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6-10 years of experience
Planned, scheduled, and managed numerous financial/operational audits for a $12B company resulting in the E2E development and implementation of a large number of solutions that saved millions.
- Directed a team that saved $24M/yr by rebuilding the billing methodology for a large joint venture deal.
- Coordinated a Finance/IT team in the accelerated (4 mths) design and building of a lease tracking/payment tool to handle a 1000% ($200M/yr) increase in leased equipment triggered by a $6B company acquisition.
- Supervised a cross-functional locomotive fueling efficiency team that identified and implemented significant operational changes that saved over $6M annually.
- Earned reduced KPMG fees by managing three years of of NS performed public audit work (2,000 hrs/yr).
6-10 years of experience
Planned, scheduled, and managed numerous financial/operational audits for a $12B company resulting in the E2E development and implementation of a large number of solutions that saved millions.
- Directed a team that saved $24M/yr by rebuilding the billing methodology for a large joint venture deal.
- Coordinated a Finance/IT team in the accelerated (4 mths) design and building of a lease tracking/payment tool to handle a 1000% ($200M/yr) increase in leased equipment triggered by a $6B company acquisition.
- Supervised a cross-functional locomotive fueling efficiency team that identified and implemented significant operational changes that saved over $6M annually.
- Earned reduced KPMG fees by managing three years of of NS performed public audit work (2,000 hrs/yr).
6-10 years of experience
Audited financial statements and disclosures of 14 affiliates and subsidiaries.
- Monitored adherence to various regulatory, legal and company prescribed procedures and internal controls by conducting operational audits and reviews of sales offices and corporate office departments.
- Reduced annual operating expenses over $497K as a result of planning and conducting a review of company-wide common area maintenance expenses.
- Wrote audit reports and management letters for review by the Director of Internal Audit and developed recommendations to correct deficiencies observed in audits and reviews.
- Communicated audit and review findings to CFO, Divisional Vice-presidents and Senior Management.
- Ensured adherence to internal controls, accurate recording of data and departmental and company budgetary constraints are met by developing audit programs and procedures.
- Saved the Company over $55K in annual external audit billable hours by assisting the external auditors in preliminary and year end field work.
0-5 years of experience
Conducted operational and financial audits and provided process improvement recommendations.
- Led a joint audit project to review accounting and finance processes of a Joint Venture in India
- Managed and reported on departmental expenses; maintained annual budget of $9M
- Identified over $500K in overpayments of Accounts Payables during review of freight payments
- Received “Best Employee” award, given to employees quarterly for exceeding expectations
- Managed Sarbanes Oxley control testing for “Entity Level Controls”
- Coordinated full inventory count at manufacturing plant and recommended process improvements
- Planned and coordinated monthly departmental learning events
0-5 years of experience
Interfaced with senior management to develop annual audit plan and to present audit results and recommendations.
- Found $1M of manual checks that was not booked to the G/L.
- Determined that the company was overcharged $750K in commissions.
- Helped revise or create numerous claim reports to improve efficiency.
- Planned, organized and performed full scope compliance and operational audits in accordance with Generally Accepted Auditing Standards and in the framework provided by the Committee of Sponsoring Organizations (COSO) of the Treadway Commission.
0-5 years of experience
Planned and performed information systems audits including: General Controls Review, Data Center Review, Telephone Systems Security Review, UNIX Security Review and Novell NetWare Security Review.
- Conducted all phases of audit processes including: audit planning, risk assessments, performing audit tests and analysis using CAATs, development of audit reports, and communicating audit results and recommendations to senior management.
- Supervised and performed internal control reviews to evaluate effectiveness and efficiency of operations in accordance with management policies and procedures.
- Supervised and performed financial audits in accordance with GAAP as well as statutory accounting principles prescribed by National Association of Insurance Commissioners.
- Planned, led and performed 10K, 10Q and 401(k) Retirement Benefit Plan audits.
- Participated in system development life cycle (SDLC) reviews which ensured effective control features were included in the design of the systems as well as in the production environment.
- Evaluated and documented system flow in various applications and functional processes.
0-5 years of experience
Assisted the Director of Internal Audit prepare the yearly audit and SOX schedule based on company needs and identified business risk.
- Developed and updated the Internal Audit department’s policies and procedure manual. Reviewed SOX and audit workpapers prepared by staff of 1 auditor.
- Tailored and developed an audit approach to ensure all significant risks areas are identified and tested.
- Performed quarterly internal audits related to compliance, operational and financial areas.
