Financial services professional with 10 years of combined experience in business operations management, IT consulting, and internal and external auditing, and process redesign. Internal control expert in information security, application/database and infrastructure level security administration, technology governance, vendor management, business continuity planning, system development lifecycle, system change management, library management, and system interface control. Dynamic manager with strong analytical, problem solving, and decision making skills. Detailed oriented with a strategic big-picture view and a proven track record of successfully leading large cross-functional teams, while focusing on talent management. Consistently demonstrates the ability to successfully design and lead large operational and technology audit projects, with the objective of improving internal control. Results driven, passionate, and high energy professional, focused on driving long term strategic growth.
Microsoft Office Suite, Great Plains, Lawson, Ceridian, AS/400, UNIX, Windows Active Directory, web-based application, AX
10/2011 to Current
Senior Auditor - Director of Internal AuditCompany Name － City, State
Responsible for strategically designing and leading risk based audit reviews for Company's corporate functions, including Financial Management, Compliance, and Enterprise Systems and Financial Services, and Europe and Latin America information technology functions, specialized in risk topics of security administration, technology governance, operations, system change management, business continuity planning, and vendor management.
Directly supervise a team of auditors that includes career planning and development, performance management, and technical skills coaching.
Drafts audit reports and issues to articulate findings and recommendations on corrective action plans to senior business management relating to improvements in internal control.
Maintain key auditee relationships to perform continuous monitoring on new processes, systems, and/or business initiatives to create or modify the audit plan based on the inherent and control risk factors.
Interface with Company's central security administration and Information Security Office to assess root cause of audit findings around security access to key systems and applications utilized by the auditee.
Perform quality reviews over audit documentation compiled by junior level staff to ensure compliance with department standards and methodology.
Manage budgets by audit project to determine resource scheduling conflicts and impact to key milestones and audit deliverable due dates.
Receipt of the 2012 Q3 Prudential Financial Internal Auditor's Quarterly Recognition Award.
03/2011 to 09/2011
Senior Risk Management AnalystCompany Name － City, State
Manage a large manufacturing client with SAP Implementation and upgrade readiness review.
Transformed financial services and manufacturing client's IT and business process controls to reflect newly redesigned processes.
Provide clients with feedback and best practices and recommendations on design of internal controls in place.
Perform a quality review of client's internal audit documentation to determine if their controls tested are in compliance with SOX 404 regulation.
Managed a staff of six consultants, includes: coaching on testing approach and audit strategy, supervised testing of controls, and review of work papers.
06/2007 to 03/2011
Intern - ConsultantCompany Name － City, State
Audit and Enterprise Risk Services Review clients' financial data and technological security practices to ensure they follow industry benchmarks.
Support Deloitte Financial Statement Audit team by providing reports and opinions on internal control issues under SOX 404 internal control compliance requirements.
Examine the security administration and system development life cycle (SDLC) processes and system configuration settings to identify control deficiencies within the application, database, network, and operating system.
Perform testing on the design and operating effectiveness of key business process and general computer controls.
Evaluate and test internal controls to access financial statement risk for large multinational clients.
Lead a team of consultants responsible for executing and compiling the annual SSAE16 reviews for loan servicing and banking clients.
Assisted internal audit of large consumer retail clients with the pre and post system implementations.
09/2002 to 06/2007
General ManagerCompany Name － City, State
Business Operations Implement and lead the strategy for the back-office and operations management.
Manage banking relationships including opening and closing accounts and monthly review of fees charged on to savings, deposit, money markets, and investment accounts.
Execute daily cash management process, including daily bank deposit/withdrawals, compilation and analysis of daily P&L's.
Prepare quarterly sales tax statements and processed sales tax payments to State of NJ.
Analyze bank statement to ledger activity for completeness and accuracy.
Interface with banks to investigate and bring issues to resolution.
Perform vendor due diligence, including vendor on-boarding and on-going pricing negotiation.
Responsible for managing Accounts Payable and Accounts Receivables.
Bachelors of Science: Business Administration FinanceRider University － City, StateBusiness Administration Magna cum Laude Finance 3.71
CERTIFICATIONS Certified Information Systems Auditor,
License #: 14115321
Cooking and traveling
Intermediate- Italian and Spanish-reading and writing
Accounts Receivables, Accounts Payable, Active Directory, approach, articulate, AS/400, audit reports, banking, budgets, business management, Business Operations, business process, cash management, Ceridian, change management, closing, coaching, client, clients, database, designing, documentation, due diligence, Financial, Financial Management, Great Plains, Information Security, Information Systems, information technology, Internal Auditor, internal audit, Italian, Latin, Lawson, ledger, managing, access, back-office, money, Microsoft Office Suite, Office, Windows, negotiation, Enterprise, network, operating system, operations management, performance management, pricing, processes, quality, reading, retail, sales, SAP, scheduling, SDLC, Spanish, strategy, system configuration, tax, UNIX, upgrade, vendor management
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Job Titles Held:
Senior Auditor - Director of Internal Audit
Senior Risk Management Analyst
Intern - Consultant
Bachelors of Science : Business Administration Finance CERTIFICATIONS Certified Information Systems Auditor, License #: 14115321
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