Seasoned Audit professional with more than twelve years of experience organizing audit engagements, collecting and analyzing data to detect deficient controls, duplicated efforts, fraud, or non-compliance with laws, regulations, and management policies. Passionate about ensuring risks are properly assessed and addressed from the root cause. Skilled in reviewing financial statement data and preparing detailed audit finding reports.
Skills
Financial and Compliance Audits
Sarbanes Oxley (SOX)
International Audits and Reporting
Risk Assessment
GRC Systems: RCTS, ACL, AuditBoard, Auditfile
Financial Statement Analysis and Reporting
Remediation Implementation
Leadership
Bilingual (Spanish)
Nonprofit
Professional Experience
07/2021 to Current
Government Sector Audit ManagerBaker Newman Noyes Llc – Manchester, NH,
Collaborate with upper management to implement innovative ideas, processes, and technologies
Build and strengthen relationships with client management
Plan, organize, and control multiple projects, responsibilities, and resources to meet company objectives and goals, to include managing budgets for profitability and efficiency
Advise, coach, support, and encourage team members to increase retention and utilization
09/2019 to 07/2021
Audit SeniorSpectrum Brands – Waco, TX,
Plan and perform financial and compliance audits for a highly regulated alternative investment industry that includes introducing brokers, broker dealers, swap dealers, and hedge funds
Formulate recommendations, conclusions, and adjustments based on audit findings
Tasked as an agent for change in a firm with a vision for growth by creating templates and a workflow for auditors to follow
Implemented audit programs and processes to successfully conduct audits for a newly started nonprofit sector
Assigned to lead and complete the most complex and most profitable audits for the firm, to include companies with 700+ million in assets
Ensure proper GAAP reporting for Paycheck Protection Program (PPP) loans established by the Coronavirus Aid, Relief, and Economic Security Act (CARES Act)
01/2019 to 09/2019
SOX Compliance AnalystNorthstar Financial Services Group Llc – Philadelphia, PA,
Analyzed financial and operational processes to identify risks and control weaknesses for over 250 controls
Designed and implemented appropriate controls to strengthen control environment and mitigate risk for key divisions and processes of a 7 billion revenue Fortune 500 company
Documented and updated processes through collaboration with process owners
Identified root cause of financial reporting or operational control errors and developed remediation plans
Designed testing of operating effectiveness of newly implemented controls; designed and completed 200 testing spreadsheets in less than six months
Managed performance of internal audit procedures: developed, documented and implemented internal audit processes, and reviewed testing to ensure accuracy and efficiency for the Americas, Europe, and Australia
Examined and evaluated financial and information systems and processes, recommending 70+ improvements of controls over the course of six years to ensure system and process reliability and data integrity
Strategically increased the Compliance team's productivity by 50% or more through spearheading the implementation of ACL GRC risk management software and implementing various audit procedures such as a uniform process to streamline audit requests
Routinely conferred with company officials regarding financial and regulatory matters
Reported to senior management audit results and recommended changes in operations and financial activities
Coached and trained incoming staff, guest auditors and process owners
03/2009 to 10/2012
Audit SeniorPrado & Renteria Certified Public Accountants – City, STATE,
Planned and performed financial, compliance, single, and benefit plan audits, and audits of internal control over financial reporting
Participated with Big 4 firms (predominantly with Deloitte) 75% of the year in audit engagements such as City of Chicago, Cook County, City Colleges of Chicago
Identified and formulated recommendations, supporting conclusions, and adjustments based on audit findings
Prepared audit workpapers, audit files, and reports for manager and partner review
Directed workflow, supervised and reviewed audit testing, and provided training to new auditors
Managed own and team members' project budget to ensure timely and accurate completion of assignment
Performed company quality control review on government audits, nonprofit audits and compilations, benefit plan audits, and single audits
Education
Expected in 2008
Bachelor of Science: Accountancy Northern Illinois University - DeKalb, IL GPA:
Expected in 2008
Minor: French Language Northern Illinois University - DeKalb, IL GPA:
Certifications
Qualified to sit for the Certified Public Accountant (CPA) examination
Any information uploaded, such as a resume, or input by the user is owned solely by the user, not LiveCareer. For further information, please visit our Terms of Use.