Consulting Audit Manager/Director

• Jul 2023 - Present

Providing business consulting services for accounting and operational based activities, compliance and IT risk advisory. Demonstrating excellent project management and presentation skills; Inspiring strong teamwork among engagement team members, utilizing new and emerging technology, applications as well as tools to enhance the effectiveness and timeliness of deliverables and services for all clients, including the following: • Helping to oversee CNM’s Malaysia international team to test… Show more Providing business consulting services for accounting and operational based activities, compliance and IT risk advisory. Demonstrating excellent project management and presentation skills; Inspiring strong teamwork among engagement team members, utilizing new and emerging technology, applications as well as tools to enhance the effectiveness and timeliness of deliverables and services for all clients, including the following: • Helping to oversee CNM’s Malaysia international team to test sample selections identified for a property management firm based on process walkthroughs and remediation of noted control deficiencies. • Consulting for a Financial Services Trading company to establish areas for control design and test reporting. • Advising and conducting SOX review services for a $20 plus billion US bank, including planning, testing, reporting. • Managing audit operations over an e-commerce membership based national and organic food retailer. Show less Providing business consulting services for accounting and operational based activities, compliance and IT risk advisory. Demonstrating excellent project management and presentation skills; Inspiring strong teamwork among engagement team members, utilizing new and emerging technology, applications as well as tools to enhance the effectiveness and timeliness of deliverables and services for all clients, including the following: • Helping to oversee CNM’s Malaysia international team to test… Show more Providing business consulting services for accounting and operational based activities, compliance and IT risk advisory. Demonstrating excellent project management and presentation skills; Inspiring strong teamwork among engagement team members, utilizing new and emerging technology, applications as well as tools to enhance the effectiveness and timeliness of deliverables and services for all clients, including the following: • Helping to oversee CNM’s Malaysia international team to test sample selections identified for a property management firm based on process walkthroughs and remediation of noted control deficiencies. • Consulting for a Financial Services Trading company to establish areas for control design and test reporting. • Advising and conducting SOX review services for a $20 plus billion US bank, including planning, testing, reporting. • Managing audit operations over an e-commerce membership based national and organic food retailer. Show less

Advisory Cloud Board Member

• Jun 2023 - Sep 2023

● Providing technical advise to the Audit Committee, CFO and others in management on pre and post public SOX compliance requirements. ● Advising Boards and mgt. on all other audit and compliance needs. ● Providing technical advise to the Audit Committee, CFO and others in management on pre and post public SOX compliance requirements. ● Advising Boards and mgt. on all other audit and compliance needs.

Vice President Internal Auditor

• Jun 2021 - Apr 2023

● Reporting to the Audit Committee, CFO and leading Internal Audit function identifying, designing and testing of SOX financial and IT controls as well as Risk Assessment over operational processes and compliance and value add consulting to ensure business operations are best in class. ● Strategically engaging key business leaders, training and transforming first year SOX control compliance and ensuring Internal Audit involvement remains aligned with priorities of the company. ●… Show more ● Reporting to the Audit Committee, CFO and leading Internal Audit function identifying, designing and testing of SOX financial and IT controls as well as Risk Assessment over operational processes and compliance and value add consulting to ensure business operations are best in class. ● Strategically engaging key business leaders, training and transforming first year SOX control compliance and ensuring Internal Audit involvement remains aligned with priorities of the company. ● Implementing data and risk analytics and SaaS automation to develop audit planning, execution and reporting. ● Provide technical assistance with investigations, special audits, and other subject-matter expertise to senior management. ● Established and chair the SOX Steering Committee and facilitated the Disclosure Committee with senior management. ● Coordinate with senior finance, IT and Supply Chain management the work of external auditors for proper regulatory controls and external audit reporting. Show less ● Reporting to the Audit Committee, CFO and leading Internal Audit function identifying, designing and testing of SOX financial and IT controls as well as Risk Assessment over operational processes and compliance and value add consulting to ensure business operations are best in class. ● Strategically engaging key business leaders, training and transforming first year SOX control compliance and ensuring Internal Audit involvement remains aligned with priorities of the company. ●… Show more ● Reporting to the Audit Committee, CFO and leading Internal Audit function identifying, designing and testing of SOX financial and IT controls as well as Risk Assessment over operational processes and compliance and value add consulting to ensure business operations are best in class. ● Strategically engaging key business leaders, training and transforming first year SOX control compliance and ensuring Internal Audit involvement remains aligned with priorities of the company. ● Implementing data and risk analytics and SaaS automation to develop audit planning, execution and reporting. ● Provide technical assistance with investigations, special audits, and other subject-matter expertise to senior management. ● Established and chair the SOX Steering Committee and facilitated the Disclosure Committee with senior management. ● Coordinate with senior finance, IT and Supply Chain management the work of external auditors for proper regulatory controls and external audit reporting. Show less

