Experience

BankVision, Inc.

• Banking
• 1 - 100 Employee

• Senior Audit Consultant

  • Oct 2019 - Present

  • Responsible for the execution of bank client audits, testing discipline, control and process assessment, documentation deliverables, and reporting and presenting results to management. Audits require professional independent judgement over the control environment, ability to collaborate with Bank Management, understand complex challenges, evaluation of auditees experience level, behaviors, adherence to procedures and customer service. • Audits included various scope areas: Finance, Accounting, Investments, Branch and Central Operations, Human Resources and Electronic Banking. Show less



CAREER HIGHLIGHTS

• San Francisco Bay Area

• ACCOMPLISHMENTS

  • 2023 - Present

  • Designed and developed an integrated financial model and business plan for a medical equipment trust. ASHS • Managed a project to redesign processes causing $944B in pricing errors and automated the FDA approval process by evaluating PeopleSoft control gaps remediating deficiencies and financial system errors. KP • Cut costs $3M-$6M annually developing a cash payment discount methodology in compliance with wholesaler terms, resulting in more favorable contract renewal terms. KP • Reduced revenue budget variances to 2.5% from 15% by establishing internal processes and financial models producing accurate forecasts and accruals continually improving target analysis. KP • Conducted PPNR gap analysis and schedule sourcing for the IHC reducing consulting costs $300K. BWE/BNPP • Project Manager to co-develop a SaaS product pricing strategy, implementing contract and pricing guidelines and developing a pricing tool for sales operations, resulting in increased software subscription $2.5M and maintenance subscription revenue 2.5% compounding annually and reduced extended contract acceptance clauses 15%. Amdahl/Fujitsu Softek S/W • Project Manager for financial integration and analysis of a software company resulting in successful retirement of a product line saving $50M annually. Amdahl/Fujitsu Softek S/W • Initiated and executed a project redesigning the retail compensation plan to include revenue and account metrics that resulted in 100K new customer accounts in the first year. Received an award for the plan design. Charles Schwab • Developed a risk management strategy reducing future audit hours 33% annually by designing and implementing a routine self-monitoring program expediting identification of control weaknesses. KP • Program Manager over PSOS system design and development to automate reporting invoice and payment processes decreasing the revenue collection cycle 45 days by establishing a repeatable and sustainable methodology. KP Show less



Mechanics Bank

• United States
• Banking
• 700 & Above Employee

• VP Internal Audit

  • Jun 2017 - Oct 2019

  After RaboBank Merger audit moved out of the Bay Area • Evaluated audit and enterprise risk assessments, led audit planning, staffing, controls testing and business execution compliance delivering timely completion. Responsible for coordination and oversight of IT, FDICIA, and various operational audits with issue owners and accountable executives and review and preparation of closure packages. • Responsible for drafting audit reports, risk remediation monitoring, work paper and staff audit report review. • Communicated written and verbal audit results effectively and timely to management and audit committee. • Facilitated, managed and evaluated external and co-sourced audit vendor budgets and contract compliance. Effectively partnered and established relationships to collaborate with compliance, enterprise risk management, and external auditors while maintaining independence. Co-Audit liaison with FDIC IT regulatory examination. • Member of the Operational and Enterprise Risk Committees working closely with Compliance Risk Officer. • Managed the internal audit staff to provide guidance and training using sound judgment to evaluate business and external risks with evolving regulations, industry and economic events that may impact the bank and the operational risk profile. CPE training: BCG, IIA, ISACA Seminars/Webinars to remain knowledgeable on changes. Show less



Bank of the West

• United States
• Banking
• 700 & Above Employee

• EDM Finance: Manager CCAR Reporting, Vice President, Previous: Consultant Project Manager

  • Jun 2014 - Apr 2017

  Managed the CCAR historical and current FR Y 14 M/Q reporting and analysis process. CONTRACT PROJECT MANAGER 06/14-08/15, EMPLOYEE 08/15-04/17 Reason for Leaving: LAYOFF’S and POSITIONS MOVED OUT OF STATE • Performed analytical risk assessments and audits applying analytical skills and GAAP principles on ICOFR processes and IPE spreadsheet data integrity supporting high risk footnote disclosures for COSO 13 compliance and controls gap analysis based on existing policies and procedures making control improvement recommendations. • Managed and audited the CCAR financial reporting over the FR Y 14 M/Q for sensitive data compliance/ accuracy. • Audited data management deficiencies, MRA’s and issues by building partnerships with Data Governance and IT. • Developed strategies, templates and checklists for SME’s to communicate updates, document and assess regulatory industry forum communications and requirement changes to ensure timely and accurate compliance. • Liaised with stakeholders, cross organizational business units and external auditors to design and embed controls and compliance standards driving organizational change to ensure risk mitigation and process sustainability. • Reported to the PMO and Steering Committee to facilitate decision making and issue escalation. • Established policy and procedure documentation framework to maintain and ensure regulatory compliance. • Strategy lead managing reports highlighting data analysis and reconciliation on data quality and integrity. • Created a detailed project plan to ensure the CCAR/DFAST annual reports were submitted accurately and timely. Show less



