Derek Dominguez Email & Phone Number

San Diego, Ca, Us

San Diego, California, United States

Hired as the first IA team member to continue the implementation of the first-year SOX program with a co-source. I partnered with key stakeholders and some executives to promote IA as a credible and trusted business partner, providing risk-based and objective assurance, advice, and insight. I collaborated with management to identify risks, make recommendations, manage workflows, and prioritize tasks through remediation.• Directed first-year SOX program, overseeing 11 scope areas with a… Show more Hired as the first IA team member to continue the implementation of the first-year SOX program with a co-source. I partnered with key stakeholders and some executives to promote IA as a credible and trusted business partner, providing risk-based and objective assurance, advice, and insight. I collaborated with management to identify risks, make recommendations, manage workflows, and prioritize tasks through remediation.• Directed first-year SOX program, overseeing 11 scope areas with a co-source in absence of an IA VP• Implemented Auditboard SOX compliance software, trained teams, and served as platform administrator• Conducted SOX risk assessments, materiality, and scoping with external auditor collaboration• Coordinated walkthroughs and testing to evaluate key internal controls over financial reporting• Prepared control deficiency aggregation analysis for senior management and external auditors• Assessed and communicated audit insights, results, and recommendations to various levels of management to align on remediation• Assisted with co-source rebidding and selection process• Collaborated with IT, Legal, and other teams on governance, risk, control, and monitoring activities Show less

San Diego, California, United States

Lucira Health eliminated the role due to bankruptcy. Hired to establish and implement SOX compliance, audit plans, and risk management strategies. Developed and led a comprehensive control framework, working closely with key executives to strengthen risk management and audit practices.• Spearheaded the development and execution of the first-year SOX compliance program, in accordance with IIA standards, COBIT, and COSO frameworks• Assessed and mitigated IT, financial, operational, and… Show more Lucira Health eliminated the role due to bankruptcy. Hired to establish and implement SOX compliance, audit plans, and risk management strategies. Developed and led a comprehensive control framework, working closely with key executives to strengthen risk management and audit practices.• Spearheaded the development and execution of the first-year SOX compliance program, in accordance with IIA standards, COBIT, and COSO frameworks• Assessed and mitigated IT, financial, operational, and compliance risks across multiple business functions, ensuring a proactive risk management approach• Managed co-source relationship overseeing testing, optimizing efficiencies, and maintaining quality standards• Delivered strategic insights to management and senior leadership by communicating the significance of audit results, control deficiencies, and recommended remediation strategies• Collaborated with management to design and monitor remediation plans, ensuring timely completion and adherence to compliance requirements Show less

San Diego, California, United States

BioLegend/Perkin Elmer eliminated the role due to acquisition by a public company. As the inaugural Internal Audit leader, I developed a 3-year audit strategy and vision to ensure SOX compliance and strengthen internal controls. Worked with senior leadership to identify risks, enhance audit processes, and implement continuous improvement initiatives.• Developed a comprehensive 3-year SOX compliance strategy, incorporating risk-based audit plans and control frameworks, aligned with IIA… Show more BioLegend/Perkin Elmer eliminated the role due to acquisition by a public company. As the inaugural Internal Audit leader, I developed a 3-year audit strategy and vision to ensure SOX compliance and strengthen internal controls. Worked with senior leadership to identify risks, enhance audit processes, and implement continuous improvement initiatives.• Developed a comprehensive 3-year SOX compliance strategy, incorporating risk-based audit plans and control frameworks, aligned with IIA standards, COBIT, and COSO principles• Implemented FloQast, improving internal controls and cost savings of $31K in manual labor through efficiency• Delivered risk management training across the organization, fostering a culture of continuous improvement and embedding risk-based thinking in daily operations• Conducted enterprise-wide assessments of IT, financial, operational, and compliance risks, advising senior leadership on risk mitigation strategies• Managed co-source relationship overseeing testing, optimizing efficiencies, and maintaining quality standards• Presented audit findings and valuable recommendations to senior management, driving strategic decision-making and remediation efforts Show less

Denver, Colorado, United States

Supported cross-functional teams in financial and operational audits and contributed to enterprise risk assessment development. Assisted with audit planning, conducted investigations, fostered relationships with senior leaders, and implemented IIA and COSO frameworks for efficient audit execution.• Designed and delivered audit programs to address relevant risks and audit assertions • Educated process owners effectively, including non-finance individuals, on the importance of controls… Show more Supported cross-functional teams in financial and operational audits and contributed to enterprise risk assessment development. Assisted with audit planning, conducted investigations, fostered relationships with senior leaders, and implemented IIA and COSO frameworks for efficient audit execution.• Designed and delivered audit programs to address relevant risks and audit assertions • Educated process owners effectively, including non-finance individuals, on the importance of controls, an effective control environment, process excellence, and the role of Internal Audit• Contributed to development IA strategy and framework with the VP of IA and Sr. Managers• Assisted with development and implementation of internal procedures, methodologies, and IIA framework used for overall project management Show less