Vice President of Policy Risk Management and Programs

• Sep 2020 - Jun 2021

● Led five divisions in developing and testing risk management procedures and Business Continuity Planning and reporting (Personal Business, Commercial, Entertainment, Specialty and Real Estate). ● Successfully implemented adherence to Heightened Standards regulatory requirements, Risk Control Self Assessments for quarterly Risk Committee reporting to ensure Key Risk Indicators were met. ● Developed and ensured management adherence for each division's Risk Committee Charter, successful… Show more ● Led five divisions in developing and testing risk management procedures and Business Continuity Planning and reporting (Personal Business, Commercial, Entertainment, Specialty and Real Estate). ● Successfully implemented adherence to Heightened Standards regulatory requirements, Risk Control Self Assessments for quarterly Risk Committee reporting to ensure Key Risk Indicators were met. ● Developed and ensured management adherence for each division's Risk Committee Charter, successful remediation follow up for any control gaps identified and facilitated deck presentations to show compliance to all risk metrics standards. ● Ensured procedure adherence to policy including review over risk control self-assessments. Show less ● Led five divisions in developing and testing risk management procedures and Business Continuity Planning and reporting (Personal Business, Commercial, Entertainment, Specialty and Real Estate). ● Successfully implemented adherence to Heightened Standards regulatory requirements, Risk Control Self Assessments for quarterly Risk Committee reporting to ensure Key Risk Indicators were met. ● Developed and ensured management adherence for each division's Risk Committee Charter, successful… Show more ● Led five divisions in developing and testing risk management procedures and Business Continuity Planning and reporting (Personal Business, Commercial, Entertainment, Specialty and Real Estate). ● Successfully implemented adherence to Heightened Standards regulatory requirements, Risk Control Self Assessments for quarterly Risk Committee reporting to ensure Key Risk Indicators were met. ● Developed and ensured management adherence for each division's Risk Committee Charter, successful remediation follow up for any control gaps identified and facilitated deck presentations to show compliance to all risk metrics standards. ● Ensured procedure adherence to policy including review over risk control self-assessments. Show less

Senior Management Consultant

• Oct 2019 - Sep 2020

● Coordinated with Senior Risk Management to implement City National Bank's (A Royal Bank of Canada company) Heightened Standards program using their enterprise risk framework. ● Developed metrics thresholds and other key management programs for credit, price, operational, reputational and strategic risk areas in their residential, commercial and personal business banking divisions. ● Completed the project management and reporting of key tasks leading up to the implementation of… Show more ● Coordinated with Senior Risk Management to implement City National Bank's (A Royal Bank of Canada company) Heightened Standards program using their enterprise risk framework. ● Developed metrics thresholds and other key management programs for credit, price, operational, reputational and strategic risk areas in their residential, commercial and personal business banking divisions. ● Completed the project management and reporting of key tasks leading up to the implementation of Heightened Standards requirements. Show less ● Coordinated with Senior Risk Management to implement City National Bank's (A Royal Bank of Canada company) Heightened Standards program using their enterprise risk framework. ● Developed metrics thresholds and other key management programs for credit, price, operational, reputational and strategic risk areas in their residential, commercial and personal business banking divisions. ● Completed the project management and reporting of key tasks leading up to the implementation of… Show more ● Coordinated with Senior Risk Management to implement City National Bank's (A Royal Bank of Canada company) Heightened Standards program using their enterprise risk framework. ● Developed metrics thresholds and other key management programs for credit, price, operational, reputational and strategic risk areas in their residential, commercial and personal business banking divisions. ● Completed the project management and reporting of key tasks leading up to the implementation of Heightened Standards requirements. Show less

