- 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.
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.
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.
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.
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.
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.
- 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.