In this capacity, I deliver leadership to the full scope of SOX-related functions while managing existing issues, revitalizing documentation and general procedures, and ensuring maximum compliance in collaboration with process owners to meet stringent deadlines. I establish and lead the SOX department from the ground up while overseeing compliance and control functions, maintaining SOX control narratives, and remediating untapped material deficiencies in the SOX compliance program. I handle issues throughout the organization, including remediating audit findings, identifying control gaps, and ensuring effective documentation in collaboration with control owners. I manage the SOX central certification process while ensuring the integrity of controls and overseeing officer certification.Highlights of accomplishment in this role include:➙ I delivered SOX program reports to executive leadership and key stakeholders by conducting quarterly and yearly analyses of control and risk changes.➙ I drove access rights management and conducted user access reviews across the organization (financial framework), such as shared drives, servers, and SharePoint. ➙ I coordinated change management initiatives, including providing training and establishing required controls to ensure a compliant environment.➙ I maintained engagement with international SOX and audit professionals to provide training, ensure compliance with the US and local requirements in different regions, bridge compliance gaps, and ensure a robust global SOX framework companywide.

As an Internal Audit and SOX Manager at Protiviti, I consulted companies (newly established as public/preparing for IPO) in setting up and refining SOX frameworks and navigating the first and second years of SOX audits. I supervised employees, planned study groups for certifications, and conducted conversations on best practices related to client engagement, internal audit, and SOX.Highlights of accomplishment in this role include:➙ I delivered direction and support in developing internal audit and compliance departments and ensuring readiness with emerging regulatory requirements focusing on Sarbanes-Oxley (SOX).➙ I headed control rationalization, determined required internal controls, eliminated redundancies, and collaborated with executive leaders, control owners, and external auditors.➙ I enhanced controls and framework by performing comprehensive data analysis, identifying control deficiencies, and providing recommendations to upper management.

While serving as an Assistant Vice President of control Assurance and Advisory at Mitsubishi UFJ Financial Group, I ensured the smooth execution of the audit program while training SOX testing teams, implementing changes to policy and procedures, performing quality checks on testing and reviews, and refining documentation techniques. I managed all aspects of ongoing and special projects, including identifying objectives, scope, approach, and results and reporting updates to stakeholders. I maintained relationships with team members, various departments, and executives.Highlights of accomplishment in this role include:➙ I led the SOX program by reviewing control designs, testing approaches, and documentation practices and presenting insights to senior leadership.➙ I played an instrumental role in addressing external and internal audit requests while collaborating with cross-functional teams.➙ I boosted program effectiveness by identifying improvement opportunities and recommending and implementing remediation plans.➙ I maintained strict adherence to current industry standards and SOX requirements for proper narratives, flowcharts, and control matrices related to in-scope processes in collaboration with control owners.

As an Internal Audit & SOX Senior Consultant at Deloitte & Touche, I advised on internal major government and private audit engagements primarily SOX compliance and new control deployment within insurance, big pharma, mining, and technology industries. I oversaw internal audit projects while identifying and remediating control gaps and addressing risks within clients’ internal control frameworks. I addressed issues in audit execution by performing accounting research and identifying root causes.Highlights of accomplishment in this role include:➙ I managed the implementation of new lease accounting controls while traveling between client locations countrywide, incorporating changes in lease accounting, and refining controls to ensure lease contracts captured accurately.➙ I set up compliance controls within the government sector to address specific risks in alignment with the unique needs of industries.➙ I directed internal audits, including SOX testing and reviewing workbooks for clients across energy, governmental, financial, and media industries.➙ I developed customized audit plans based on risk assessments, clients’ needs, and industry trends and delivered detailed reports to internal and external stakeholders.

In this capacity, I coordinated control testing, pricing, training, and issue remediation related to external audit findings. I mitigated risks and responded to critical issues by proactively uncovering and addressing fraud. I conducted and documented SOX walkthroughs for 27 business units, such as fixed assets, AP/AR, treasury, revenue, and SOX testing.Highlights of accomplishment in this role include:➙ I reviewed SOX documents, performed fraud monitoring of AP, investigated unusual activity, quantified incidents’ financial impact, and compiled comprehensive reports for the legal team.➙ I drove fund recovery for the company while discovering fraud during fieldwork and conducting detailed investigations.➙ I managed simultaneous audits while communicating control deficiencies, fraud discoveries, and audit findings to the audit committee and senior management.

Throughout my tenure Internal Auditor at Sempra at Sempra Energy, I oversaw internal audit engagements across all business units, including accounting procedures, finance, compliance, utility operator qualifications, environmental health and safety, construction management, government contracts, and global operations. I served as a primary point of contact for external auditors, clients, and upper management to discuss critical matters related to SOX engagement, such as providing feedback to staff and disclosing audit findings/deficiencies. I coordinated new tester training, reviewed test work, scheduled testing assignments, and administered journal entries and general ledger. Highlights of accomplishment in this role include:➙ I achieved the desired organizational results by building the trust of senior management and directors, focusing on SOX testing and fraud work, and navigating complex compliance frameworks.➙ I led the SOX project by designing a training program for new auditors, developing testing plans, identifying scope changes, analyzing control testing and documentation, and ensuring the completion of strict time and budget limits.