Senior Vice President and Head of Internal Audit and Compliance

• Dec 2005 - Jul 2019

● Led Internal Audit for this global $4 billion content provider, reported directly to the Audit and Risk Committee of the Board of Directors and administratively to the CFO. ● SOX Financial and IT compliance reporting with no material deficiencies (financial system - SAP). ● Implemented various due diligence and SOX/process controls for 8 acquisitions. ● Led fraud investigation identifying $1.8 million in embezzlement and $1.2 million in recoveries. ● Conducted operational audit… Show more ● Led Internal Audit for this global $4 billion content provider, reported directly to the Audit and Risk Committee of the Board of Directors and administratively to the CFO. ● SOX Financial and IT compliance reporting with no material deficiencies (financial system - SAP). ● Implemented various due diligence and SOX/process controls for 8 acquisitions. ● Led fraud investigation identifying $1.8 million in embezzlement and $1.2 million in recoveries. ● Conducted operational audit resulting in recoveries over $16 million. ● Initiated and maintained successful Whistle Blower reporting process. ● Reduced by 24% overall audit testing time for process owners and auditors (see attached videos). ● Established company-wide Business Continuity Plans. ● Coordinated external audit SOX compliance reviews. Show less ● Led Internal Audit for this global $4 billion content provider, reported directly to the Audit and Risk Committee of the Board of Directors and administratively to the CFO. ● SOX Financial and IT compliance reporting with no material deficiencies (financial system - SAP). ● Implemented various due diligence and SOX/process controls for 8 acquisitions. ● Led fraud investigation identifying $1.8 million in embezzlement and $1.2 million in recoveries. ● Conducted operational audit… Show more ● Led Internal Audit for this global $4 billion content provider, reported directly to the Audit and Risk Committee of the Board of Directors and administratively to the CFO. ● SOX Financial and IT compliance reporting with no material deficiencies (financial system - SAP). ● Implemented various due diligence and SOX/process controls for 8 acquisitions. ● Led fraud investigation identifying $1.8 million in embezzlement and $1.2 million in recoveries. ● Conducted operational audit resulting in recoveries over $16 million. ● Initiated and maintained successful Whistle Blower reporting process. ● Reduced by 24% overall audit testing time for process owners and auditors (see attached videos). ● Established company-wide Business Continuity Plans. ● Coordinated external audit SOX compliance reviews. Show less

Director of Internal Audit

• Feb 2004 - Dec 2005

● Directed Audit for this global leading $600 million telecom software/hardware technology provider. ● Reported administratively to the CEO and functionally to the Audit and Risk Committee. ● Recovered over $10 million due to operational audits. ● Coordinated all external audit work. ● Implemented their SOX financial compliance process, including ITGC’s (Oracle/ADP) and Entity Level controls. ● Directed Audit for this global leading $600 million telecom software/hardware technology provider. ● Reported administratively to the CEO and functionally to the Audit and Risk Committee. ● Recovered over $10 million due to operational audits. ● Coordinated all external audit work. ● Implemented their SOX financial compliance process, including ITGC’s (Oracle/ADP) and Entity Level controls.

Director of Financial Planning and Analysis

• Dec 2002 - Feb 2004

● Led $136 billion FP&A (14th largest in US revenues) multinational medical/nuclear pharma distributor. ● Hired and lead a staff of eight, reporting to the company CFO on their nuclear pharma operations. ● Established controls policy and procedures for the new nuclear pharma global operations. ● Provided technical leadership in identifying financial planning objectives and performance metrics. ● Supported SAP budgeting, forecasting, month-end close, and financial analysis in… Show more ● Led $136 billion FP&A (14th largest in US revenues) multinational medical/nuclear pharma distributor. ● Hired and lead a staff of eight, reporting to the company CFO on their nuclear pharma operations. ● Established controls policy and procedures for the new nuclear pharma global operations. ● Provided technical leadership in identifying financial planning objectives and performance metrics. ● Supported SAP budgeting, forecasting, month-end close, and financial analysis in support of senior management. Show less ● Led $136 billion FP&A (14th largest in US revenues) multinational medical/nuclear pharma distributor. ● Hired and lead a staff of eight, reporting to the company CFO on their nuclear pharma operations. ● Established controls policy and procedures for the new nuclear pharma global operations. ● Provided technical leadership in identifying financial planning objectives and performance metrics. ● Supported SAP budgeting, forecasting, month-end close, and financial analysis in… Show more ● Led $136 billion FP&A (14th largest in US revenues) multinational medical/nuclear pharma distributor. ● Hired and lead a staff of eight, reporting to the company CFO on their nuclear pharma operations. ● Established controls policy and procedures for the new nuclear pharma global operations. ● Provided technical leadership in identifying financial planning objectives and performance metrics. ● Supported SAP budgeting, forecasting, month-end close, and financial analysis in support of senior management. Show less

