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Risk Compliance and Controls Manager Resume Example

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RISK COMPLIANCE AND CONTROLS MANAGER
Summary

An experienced finance and accounting practitioner with combined 15 years of providing financial statement audits, internal audits, SOX compliance and SOX readiness services to clients in various industries. Specializes in SOX readiness, SOX compliance, process improvement and internal audits in health care, consumer and industrial products, and real estate and hospitality industries. Served as a financial statements auditor in one of the big international audit firms and in one of the Big 4, and specialized in executing and leading IFRS and US GAAP financial statement audits for clients in consumer and industrial products, real estate, aviation and not-for-profit industries.

Skills
  • Sarbanes-Oxley (SOX) 404 Requirements
  • Financial and Compliance Audit
  • Risk Assessments
  • US GAAP, IFRS and PCAOB Standards
  • Controls Testing
  • Audit oversight
  • Staff development
  • Project management
Experience
Company Name | City, StateRisk Compliance and Controls Manager08/2019 - Current
  • Manages SOX, SOX readiness and internal controls assessment projects.
  • Coordinates SOX assessment and testing with clients and their external auditors.
  • Performs and oversees annual risk assessments and scoping for SOX projects.
  • Manages the completion of projects according to established procedures and agreed timelines.
  • Reviews testing exceptions and evaluates findings for severity.
  • Recommends best practices to clients on controls and process documentation and remediation of findings.
  • Prepares testing and findings summary reports and presents to clients' Audit Committee.
  • Created and managed training classes to educate new hires and existing employees on Sarbanes Oxley.
Company Name | City, StateControls Advisory Senior Associate04/2016 - 07/2019
  • Led and supervised SOX and internal control assessment projects.
  • Performed risk assessment and scoping for SOX and internal control assessment projects.
  • Prepared SOX and internal audit programs.
  • Supervised the successful execution of audit programs according to agreed timeline.
  • Effectively communicated to clients testing findings and provided remediation recommendations to fix controls issues and improve clients' business processes.
  • Prepared summary and detailed evaluations of testing exceptions and findings for severity.
  • Delivered consistent and quality mentoring, training and onboarding for teams of staff members.
Company Name | City, StateAudit Senior Associate11/2012 - 03/2016
  • Managed staff of various skill levels to perform external audit reviews under US GAAP.
  • Planned and implemented risk based financial statements audits.
  • Evaluated the design and operating effectiveness of clients' internal controls.
  • Reviewed client-prepared financial statements against the US GAAP and other US reporting requirements.
  • Supervised, trained and mentored associates and interns on audit engagements.
Company Name | City, StateAudit Senior12/2010 - 10/2012
  • Performed risk assessments and scoping for financial statement audits.
  • Identified, tested and evaluated the design and operating effectiveness of clients' internal controls.
  • Supervised timely completion of audits from planning to archiving within agreed time frames.
  • Recommended remediation for identified issues to improve internal clients' controls.
  • Assisted in the preparation of the clients' financial statements based on disclosure requirements of different applicable governing laws such as IFRS and the Maltese Companies Act.
Company Name | City, StateAudit In-Charge / Audit Senior07/2008 - 10/2010
  • Performed external audit reviews under International Accounting Standards for clients in various industries including real estate and construction.
  • Planned and implemented risk-based financial statements audits.
  • Reviewed work of audit assistants to ensure compliance with audit program.
  • Discussed issues and results of the examination of the financial statements and review of internal controls with appropriate client personnel.
  • Identified financial statements errors and misstatements to ascertain compliance with established accounting standards, procedures, and internal controls.
  • Prepared and reviewed financial audit reports for all audit engagements and other reports on findings and recommendations to improve the clients' accounting and operating practices.
Company Name | City, StateAudit Staff Associate11/2006 - 06/2008
  • Audited clients in the various industries, including real estate and construction, merchandising, BPO, call center and online job advertising and not-for-profit organizations (foundation, cooperative and sports and recreational center).
  • Assisted the Audit Senior or In-charge in planning the audits through performance of planning and substantive procedures.
  • Assisted in the successful completions of audits through review and preparation of audit deliverables including preparation of Service Attestation Reports (SAR) in compliance with SSAE18.
Education and Training
Holy Angel University | | City, PhilippinesBachelor of Science in Accountancy04/2006

Graduated Magna Cum Laude

Holy Angel University | CityBachelor of Science in Business Administration, Finance and Management Accounting04/2005

Graduated Magna Cum Laude

Certifications
  • Certified Public Accountant in Virginia
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Resume Overview

School Attended

  • Holy Angel University

Job Titles Held:

  • Risk Compliance and Controls Manager
  • Controls Advisory Senior Associate
  • Audit Senior Associate
  • Audit Senior
  • Audit In-Charge / Audit Senior
  • Audit Staff Associate

Degrees

  • Bachelor of Science in Accountancy
    Bachelor of Science in Business Administration, Finance and Management Accounting

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