risk regulatory advisory resume example

Operational Audits / Internal Control Reviews

• Review of third-party risk management to assess vendor contract compliance, governance processes and contractual enhancements.
• Lead walkthrough of processes and assessed internal controls of areas including (but not limited to) inventory, fixed assets, disbursements, revenue, T&E and payroll.
• Conducted business unit risk/control review of areas such as (but not limited to): Compliance Management Systems (CMS), Facilities, HR/Admin, Program and Strategy Management, Quality Assurance
• Performed consumer protection requirement reviews of consisting of building process maps, identifying gaps, identifying risks and controls
• Identified areas of process enhancements and automation to help drive efficiencies within the various projects
• Provided internal audit advisory services
• Participated in regulatory examination preparation and assistance
• Completed organization compliance assessments
• Communicated findings / recommendations via reporting to business unit managers, VPs, SVPs, and Executive Management

Sarbanes Oxley (SOX) Compliance Audits

• Lead SOX readiness projects
• Conducted walkthrough of business processes and assessed internal controls in areas that include (but are not limited to): consolidations, equity, financial reporting, payroll, risk management, plant property equipment, supply chain management, revenue, purchase to payables, inventory and revenue.
• Performed detailed testing to assess control design and control operating effectiveness.
• Identified errors/ inefficiencies in control design and/or control operating effectiveness, communicated results to management, and assessed remediation efforts.