• Support the Head of Internal Audit/CAE with strategic planning, preparation of audit committee materials, discussions with home office internal audit bureau, and present at management key stakeholders meetings.
• Lead and oversee the annual risk assessment process evaluating the audit entities and developing a risk-based audit plan.
• Strengthen/maintain relationships with senior management across businesses, risk/control functions and external auditor.
• Supervise the execution of the audit plan, and provide strategic guidance and mentoring to staff members.
• Direct and supervise audits (including CIO, Treasury, Technology/Cybersecurity, Corporate Banking, etc.) from end to end including: establish objectives and scopes for audits including regulatory expectations where applicable, oversee the process and effectively communicate audit observations and recommendations with senior management.
• Lead and manage key initiatives for the Internal Audit Department including enhancing the audit methodology and quality assurance programs, implementing the audit issue tracking system, and providing relevant training to audit staff and business management.
• Perform continuous monitoring of business activities/events to ensure robust audit coverage based on the risk profile.
• Provide insights and perspectives to senior management with respect to regulatory requirements/expectations and best practices of risk identification and internal control.
• Liaise and coordinate with regulators to help facilitate examination requests and discussions, support management to prepare and deliver information/documentation to regulators (e.g., NYDFS, FRBNY).
• Manage/oversee the audit process, activities and deliverables from the outsourced audit service provider, and provide effective challenges to ensure quality and meeting IIA auditing standards.
• Provide consultative advice/commentary to business management to help support the company's strategic objectives, enhance risk management, internal controls and governance.
- Vice President / Audit Director at Internal Audit Department
- Senior Audit Manager/Director at Internal Audit Department
- Commissioned Bank Examiner at Financial Institution Supervision Group
- at Financial Institution Supervision Group
4 months at this Job
- Bachelor of Science - Business Management
Englewood, CO 2015 - Present
Oldest independent coal mining company in the US generating $1.4B in annual revenue.
Internal Audit Director
Manage full service, co-sourced internal audit organization of up to 16 global team members in driving substantial improvements to the control environment and mining operations. Design and implement internal audit programs and controls in business systems / processes, financial / accounting systems, IT, investigations, contracts, and business risk assessments. Partner with business owners to solve operational and compliance issues focusing on internal controls, governance, and risk management. Present audit and SOX results, issues, risks, hotline, and budget information quarterly to two Audit Committees. Ensure successful management of SOX compliance initiatives, IA annual plan process, whistleblower hotline communications, workforce integrity indicators, and results of enterprise, financial, and IT related risk assessments.
➢ Reset SOX 404 Compliance program centralizing four control environments into one COSO 2013 compliant environment.
➢ Reduced key controls 64%, saved $1.7M+ in audit costs / $500K in external audit fees, and decreased deficiencies 70% during tenure.
➢ Developed internal audit strategy and implemented risk-based annual audit strategy.
➢ Secured resources, established SOX compliance model, and created reporting structure for performance metrics.
➢ Oversaw investigations and institutionalized standard centralized investigation program across all risk areas.
➢ Implemented mining operations audit program encompassing engineering, environmental, fixed assets, HR, inventory, maintenance, procurement, and safety.
➢ Built cybersecurity risk profile and conducted cyber maturity assessment in accordance with NIST cybersecurity framework.
➢ Key contributor in establishing Cybersecurity team and cyber risk reporting framework for Audit Committees.
- Internal Audit Director at Westmoreland Coal Company
- Global Manager, Business Controls & Compliance, Internal Audits at Croc, Inc
- Internal Audit Director at Hastings Entertainment, Inc
4 years, 2 months at this Job
- Bachelor of Arts - Accounting
- Master of Business Administration - Management
• Independently oversaw the audit operation and audited citywide functions, programs, budgets and activities within a complex infrastructure environment.
• Served as the technical expert, and provided guidance, managerial and supervisory support.
• Functioned as a working (hands-on) supervisor-manager as auditor -in-charge or team leader 85% of the time.
• Administrated the contract with external auditor firm for audit of the city’s financial statements to include single audit activities and serve in role as chief liaison in dealing with external auditors to include Norfolk Public Schools, Economic Development Authority, and Norfolk Employees Retirement System.
• Developed three-year plans of audit coverage based on risk assessment of city programs, functions, operations, services, and funding sources involving transactions and programs more than $1.2 billion.
• Managed the City’s reporting system of fraud, waste, misappropriation, and abuse and launched related investigations and special reviews as deemed necessary, reporting to the city council annually of incidences.
