SUMMARY

• Extremely experienced in the genre of Auditing and Compliance, having Big 10 Public, Non - Profit, Fortune 500, manufacturing, banking, service, governmental, Oil & Gas Production (Upstream and Midstream)/Natural Gas Physical and Financial Trading, construction & engineering experience.
• Tenured in the skillfulness of auditing (financial, operational, forensic, construction, IT System, contracts and Sarbanes-Oxley 302 and 404 Compliance, Japanese SOX (J-SOX), Italian “Model 231” SOX, financial analysis, and management, problem-solving and strategic planning.
• Responsible for examining and evaluating business activities and related risks for the purpose of ensuring regulatory compliance, safeguarding company assets and improving its systems of financial and operational controls; including making recommendations to company executives.
• More than 10 years of Managerial experience including simultaneously totaling more than 60 employees of multi-departments.

TECHNICAL SKILLS

• SAP, SAP MIC (SOX Software), Oracle, Lawson, FOCUS, Visio, TeamMate (Audit Software), Risk Control Tracking System
• Microsoft Office Suite, Internal Control Workbench (ICW), Risk Navigator, AS400, SAGE
• Advanced Purchasing and Inventory Computer System (ADPICS), and Advance Commercial Banking System.

PROFESSIONAL EXPERIENCE

Confidentia

Project Manager & Senior Forensic/Internal Auditor

Responsibilities:

• Provided SOX testing of internal controls and General IT Controls for International Oil & Gas Drilling and Exploration Services Company. Testing areas included daily business operations, financial and SEC Filings for completeness review;
• Conducted performance audits of building maintenance service contracts of several City of Houston locations and various departments. Reviewed contracts requirements and guidelines by conducting visuals observations and evaluation of Contractor and subcontractors work performances. Identified monitoring controls advantageous to the fulfillment of the contract specifications and developed the audit plan of those control requirements. Prepared Internal Audit Reports identifying audit issues as exceptions for management comments and feedback, General IT Controls;
• Conducted project construction audits for The Port of Houston Authority. Reviewed contract procedures from requisition through final contract closure walkthroughs, payment authorization, and financial records. Provided assurance on the construction costs and fees billed and compliance with the contracts executed, including the submittal processes, design project management, change order process and Percentage-of-Completion;
• Examined the bidding process, contract approvals, compliance requirements, purchase orders/change order procedures, work percentage completed records, payments, and other miscellaneous construction procedures;
• Reviewed the Houston Airport System (HAS) Office of Business Opportunity (OBO)” Pay or Play” Program (POP):
• Reconstructed through observation and research, the financial database, to account for checks received, contract compliance, and evaluated the effectiveness of the system and internal controls;
• Identified weaknesses in the internal control system structure, detected fraud and made recommendations to strengthen internal controls to reduce future fraud;
• Findings identified nearly $50,000 abused that led to the allegation of larceny charges filed and documentation used in legal proceedings.
• Conducted in-depth research on the labor and equipment billing for a pipeline construction project:
• Assembled paperwork for billing, timesheet information, and project site cost work logs, confirming coordinated statistical and financial data from various sources;
• Researched, analyzed and evaluated various documents to verify cost data and billings to the client;
• Enforced contract compliance for the use of personnel and equipment by reviewing the quantity and quality of both labor and materials.
• Provided SOX Compliance, General IT Controls Review, and financial/operational type audits as a consultant in the areas of LNG Upstream and Midstream Operations for Oil & Gas Company and International Chemical Manufacturing Company. Coordinated, scheduled and attended internal and external audit walkthroughs with senior personnel:
• General IT Controls testing included Unique ID, Access Rights, Active IDs validation, Extended Access Rights Controls, Approved Mitigation User Access, Roles created MOD User Access Reviews, User Incidents, Change Management, Ensured System Security, and Sustainable Operations for Storage and Backups.
• Including the development of the scope, approach, and work programs as well as the execution of audit procedures and risk assessment, documented audit findings, deviations, adjustments and improvements of controls and internal operations, validated IT controls (CobiT) to ensure compliance requirements are maintained;
• Executed and documented test plans and test results reported to control owners, including details regarding exceptions, overall conclusions, and control effectiveness;
• Discovered overstated employee’s bonus that exceeded the amount management’s approved.

Confidential

Accounting & SOX Administrator Manager

Responsibilities:

• Organized and facilitated key SOX and internal control design and operational assessment processes with Process Owners, Control Owners, and SOX leaders for testing and monitoring of controls and procedures;
• Coordinated and effectively communicated with diversified IT customer base that included many different audit areas and processes within the company;
• Liaise with IT, front/middle/back, and HR office staffs to ensure full understanding of data flow, security Policies & Procedures, data integrity, physical and logical system security;
• Coordinated and facilitated the implementation of Italian SOX requirements for assigned areas, including IT Systems;
• Management responsibilities for the sites’ adherence to corporate SOX internal controls and, Business Advisor to functional leaders on Crude, Products and Natural Gas compliance and audit matters. Managed and trained seniors and staff personnel on Italy’s SOX compliance. Managed the SOX data quality and reporting in the Internal Corporate Control System, and ensured appropriate segregation of duties across department functions and IT Systems Controls;
• Managed the General IT System Controls and Security, IT Policies Management, Internal and External Audit relationship functions to ensure appropriate segregation of duties across department functions and IT Systems Controls;
• Optimize resources to ensure successful completion of audits;
• Lead initiatives for continuous improvement in the effectiveness of the operational, contracts, financial, and IT audit processes;
• Provide input into the annual audit risk assessment and development of the audit plan.