● Developed, executed, and reported on risk-based J-SOX audit test plans in order adhere to the Financial Instruments and Exchange Act● Conducted year-round cyclical J-SOX testing for various operational, compliance, and financial statement business sub-processes including:o Procurement and parts sourcing o Inventory management (raw materials included)o Production, manufacturing, shipping, receivingo Order fulfillment and reverse logisticso Purchasing and cost reporting governance o Financial documentation and trial balanceo Segregation of duties and approval authority ● Identified exceptions, issues, and risks and collaborated with process owners to determine solutions and action items in order to remediate deficiencies ● Maintained business process documentation (risk control matrices, process flows, testing workpapers and supporting walkthrough results which involved liaising with various process owners on an ongoing basis to keep up with the dynamic risk environment ● Served as a project stakeholder in a company wide data migration and governance project involving the upgrade of the company’s primary enterprise resource planning software (SAP) from ECC to S/4 HANA. o Reviewed and evaluated data conversion methodology and riskso Assessed master data validation into the new environmento Master data included customer, contacts, vendor, materials, pricing, employees, variant configuration, master agreement o Assessed the company’s internal controls over financial reporting (ICOFR), both automated and manual, and other IT General Controls (ITGC) from a design perspective and provided real-time feedback to the project team

• Cofounded LFG’s Operational Risk Management Group in June 2014• Led risk assessments on unclaimed/abandoned property, maturity processing, outstanding checks, DMF (Death Master File) processing, and producer selling agreementso Performed an evaluation of controls in place by traveling to various LFG locations to have walkthroughs and create risk control matrices (RCM’s) and corresponding process clows o Identified control gaps/weaknesses, control enhancement/recommendations, and assisted in creation of implementation plan• Served as a SOX Process owner and led semi-annual SOX Security Access reviews for LFG’s core Producer Compensation and Licensing Systems (i.e. IMPACT & PMACS)• Served as a liaison between the business and Internal Audit by ensuring all supporting documentation was provided in a timely manner to Internal Audit • Worked closely with business leaders on drafting of management remediation action plans for issues noted by Internal Audit• Worked with and Led a team of business analysts and management key stakeholders on two key enterprise business enhancement projects focusing on management control reports and secondary review transactions• Led an annual on-site for TPA Audits at Dell/TAG’s facility in Lincoln, Nebraska

• Applied audit methodology effectively to identify objectives, processes, risks, controls, and value added recommendations in numerous audits. Investment audits worked on included:o Pricing Audit: Identified business risks associated with HIMCO’s pricing process carried out in back, middle, and front Offices, and tested associated controls to mitigate those riskso Trade Allocation Audit: Tested key processes carried out by the trading desk, compliance department, and portfolio management to ensure fair and equitable allocation of trades between client and affiliate accountso Performance Measurement Audit: Tested key processes carried out by HIMCO’s Performance Measurement Group to calculate, analyze, and report investment performance for HIMCO clients, as well as HIMCO Compliance’s review of performance disclosureso Three Sector Audits (Investment Grade Corporate, CMBS, and Municipal Bond Sectors): Performed audits to ensure that key processes carried out by sector analysts and traders are supported by sufficient credit analysis to support investment decisions for the firmo Other Audits: 10-K and 10-Q Filing Financial Audit, HIMCO Compliance Governance Audit, Derivative Use Plans Audit, Risk Management Audit• Worked with public auditors on various direct audit assistance assignments pertaining to year end GAAP and Statutory Audits, including purchase /sales transaction reconciliations and mutual fund confirmation testing

• Conducted quarterly independent Sarbanes-Oxley Testing assignments for various customer divisions/subsidiaries of the company, including Corporate Financial Reporting Division, Specialty Risk Services Group, and Planco Financial Services• Worked with Internal Audit Group on various audit projects during 3 Four-Month Rotations at HIMCO, P&C, and Life divisions of company assessing risks and evaluating controls through process flow reviews and audit testing