Director Internal Audit

• Mar 2001 - Dec 2002

$1 billion plus nuclear pharmaceutical provider; reported to the CFO and the Audit Committee. ● Established the Pharmaceutical IA Department, leading professional staff and consultants. ● Recovered $15 million in operational audits; facilitated prosecution of employee for embezzlement. ● Developed and ran the due diligence pharmacy controls acquisition and integration committee. ● Implemented pre-SOX company-wide pharmacy financial and operational key controls testing process… Show more $1 billion plus nuclear pharmaceutical provider; reported to the CFO and the Audit Committee. ● Established the Pharmaceutical IA Department, leading professional staff and consultants. ● Recovered $15 million in operational audits; facilitated prosecution of employee for embezzlement. ● Developed and ran the due diligence pharmacy controls acquisition and integration committee. ● Implemented pre-SOX company-wide pharmacy financial and operational key controls testing process. Show less $1 billion plus nuclear pharmaceutical provider; reported to the CFO and the Audit Committee. ● Established the Pharmaceutical IA Department, leading professional staff and consultants. ● Recovered $15 million in operational audits; facilitated prosecution of employee for embezzlement. ● Developed and ran the due diligence pharmacy controls acquisition and integration committee. ● Implemented pre-SOX company-wide pharmacy financial and operational key controls testing process… Show more $1 billion plus nuclear pharmaceutical provider; reported to the CFO and the Audit Committee. ● Established the Pharmaceutical IA Department, leading professional staff and consultants. ● Recovered $15 million in operational audits; facilitated prosecution of employee for embezzlement. ● Developed and ran the due diligence pharmacy controls acquisition and integration committee. ● Implemented pre-SOX company-wide pharmacy financial and operational key controls testing process. Show less

Director of Internal Audit and Head of Cash Disbursements

• May 1997 - Mar 2001

$250 million HMO providing medical and dental services for Commercial, Medi-Cal and Medicare members. ● Directed professional audit staff; reported directly to the CEO and the Medical and Financial Audit Committee. ● Recovered $22 million from financial and operational audits. ● Managed and controlled the Cash Disbursement’s function after fraud was identified. ● Lead confidential task forces involved with Federal and State regulators resulting in prosecutions of $4 million. $250 million HMO providing medical and dental services for Commercial, Medi-Cal and Medicare members. ● Directed professional audit staff; reported directly to the CEO and the Medical and Financial Audit Committee. ● Recovered $22 million from financial and operational audits. ● Managed and controlled the Cash Disbursement’s function after fraud was identified. ● Lead confidential task forces involved with Federal and State regulators resulting in prosecutions of $4 million.

Operational and Financial Manager (Durable Medical Equipment)

• Mar 1996 - May 1997

Accountant - Audit Supervisor

• Nov 1986 - Mar 1996

$12 billion home, car and life insurer. ● Started in accounting department (Nov, 1986 - May 1987). ● Audit junior through supervising a professional audit staff (June, 1987 - November, 1996). ● Recovered $20 million from financial and operational audits. ● On behalf of Farmers, worked under the supervision of external audit firm Deloitte and Touche (Farmers External auditors) to be certified as a CPA. $12 billion home, car and life insurer. ● Started in accounting department (Nov, 1986 - May 1987). ● Audit junior through supervising a professional audit staff (June, 1987 - November, 1996). ● Recovered $20 million from financial and operational audits. ● On behalf of Farmers, worked under the supervision of external audit firm Deloitte and Touche (Farmers External auditors) to be certified as a CPA.

Lead Senior Auditor

• Jan 1988 - Jul 1991

While with Farmers Insurance, worked annual winters as senior lead auditor for external audit firm Deloitte and Touche on their annual engagements (included regional travel). Worked directly under the supervision of Deloitte and Touche management until CPA certified. While with Farmers Insurance, worked annual winters as senior lead auditor for external audit firm Deloitte and Touche on their annual engagements (included regional travel). Worked directly under the supervision of Deloitte and Touche management until CPA certified.

Tax Payer Representative

• Jun 1986 - Nov 1986

Discussed with tax payers their tax obligations, provided technical support on their returns and informed them on where to go for additional guidance. Discussed with tax payers their tax obligations, provided technical support on their returns and informed them on where to go for additional guidance.