- Reported audit findings directly to senior management and brainstorm ideas to mitigate risk, and streamline operations, if necessary.
- Prepared quarterly Audit Committee reports, detailing audit and SOX progress, identify future audits based on risk assessment, and reported all findings and all follow-up procedures.
0-5 years of experience
Utilizing a top-down risk base approach I reduced the volume of SOX work through the rationalization of SOX controls.
- Mentored interns by growing their skill sets, maturing them into autonomous employees.
- Worked with Ernst and Young auditors to coordinated and perform ITGC SOX walkthroughs.
- Assisted in the creation of TeamMate projects through the TeamMate administrator role.
- Continuously responsible for no fewer than 10 active audits and multiple direct reports.
- Prepared and conducted senior level management briefings and set business process owner’s expectations.
0-5 years of experience
Supervised audit engagement teams; worked with Internal Audit Director on SOX 404 compliance efforts. Collaborated with business units to enhance internal control environment. Reviewed work performed by Audit Manager and consultants for content and accuracy; followed up on open items noted during review and ensured proper resolution. Planned, managed, documented, reviewed, and tested IT applications for all in-scope financial systems (i.e. Epicor, Laser, VCI, Hyperion, DealMaker)
- Led the documentation review of a $6M Oracle ERP implementation project for Internal Audit Buy in; ensured proper access rights, segregation of duties, and applications were established
- Uncovered internal fraud through in-depth expense account analysis
- Recommended the elimination of five manual reconciliations in the revenue and procure to pay cycles in favor of automated controls
- Created and implemented comprehensive tracking mechanism to help manage identified key controls beating the scheduled SOX controls testing and certification process by 60 days
0-5 years of experience
A $36 billion Fortune-100 financial holding company that provides commercial and retail banking services, and other financial services on a global basis (acquired by Wells Fargo in 2008).
- Planned, led and conducted operational audits of business units with a focus on risk assessment, business process controls, and compliance with applicable laws, regulations and policies.
- Performed audits requiring an understanding of accounting principles, operations and processes, technical knowledge of information systems, regulatory compliance including security and banking regulations, and industry and financial services practices and trends.
- Discussed deficiencies and communicated risk exposures noted during audit with client to validate findings and obtain responses.
- Synthesized issues and client feedback to develop audit reporting for presentation to business unit and Audit management.
- Supervised a team of 5-7 auditors. Conducted staff evaluations, mentoring, and promoted a learning culture.
0-5 years of experience
Lead the execution of financial and operational audits (including IT security) for 30 newspapers and direct marketing companies (independent operating companies) owned by the corporation.
- Documented business processes supporting financial and operational activities.
- Performed risk analysis of business processes across independent operating companies.
- Recommended process improvements to mitigate/eliminate risk.
- Presented audit findings to senior management and supported manager presentations to executive management and Audit Committee.
- Supervised work activities of Staff Auditor.
6-10 years of experience
Held responsibility for ensuring Sarbanes-Oxley compliance, including process mapping company’s business processes, risk and control identification/evaluation, as well as creation of validation methods. Tested and identified controls at company’s corporate, manufacturing, and distribution sites for Sarbanes-Oxley effort. Experience with ACL sampling and analytical testing.
- Oversaw control process document preparation. Utilized VISIO, SOX database and Oracle GRC.
- Led and performed nationwide operational audits of company’s manufacturing facilities, including extrusion, yarn, carpet tufting, rug weaving, bath mat tufting, pad/cushion manufacture, and carpet square manufacture.
- Directed and performed operational audits of company’s regional distribution centers and satellite distribution centers. Performed fraud investigation regarding fuel cards.
- Contributed to performance of two Dal-Tile Sales and Service Center audits.
- Served in company’s financial audit conducted by KPMG during interim/year-end. Performed inventory reconciliation review in 2009, lease expense review in 2010 and 2011, and revenue recognition review in 2009, 2010, and 2011.
6-10 years of experience
- Audited financial statements and operational activities of branches, divisions and subsidiaries of the bank that has over $100 billion assets and $2 billion net profit
- Analyzed reports, documentation and operating practices to ensure compliance with all regulatory and statutory requirements
- Presented audit results to audit committee and senior management with recommendations and procedures for remediation
- Investigated internal fraud activities, collected over $12 million by pursuing embezzlement cases
- Trained 500 stuff about the fraud activities and core banking regulations, engaged in continuous education and staff development
- Collaborated with Director of Internal Audit to design and implement practices, processes and tools that further the department’s vision and objectives
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[Senior Internal Auditor]
Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