• Restructured audit functions/organization to align with city council priorities (community building, economic development, education, public accountability, public safety, and regional partnership) and major service areas through the establishment of a liaison system with departments/agencies to promote a proactive and preventive strategy.
• Advised executive, and upper and mid-level management on internal control systems enhancement, resulting in more accountability to the public.
• Assessed proposed ordinances and management initiatives to identify financial and operational risks that may materialize into audit risks.
• Met at least annually with executive team, department heads, agencies heads, including the superintendent of schools to discuss risk areas and develop annual plan.
• Initiated Senate Bill 562 in the Virginia Senate during the 2004 legislation session to change the Virginia Code to include City Auditors investigative work as part of exemption under the Commonwealth’s Freedom of Information Act to align with that of the Auditor of Public Accounts.
• Established a fraud, waste, and abuse hotline in 2010 for citizens and employees to utilize.
• Convinced management, developed, and launched a City Ethics and Compliance Program with required bi-annual training for over 4,000 employees.
• Purchased and launched Auto Audit electronic working papers to automate the audit and investigation processes.
• Trained over 4,000 employees on ethics and compliance.
• Developed and presented workshops and training sessions on internal control systems, risk assessment, grants compliance for employees, vendors, and subrecipients.
• Functioned as the inhouse ACL resident.
• Served as team leader for over 10 Peer Reviews of other audit shops throughout the United States and as a member of the Association of Local Government Auditor (ALGA) Peer Review Committee for compliance with Government Auditing Standards.
- Audit Director(City Auditor) at City of Norfolk Virginia
- Senior Divisional Auditor/Litton Marine Systems at Litton Industries, Inc
- Audit Manager/Team Leader/Senior Auditor at City of Norfolk Virginia
- Team Leader/Acting Audit Manager (chief) at U.S. Army Military District of Washington/Fort Myer
17 years, 6 months at this Job
- BBA - Accounting
Manages internal audit teams, including resource allocation, engagement economics, delivery and execution
of reviews, coaching and development of individuals and reporting to client management
• Works on several Banking & Capital Market clients to provide internal audit services by evaluating key risks, identifying key business processes and controls and reporting to senior management and the Audit Committee
• Demonstrates a coaching role as a 'People Manager' to provide support and guidance to junior staff on their development and career at the firm
• Consistently rated as an outstanding performer who exceeds expectations
- Internal Audit Director at PricewaterhouseCoopers LLP
- at PricewaterhouseCoopers LLP
- Group Fitness Instructor at PricewaterhouseCoopers LLP
8 months at this Job
- Certified Public Accountant
Led a staff of 20 - 30 managers and auditors conducting audits of Postal Service operations and finances. Specifically, we conducted audits of local Post Office finances, including oversight and testing of Postal Service SOX implementation; Headquarters Postal Service acquisition, management, and use of data; and Headquarters Postal Service processes regarding their costing and pricing information. Routinely interacted with Postal Service senior leaders to discuss audit results and recommended solutions.
- Audit Director at United States Postal Service
- Audit Program Manager at United States Air Force
9 years, 8 months at this Job
· Working knowledge in IFRS, US GAAP and Insurance Statutory based accounting principles · Working experiences in SAP, Peoplesoft / Hyperion, and Workday · Audited general financial accounting close process, including review of accounting close policies, systems interface balancing controls, account reconciliations process, manual entries, accruals / estimates calculation, intercompany transactions, trial balance uploads and consolidation process. · Audited Accounts Receivables process: evaluated revenue cycle process including timeliness and accuracy of sales / revenue recognition, review of allowance for doubtful accounts based on historical trend, application of cash receipt, monitoring of aged outstanding receivables, collection, and write-off process. · Reviewed company’s financial planning / analysis / budgeting process via Analysis of cost centers actual vs budget to ensure budget variances are properly reviewed and adequately supported. Reviewed rolling forecast / mid-year review forecast process to evaluate approval / review process on revising budget. Reviewed P&L components, identifying key drivers of company’s performance and ensuring the accuracy of management report to the ledger. · Audited Accounts Payable process: evaluated three-way matching process, appropriate approval process in the systems, appropriate supporting documentation, and timeliness of payments to evaluate potential amount of savings. Performed analytics on Cost Center’s Travel & Expense to identify unfavorable trend / potential fraud. · Special projects including FCPA (Foreign Corrupt Practice Act) internal control review, whistleblowing investigation. · As part of the Internal Audit leadership, setting department’s directions and initiatives to improve Internal Audit process and to align with overall company’s direction. Manage fulfillment of annual audit plans, utilizing appropriate resource and facilitating audit scope planning, fieldwork, reporting, and follow-up. Manage communication of audit findings to the local Audit Committees and local executive leadership team. · Led an integration project, reorganizing two audit departments while directing the execution of audit plans. Achieved 50% cost-saving and fulfilled the integration date of having one regional audit department within a year time frame.