Kaiser Permanente

• United States
• Hospitals and Health Care
• 700 & Above Employee

• Director of Finance: SOX Compliance & Internal Controls

  • Mar 2006 - Mar 2014

  Launched 2 National Pharmacy Departments. 1) Internal & Financial Controls and SOX Compliance 2) Rebates Reporting and Analysis Pharmacy Division: Managed and streamlined the SOX compliance program. Managed pharmaceutical rebates revenue financial planning functions and receivables processes. leading to high quality analysis. Led the OPPR PMO SOX and Business Compliance work streams. Led work streams for 2 major system implementation efforts. IT Technology Risk Organization: Managed the business and financial operations work streams for Integrated Risk Information Security Services group. • Managed and streamlined the SOX internal controls compliance, self-testing certification under Section 302 and 404 of Sarbanes Oxley Act reducing the audit scope under the Model Audit Rule risk assessment. • Managed audit planning, staffing, testing, developed documentation, designed controls, policies and implemented a self-monitoring program consulting with the SOX PMO. Proactively practiced leadership and influence management, and managed governance risks in consult with senior leaders, business units, regulators, and external auditors. • Responsible for financial business management and project plans for Integrated Risk and Pharmacy Divisions. • Designed and implemented e-Procurement financial controls and processes for multiple large scale applications. • Developed project plans, managed vendor RFPs and budgets, and led compliance and financial work streams. • Nominated for and completed the Leadership Training Program. Show less



Consultant: Poject Management, Finance and Audit Compliance

• San Francisco Bay Area

• Professional Consultant

  • Jan 2004 - Mar 2006

  Finance: Conducted general accounting functions, process improvement, performed FP&A and audit management. Roles included execution of timely and accurate account reconciliation, payroll management, cash flow, accounts payable /receivables management and billing, business and financial documentation, modeling and forecasting. Project / Program Management: Project Lifecycle: Created project plans, budgets, wrote RFP’s, managed SOW’s, monitored spending, work stream management, documentation, stakeholder communications and project status reporting. Show less



Indus International Software

• Atlanta Metropolitan Area

• Director of FP&A

  • Sep 2002 - Dec 2003

  Reason for Leaving: Position Relocated to Atlanta permanently. (Consulted from 01/2004-03/2006 - See Consulting section in profile above) Directed Financial Planning and Analysis processes for Research and Development and IT and Customer Service Divisions. Managed corporate initiatives and strategic planning projects including mergers and acquisitions due diligence and integration, and SOX compliance. Reason for Leaving: Position Relocated to Atlanta permanently. (Consulted from 01/2004-03/2006 - See Consulting section in profile above) Directed Financial Planning and Analysis processes for Research and Development and IT and Customer Service Divisions. Managed corporate initiatives and strategic planning projects including mergers and acquisitions due diligence and integration, and SOX compliance.



Bristol Myers Squibb

• United States
• Pharmaceutical Manufacturing
• 700 & Above Employee

• Sr. Manager Customer Profitability

  • Dec 2001 - Sep 2002

  Reason for Leaving: Accepted an traditional FP&A vs Pricing • Managed pharmaceutical billing chargeback operations, including pricing contract management and A/R functions. • Directed the month end accounting general ledger review of the pricing process, revenue trend analysis and account reconciliation. Reason for Leaving: Accepted an traditional FP&A vs Pricing • Managed pharmaceutical billing chargeback operations, including pricing contract management and A/R functions. • Directed the month end accounting general ledger review of the pricing process, revenue trend analysis and account reconciliation.



Business Engine

• Software Development
• 1 - 100 Employee

• Director of Finance

  • Jun 2000 - Jul 2001

  Reason for leaving: Care for an ill parent • Managed all functions related to corporate FP&A and business impact analytics and created interactive financial statements, cash flow and capital structure models. Partnered in creation of Board and other financial reports. • Designed a tiered sales compensation plan and complex forecasting and payment support tools and evaluated the pipeline strength for the EVP of Sales and Marketing. • Responsible for account analysis, accruals, accounts payable purchase order review, and adhoc accounting. Show less



Fujitsu

• IT Services and IT Consulting
• 700 & Above Employee

• Finance Manager Software Division

  • May 1998 - May 2000

  Managed all the software financial reporting and business analytics corporate wide. Performed software product line analysis and due diligence. Responsible for monitoring and reviewing all reseller and sales agreements and ensuring that SOP 97 guidance was followed. Key player involved in transforming the software division into a standalone company. Promoted after 1 year. Managed all the software financial reporting and business analytics corporate wide. Performed software product line analysis and due diligence. Responsible for monitoring and reviewing all reseller and sales agreements and ensuring that SOP 97 guidance was followed. Key player involved in transforming the software division into a standalone company. Promoted after 1 year.



Charles Schwab

• United States
• Financial Services
• 700 & Above Employee

• Finance Manager

  • Jul 1993 - May 1998

  • Managed FP&A functions and implemented process changes reducing business unit variances from 15% to 2%. • Developed a program to identify system errors understating securities by $300M and re-pricing 3,000 securities, increasing assets by $150M. • Maintained and managed the asset tracking system and regulatory reporting for retail and institutional operations. • Managed and designed retail incentive plans based on KPI metrics (assets, customer service, revenue, accounts). • Managed FP&A functions and implemented process changes reducing business unit variances from 15% to 2%. • Developed a program to identify system errors understating securities by $300M and re-pricing 3,000 securities, increasing assets by $150M. • Maintained and managed the asset tracking system and regulatory reporting for retail and institutional operations. • Managed and designed retail incentive plans based on KPI metrics (assets, customer service, revenue, accounts).