Daniel Kreutzmann Mba, Cia Email and Phone Number

Participate in annual and ongoing SOX scoping to identify any changes to the financial statement accounts, business processes, product offerings, systems, applications, and manual or automated controls considered to be in-scope for the current fiscal year. * Manage SOX-readiness control identification and testing for new business processes and product offerings with high accountability. * Lead manual financial controls walkthroughs for new or complex processes or systems. *… Show more Participate in annual and ongoing SOX scoping to identify any changes to the financial statement accounts, business processes, product offerings, systems, applications, and manual or automated controls considered to be in-scope for the current fiscal year. * Manage SOX-readiness control identification and testing for new business processes and product offerings with high accountability. * Lead manual financial controls walkthroughs for new or complex processes or systems. * Participate in automated control walkthroughs for new or complex processes or systems. * Establish work plans and coordinate the overall work effort of the SOX project team; proactively anticipate risks and opportunities and redirect or reallocate resources accordingly. * Coordinate and drive the SOX program and testing with co-sourced Internal Audit team members, External Audit team members, control owners, managers and executive management. * Evaluate and document control deficiencies, perform root cause analysis, and determine appropriate management remediation actions. * Gain management agreement on the root cause of issues and appropriate corrective actions, while maintaining positive relationships. * Monitor management's remediation efforts to timely closure, including review of supporting evidence and retesting. * Perform detailed quality assurance review of co-sourced Internal Audit team's workpapers, deliver relevant feedback and required training. * Provide regular SOX program status reporting to Internal Audit and Corporate Accounting senior management. * Research emerging trends, lead benchmarking and other initiatives to shape innovative strategies to improve the control environment, streamline testing, make processes more efficient, effective, and/or reduce cycle time for SOX compliance. Show less

Internal Audit and SOX advisory consulting services for various industries. Deploy all aspects of a SOX compliance program for a Biotech client including scoping, planning, walkthroughs, test of design, test of operating effectiveness, remediation and reporting.

Led Internal Audit and Risk Management engagements primarily in the commercial lending, retail lending, banking, financial services, and FinTech industries. Successfully deployed SOX compliance, Internal Audit Co-sourcing, Internal Audit Outsourcing, and Risk Management project frameworks. Managed all aspects of client relationships, including proposals, budget forecasting and monitoring, billing, QC of deliverables, status reporting, and client communications. ■ Managed multiple SOX… Show more Led Internal Audit and Risk Management engagements primarily in the commercial lending, retail lending, banking, financial services, and FinTech industries. Successfully deployed SOX compliance, Internal Audit Co-sourcing, Internal Audit Outsourcing, and Risk Management project frameworks. Managed all aspects of client relationships, including proposals, budget forecasting and monitoring, billing, QC of deliverables, status reporting, and client communications. ■ Managed multiple SOX year-one engagements for lending and banking clients. For new public clients, helped to set up a full-service SOX compliance program.■ Led an Internal Audit Outsourcing engagement with a FinTech client. The engagement was comprised of operational audits, compliance audits, and SOX 404/302 workstreams.■ Go-to-Market activities: brought a large banking client onboard for an annuity SOX compliance engagement within my first year at the Firm Show less

Work on risk-based functions, including risk assessments, product risk scorecards, product profiles, and test plans, among others. Assist the Transaction Banking (TB) product group in remediation activities relating to a MRA. Help the TB team in meeting their deadlines by drafting and securing approval on key deliverables. Provide detailed feedback on the methodology for control testing, risk assessments, and control reliance. Communicate results to stakeholders, including senior… Show more Work on risk-based functions, including risk assessments, product risk scorecards, product profiles, and test plans, among others. Assist the Transaction Banking (TB) product group in remediation activities relating to a MRA. Help the TB team in meeting their deadlines by drafting and securing approval on key deliverables. Provide detailed feedback on the methodology for control testing, risk assessments, and control reliance. Communicate results to stakeholders, including senior management.■ Served as the Lead for Workstream Three, Product and Service Delivery Control Testing. Stood up a successful response to the MRA, remediating the immediate issue and creating a new program to monitor the delivery of products and services on a go-forward basis. Show less

