SUMMARY:

• Project management expertise in the planning, team coordination, execution, and summarization of various financial and operational audits.
• Analytical strength in identifying and assessing the state of existing internal control environments in accordance with the IIA's International Professional Practices Framework IPPF , and the Committee of Sponsoring Organizations COSO and Control Objectives for Information and Related Technology COBIT frameworks.
• Successful record evaluating control systems, identifying control gaps, and conducting risk assessments.
• Ability to recommend, achieve client consensus, and track corrective action plans developed in response to audit findings.
• Demonstrated strengths in both oral and written communication for a diverse executive audience.
• Willingness to collaborate as a team, or take initiative as a self-starter, to execute tasks within prescribed timeframes.
• Passion for influencing management, and building relationships and agreement on the importance of strong internal controls.
• My extensive audit experiences, coupled now with my recent publishing responsibilities August 2014 to present , have placed me in progressive positions of leadership and have afforded me an in-depth knowledge of operational and managerial processes. I am a structured thinker, but one who maintains flexibility when required in fast-paced environments.

Experience

Confidential

Senior internal Auditor

• East-coast senior audit representative for a California-based, international staffing firm.
• Assessed Sarbanes Oxley SOX compliance and performed financial and operational audits of the Richmond-based staffing firm, Apex Systems, Inc., and other divisions.
• Provided limited assurance reviews for reliance by external auditors.
• Designed compliance and substantive tests to determine the completeness, accuracy, and strength of internal controls and overall control environment.
• Performed sampling in accordance with PCAOB guidance.
• Developed audit opinions and audit comments on the operational effectiveness of internal controls.
• Discussed findings and recommendations for best practice improvements with audit clients and C-suite executives.

Experience Continued

Confidential

Senior Internal Auditor

• Performed operational and financial audits of departments supporting the various acute and long-term care systems: Timekeeping/DOL Compliance Community Benefit - Sch H/990 Reporting Clinical Trial Review Planning Financial Statement Month-end Closing and Footnote Attestation Reviews Assurance reviews for external auditors Operational Leases and system-wide preparation for ASC 840 Pensions/401k Plans Validation of select financial position and income statement balances Oxford .
• Assessed strengths of internal control environment.
• Designed compliance tests and detailed tests of transactions.
• Drafted audit reports and discussed findings with audit clients.
• Tracked status of corrective action plans implemented by operational management.

Confidential

Assistant Bank Examiner

• Financial Institution Specialist responsible for analyzing financial statements, ratios, and CAMELS to report on the safety and soundness of state-chartered, non-FRB member banks.
• Determined bank compliance with federal banking regulations, GAAP, GAAS, FASB pronouncements, and other regulatory guidance.
• Prepared persuasive, report-ready exam comments supported by empirical fact and professional judgment.
• Conducted exit meetings for an audience of senior bank executives, Board members, and state and federal supervisory agency leadership.
• Discussed findings and exam conclusions with bank management, and tracked compliance with memoranda of understanding MOUs .
• Provided guidance on FOCUS report classifications to junior teammates.
• Contributed to the regional office newsletter.

Assistant Vice President

• erformed financial and operational audits of the broker-dealer: Brokerage CFO Regulatory Reporting Group BSA/AML reviews Privacy/SOX Compliance Operations Control Advisory Services Group Investment Planning U4/U5 Amendment Filing Prudential/Wachovia Merger Integration Team SDLC and Logical Access reviews.
• Prepared report-ready audit comments with minimal content revisions, and provided first-line review and edits of co-workers' draft reports at Audit Director's suggestion.

Experience Continued

Senior Internal Auditor

• Performed operational audits of the broker-dealer, UBS Investment Bank formerly Warburg, Dillon, Read : Capital Markets Corporate Control/Business Unit Controllers Securities Compliance Department Credit Market Risk Control.
• Prepared report-ready audit comments with minimal content revisions.

Confidential

Assistant Vice President

• Performed operational audits of the broker-dealer: Foreign Equity Securities Trading US Equity Sales Trading Purchase and Sales Department Controller's Global Price Verification.
• Prepared draft reports and discussed findings with management.
• Participated in annual risk assessment process.
• Interfaced with corporate executives and external auditors.

Confidential

• Performed operational audits of the Private Bank in accordance with Regulation 9 of the Comptroller of the Currency, NASD now FINRA , CFTC, and NYSE rules: Citicorp Futures Corporation Asset Price Verification Global Asset Management Securities Processing Operations Trust Administration Services Brokerage Committee Administration Mutual Funds Administration.
• Prepared statements of business issues for manager review.
• Discussed findings with operations management.
• Provided guidance on audit methodology, writing principles, and work paper presentation.