- Audit Director at ISACA
- Audit Director at CNA
- Audit Manager at Allianz Global Corporate Specialty
- Senior Auditor at Allianz Global Corporate Specialty
6 months at this Job
- Master of Business Administration - Business Administration
- Master of Science in Accountancy - Accountancy
- Bachelor of Arts in Finance - OTHERS
Responsibilities - Evaluating operations to ensure policies and procedures are in conformance with GAAP, GAAS, and COSO framework - Proactively providing insightful recommendations to business units in order to improve internal control procedures - Develop and execute the annual audit plan based on an assessment of business/financial risk, which provides adequate coverage of areas of significant exposure - Overseeing all aspects of the execution of the annual audit plan, ensuring resources are effectively deployed and costs are controlled - Ensure that appropriate test plans, process documentation, change control documentation and change control testing are performed for all IT based, business process based, and internal control based changes.
- Internal Audit Director at NYS
- First VP Internal Audit Director at Berkshire Bank
- VP Director of Internal Audit at Berkshire Bank
- VP Audit Manager at Berkshire Bank
3 years at this Job
- MBA - AIS/Information Assurance
- BS - Biology
- Audit Director at Colegio De San Juan De Letran
- Auditor at UNIVERSITY OF SANTO TOMAS
- Auditor at Eastern Telecom
- Auditor at Bacnotan Consolidated
7 years, 3 months at this Job
- BSBA - Accounting
(MAPNA GROUP is the biggest company in middle East. It has business enterprise with its 41 subsidiary companies with 17000 employees and 4.65 billion USD revenue. Since establishment in 1993, MAPNA Group has been involved in more than 100 projects valuing over 30 billion Euros)
• Prepared of all financial reports, including Profit and Loss Statement, Balance Sheet and Statement of Cash Flows and budgets.
• Prepared tax payments, Estimated and tracked tax returns, Completed quarterly and annual tax reports.
• Maintained and managed Asset Accounting system.
• Maintain books for multiple companies.
• Recorded asset additions, retirements, new depreciation book set-ups and forecasting cash needs for capital equipment.
• Financing and management of cash and other monetary assets and providing additional cash.
• Investigated financial cycles with an operational audit approach including: payroll cycle, fixed asset cycle, cost and payment cycle, revenue and receipt cycle, inventory cycle of materials and goods.
• Review and prepare annual internal and external auditing schedules and coordinate audit activities.
• Supervision calculation and payment of salaries.
• Establishment of internal control system and cost reduction amount 5000 million Rials.
- Chief Financial Officer, internal audit director at MAPNA Locomotive Engineering and Manufacturing Company
- Payroll accountant at Alam Ara Industrial Group ,Tehran ,IR (Producer of GRP Tubes and Industrial Glass Wool - Marand County (belonging to the Social Security and Development Organization))
- Financial supervisor, Augest at Bana Gostar Karaneh
7 years, 10 months at this Job
- Master of Science - Financial Management
- Bachelor of science - Accounting
Build positive relationships with audit partners and enhance overall internal controls throughout company. Develop audit programs with oversight of internal audits within several jurisdictions, including Procurement, Contract Administration, Business Services, Manufacturing and Treasury. Lead 35 audit managers and staff to foster partnerships and provide positive experience while completing audits.
• Designed and developed risk-based audit programs and audit plans in several jurisdictions including Treasury, Procurement, Business Services, Joint Ventures, Small Countries and Manufacturing.
• Provided business partners and executive management with detailed internal control and process improvement plans, addressing recurring unacceptable audit results.
• Improved audit efficiency and effectiveness by designing data analytics for use in procurement and travel expense reporting audits.
• Led SOX and operational audits in over 15 countries resulting in several inadequate audit opinions and leading to improved internal controls.
• Provided expertise, publishing white papers detailing control deficiencies and recommendations for strengthening internal control and risk environment.
• Cultivated best practices by developing and leading global audit trainings and exercises at annual global audit training conference for ~ 80 auditors.
- Audit Director at THE DOW CHEMICAL COMPANY
- Corporate Mergers & Acquisitions Leader at
- Divisional Controller - West Virginia Operations at UNION CARBIDE CORPORATION
- Financial Global Reporting Manager at THE DOW CHEMICAL COMPANY
8 years, 2 months at this Job
- Bachelor of Science - (BS), Business Administration - Accounting