Led the full scope of operational audits and investigations. Supervised and coached direct reports; reported to the Head of Audit. Managed the Compliance Audit Program, including supervision of the 3rd-party consulting firm. Helped manage the SOX 404 compliance program. Directed all aspects of the Internship Program for the department. Reported audit results to the Executive Committee.■ Played a critical role in removing an “Unsatisfactory” rating from the OCC, assisting in the provision of… Show more Led the full scope of operational audits and investigations. Supervised and coached direct reports; reported to the Head of Audit. Managed the Compliance Audit Program, including supervision of the 3rd-party consulting firm. Helped manage the SOX 404 compliance program. Directed all aspects of the Internship Program for the department. Reported audit results to the Executive Committee.■ Played a critical role in removing an “Unsatisfactory” rating from the OCC, assisting in the provision of documentation to the OCC during compliance exams.■ Assisted the SVP of Internal Audit in creating a risk-based approach to the review of the processes and controls of the bank by building an annual Risk Assessment & Audit Plan.■ Transformed the department’s Compliance Audit Program. Show less

Hired to assist in standing up an Enterprise Risk Management function within the organization. Conducted risk and control self-assessments across every business unit, reporting results to the Executive Steering Committee. Assisted with the data conversion from a homegrown tool to the Archer platform.■ Contributed substantially to the establishment of an effective Enterprise Risk function as one of 4 founding members of the department, including the enterprise risk taxonomy and… Show more Hired to assist in standing up an Enterprise Risk Management function within the organization. Conducted risk and control self-assessments across every business unit, reporting results to the Executive Steering Committee. Assisted with the data conversion from a homegrown tool to the Archer platform.■ Contributed substantially to the establishment of an effective Enterprise Risk function as one of 4 founding members of the department, including the enterprise risk taxonomy and methodology.■ Developed and instituted the ERM Remediation Audit Program at the firm, including technology solutions and reporting components. ■ Earned the Chairman’s Award. Show less

Promoted from Manager to Senior Manager to gain increased audit management responsibilities. Worked with the Legal team on designing the compliance, technology, and operational audit program, including scoping, test scripts, templates, and a remediation program. Scheduled 100+ vendor audits per year (collection agencies, law firms, technology partners), coordinating travel to nearly 50% of the audits. Presented audit results to Executive Committees and the Audit Program to potential debt… Show more Promoted from Manager to Senior Manager to gain increased audit management responsibilities. Worked with the Legal team on designing the compliance, technology, and operational audit program, including scoping, test scripts, templates, and a remediation program. Scheduled 100+ vendor audits per year (collection agencies, law firms, technology partners), coordinating travel to nearly 50% of the audits. Presented audit results to Executive Committees and the Audit Program to potential debt sellers.■ Increased the number of completed audits by over 500% through recruiting, hiring, and assembling a bi-coastal team of 10 top-performing employees.■ Ensured industry-leading and fully compliant status for the company’s audit program in a joint effort with the Legal department and regulator CFPB.■ Won the Champion Collaborator Award for efforts in managing 100+ audits and building a top-performing team on the East and West Coasts. Show less

Conduct operational audits related to internal financial reporting, metric formulation, forecasting and employee expenses. Manage corporate control environment assessment via SOX 302 certification, SOX 404 testing (TOD and TOE) and narrative rollfowards. Manage and execute testing of IT application and general controls including logical access restriction, change management, backup and recovery, and physical security. Tested internal controls over financial report related to numerous… Show more Conduct operational audits related to internal financial reporting, metric formulation, forecasting and employee expenses. Manage corporate control environment assessment via SOX 302 certification, SOX 404 testing (TOD and TOE) and narrative rollfowards. Manage and execute testing of IT application and general controls including logical access restriction, change management, backup and recovery, and physical security. Tested internal controls over financial report related to numerous accounting processes within the SOX program. Review staff work product and provide direction. Provided 1600 hours of direct assistance to external auditor (Big 4 firm) during year-end financial statement audit and merger transaction substantive testwork, which significantly reduced the company’s audit fees in 2010 and 2011. Show less

Contributed to the annual risk assessment of the audit universe through interviews with process owners and review of relevant documentation. Performed SOX 404 walkthroughs, and design/effectiveness tests, assisted in facilitating the SOX 302 certification process, and conducted operational audits. Investigated allegations of fraud and other financial wrongdoing.

Analyzed pools of loans to provide pricing for bids to senior traders. Conducted risk/pricing analysis using key model drivers. Walked external auditors through deal prospecting to ensure their understanding of pertinent deal information.

Assisted with SOX and internal audit engagements, managing the full cycle of SOX 404 audits and preparing multiple deliverables. Provided litigation support with stock option fraud investigations related to backdating and spring-loading.

Worked as a Social Worker for Child Protective Services in various departments: Long Term Foster Care, Family Maintenance, Kingap Guardianship and Court Intake. Investigated allegations of child abuse and neglect. Wrote court reports including recommendations for placement and services to the court. Testified in open court, when required. Visited children in placements to ensure safety and stability.