Annie has over 16 years of advisory and technical experience using emerging technologies in mitigating business risks. Professional and Industry Experience:Annie has substantial experience coordinating and participating in the execution, and delivery of internal audit services; Sarbanes-Oxley 404 testing; controls risk assessments and recommendations; information security governance and compliance. Internal Audit and Regulatory Compliance Experience:• Assisted in several Investment Internal Audits inluding: Fixed Income, Real Estate and Global Equities• Assisted in completion of risk assessment(s)• Created and executed audit program guide(s)• Completed a Compliance, SOD, HR, Collections, Deposit Services, Accounting, Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) Internal Audits• Coordinated and executed testing• Drafted Internal Audit Reports• Managed and reviewed the work of staff• Communicated recommendations• Performed as a financial transaction analysis to identify potential Anti-Money Laundering (AML) risk • Supported management in ensuring compliance with government regulations• Sarbanes-Oxley Integrated Testing - Planned, coordinated and executed SOX testing efforts for a variety of entity level processes including Revenue Recognition, Payroll, Accruals, Consolidations, Non-Controlling Interest, Internally Capitalized Software, Financial Reporting, Wire Transfers, Core Deposit Intangibles, Goodwill, Income Tax, AP, Commercial Banking, and Treasury.• SOX Process documentation of Payroll, HR, AP, Goodwill, Financial Reporting and Close, Treasury, Fixed Assets, Stock Comp, Tax, Customer Transactions, and Customer Incentive Plans• Communicated findings, process improvement opportunities, and recommendationsInformation Security Governance and Compliance experience:• Enterprise-wide, security focused risk assessment• External (SOC 2, PCI DSS) and Internal Audit coordination and management • Issue management • Regulatory compliance assessments • Internal control documentation, design and effectiveness testing, management reporting, issue management (and remediation)• Business Continuity and disaster recovery team management • Security awareness training • Metrics reporting