker with the ability to translate business requests into efficient solutions.

PROFESSIONAL EXPERIENCE

Confidential - New York, NY

Sr. Internal Controls Analyst

Responsibilities:

• Managed the SOX initiatives for the Corporate Human Resources groups in New York and Houston for dis 63,000 employees financial services organization. Evaluated design and operating TEMPeffectiveness of controls, created test scripts, executed test plans, and assisted with remediation efforts of control gaps and audit issues.
• Developed a documentation manual containing process flows for the Corporate and Regional Human Resources groups, encompassing various HR and payroll processes that defined the initial control framework for the SOX program.
• Coordinated with all stakeholders including process owners, IT, Internal Audit, Corporate Risk, Sr. Management and
• PricewaterhouseCoopers, which ensured most efficient results were obtained and deadlines were met.
• Utilized IBM “Open Pages” for the updating of: risks, controls, test results, and for the monitoring of issues, action plans, and remediation leading to a timely completion of project initiatives.
• Created a monthly status report of findings and action items for the HR Executive Committee, which was used for monitoring and tracking purposes.
• Assisted in a Company wide initiative to reduce the cost of compliance. Reviewed all SOX controls and by combining, reworking, and replacing controls, streamlined our control framework resulting in a 50% reduction of all SOX controls.

Confidential, International - New York, NY

Audit Consultant

Responsibilities:

• Planned and completed multiple SOX engagements which included the following: Documented business processes, evaluated and modified existing control matrices, designed and executed audit test plans, followed-up on test results and remediated control deficiencies as needed.
• Prepared process flows in Visio for all HR and Payroll processes. Identified key controls, which became the template for future monitoring of HR processes. Deliverables exceeded expectations resulting in numerous return engagements.
• Reviewed and audited contracts of Licensees to ensure compliance with agreement terms and proper remittance of royalties. Areas reviewed included: sales, inventory, invoice testing, advertising, product credits, insurance, and marketing & promotion. Project deliverables were met resulting in recurring engagements.
• Completed several property management audits on behalf of dis financial services client. Areas included: lease reviews, escalation clauses, security deposits, budgets, bank reconciliations, and financial closing process. Also reviewed billing, cash receipts, collections, insurance, disbursements, capital and tenant improvements.
• Managed several audits for dis financial services client that encompassed the following areas: treasury function, which included banking relationships, on-line banking systems, cash management, and wire transfers. Also performed an audit of cash receipts and the accounts receivable function including reserves and write-offs.
• Conducted SOX testing on behalf of dis Equipment Leasing Services client. Areas tested included: daily funding, financial closing, financial reporting, SEC reporting, and entity level controls.
• Performed SOX control testing on behalf of dis pharmaceutical client in both NJ and Memphis TN. Areas included: order entry, pricing and customer discounts, shipping, billing, accounts receivable, collections and write-offs, sales returns and credits, promotional programs, cash receipts, inventory, and travel and entertainment expense. Project deliverables were met which led to an engagement extension and additional work.
• Designed and executed test plans for dis staffing organization. Areas included: treasury operations, corporate human resources, general ledger/financial reporting, corporate tax, billing/accounts receivable, collections, and bad debts/write-offs. Deliverables included providing management with risk & control matrices, test scripts, and summaries of findings.
• Interviewed process owners and composed detailed narratives for dis environmental consulting firm. Areas included: project initiation, contracts, billing, accounts receivable, cash receipts, collections, reserves, purchasing, cash disbursements, expense reports, time reporting, payroll, human resources, and benefits. Presented management with process narratives, identification of key controls, control gaps and appropriate remediation and formal test plans. Deliverables were met resulting in the client requesting additional services at an independently operated subsidiary.

Confidential - Madison, NJ

President

Responsibilities:

• Conducted a fraud investigation, documented improprieties and timeline of events, completed suspicious activity reports, (SARS), worked with proper authorities resulting in the conviction of the former CEO for a $2M embezzlement.
• Upgraded all computer systems, installation of LAN, new front and back office systems, web based banking, and automated lending process. dis resulted in a more efficient and structured operations, better and consistent working environment, modernized processes and improved financial control.
• Created policy and procedure manuals for all components of the institution. (Personnel, Operations, and Financial).

Confidential - Dover, NJ

Director of Internal Audit

Responsibilities:

• Developed the following; audit charter, audit manual, time accounting system, department budgets, audit plan, risk assessment, and audit finding tracking system which facilitated the set-up of the audit function.
• Provided findings and recommendations to audit committee and board of directors.
• Responded to requests by Management to perform special fraud investigations for potential improprieties.
• Assisted and coordinated audit activities with external auditors, which resulted in reduced external audit fees.
• Converted a 100% manual loan process to an automated loan origination system, which resulted in a faster, more efficient loan process and generated a higher volume of loans.
• Coordinated the research and selection process of a vendor to conduct quarterly audits, which ensured the integrity of data and safeguard networks/systems of any security breaches.
• Reviewed dormant accounts and assisted management with preparing the escheatment /unclaimed property report to the State Treasurer which led to a timely filing and satisfying State regulatory requirements.

Confidential, Wayne, NJ

Corporate Auditor

Responsibilities:

• Managed administrative responsibilities including departmental budgets, audit scheduling, and monitoring status of outstanding audit recommendations. Planned and performed operational/financial audits for manufacturing facilities and corporate functions. Updated written policy and procedures for company wide operations. Reviewed new accounts payable system post conversion and uncovered $500K in duplicate payments.
• Developed audit programs including risk and scope, conducted operational and financial audits and issued appropriate reports for worldwide company operations. Reviewed policies, procedures, systems and controls and made recommendations to eliminate inefficiencies and strengthen control. Conducted research and analysis pertaining to company acquisitions to ensure accuracy and timeliness of contingency payments. Played a key role in the design and implementation of a new billing system for payroll processing centers.