Denver, Colorado

Managed operational and financial internal audits across company segments, including risk assessments, planning, execution of fieldwork, analysis, and coaching of supporting project teams. Developed internal audit sampling guidance, led multiple audits concurrently, and supported the company's SOX Compliance Program.• Conducted financial, operational, and advisory audits of moderate complexity across the organization• Identified and addressed a planning gap in the audit process with a… Show more Managed operational and financial internal audits across company segments, including risk assessments, planning, execution of fieldwork, analysis, and coaching of supporting project teams. Developed internal audit sampling guidance, led multiple audits concurrently, and supported the company's SOX Compliance Program.• Conducted financial, operational, and advisory audits of moderate complexity across the organization• Identified and addressed a planning gap in the audit process with a tailored solution• Led an international SOX implementation project in Saudi Arabia across four scope areas• Championed Internal Audit as a trusted business resource through effective recruiting and networking• Managed communication of risks and issues to business partners, drafted reports, and oversaw remediation• Assisted with QA reviews to ensure adherence with IIA IPPF standards, department methodology, and policies Show less

Denver, Colorado

Developed a working knowledge of audit expectations, statutory and other regulatory requirements, and planned audit project approach. Assisted in conducting public and private company audits, coached new associates, assisted in PCAOB inspection and QAR for audits performed.

Santa Fe, New Mexico Area

Accountant and Auditor Advanced, New Mexico State Treasurer’s Office September 2014-PresentInterim Trade Compliance Officer January 2015-PresentInterim Securities Coordinator I provide timely, accurate, and reliable reconciliation of all state investments made in conjunction with the Investment Accounting Bureau Chief. Would oversee all investment financial transactions and reconcile, on average, over $1 billion in investments made on a par, market, and amortization… Show more Accountant and Auditor Advanced, New Mexico State Treasurer’s Office September 2014-PresentInterim Trade Compliance Officer January 2015-PresentInterim Securities Coordinator I provide timely, accurate, and reliable reconciliation of all state investments made in conjunction with the Investment Accounting Bureau Chief. Would oversee all investment financial transactions and reconcile, on average, over $1 billion in investments made on a par, market, and amortization cost method to ensure no material differences were located between internal investment system (QED) and custody bank (JPM). Then prepare the journal entries for the statewide accounting system, SHARE, and reconcile. Would audit and attest that custody statements had no material differences by performing an internal reconciliation and internal audit concepts. I reconciled daily settled trades made, perform weekly LGIP S&P report to rate the investment pool, perform a bond project fund reconciliation, and provide reliable ac-counting and auditing concepts to other divisions as needed and when affected reconciliation. I would assist the Bureau Chief in preparing all audit deliverables for annual audit.• Automated and streamlined the LGIP S&P reporting process• Provided assistance to reform the state general ledger reporting for investments in SHARE• Would act as back-up for Investment Accounting Bureau Chief when absent and perform above duties as well as answer any questions from counter parties, other Bureau Chiefs, and aid in the supervision of staff. • As Investment trade compliance officer, I performed an attestation of trades made to ensure they comply with state laws and investment policy. Would make recommendations to Portfolio managers and executive staff. • Maintained investment broker dealer file and list to ensure compliance with investment policy. Show less

Albuquerque, New Mexico Area

I provided reliable fiscal and accounting services to the court/judicial entity and other state agencies. Reconciled reports to agency books; prepared cash receipts and daily deposits; verified cash balances; ensured funds are posted to the correct account and cash fund balances for obligations; followed up on non-sufficient fund (NSF) checks; assisted with operating budget projections and prepare reports for use in financial control and operating budget analysis, log and reconcile bank… Show more I provided reliable fiscal and accounting services to the court/judicial entity and other state agencies. Reconciled reports to agency books; prepared cash receipts and daily deposits; verified cash balances; ensured funds are posted to the correct account and cash fund balances for obligations; followed up on non-sufficient fund (NSF) checks; assisted with operating budget projections and prepare reports for use in financial control and operating budget analysis, log and reconcile bank statements to daily receipts and monthly report; process and prepare reports and cash transfers to the State Treasurer’s Office; maintain collateral for surety and cash bonds and verify daily accuracy on bonds received; disburse funds (cash and surety bonds) and transfer bonds to other jurisdictions for out-of-county cash bond payments; assist external auditors; prepare and maintain journal ledgers and financial reports for audit; archive financial records. Oversee and reconcile all financial transactions made by customer service to ensure accounting and auditing compliance.• Created new excel spreadsheets to reconcile work to help automate process and increase productivity• Helped configure new court wide system, Odyssey, for finance implementation by serving on configuration team, as a lead candidate, by collaborating with IT and other various divisions• Prepared a professional data imaging report for new case system on finance procedures and documents.• Assist daily activates of five financial specialists, to include coaching, scheduling and training• Help collect, organize, pre-audit all audit deliverables. • Assisted in budget projections and shadowed budget analyst. Show less

I provided dual support to both the teller and platform operations of the branch. This included processing member transactions, problem resolution, opening and closing accounts, loan applications, and the promotion and cross sales of all product and services available as well as performing advanced lead teller functions such as in Lead Teller Role.• Selected by management to engage in additional leadership activities including: cash audits, train employ-ees, assist with branch audits, and… Show more I provided dual support to both the teller and platform operations of the branch. This included processing member transactions, problem resolution, opening and closing accounts, loan applications, and the promotion and cross sales of all product and services available as well as performing advanced lead teller functions such as in Lead Teller Role.• Selected by management to engage in additional leadership activities including: cash audits, train employ-ees, assist with branch audits, and compliance policies/procedures.• Collaborated with branch management team to order cash and ensure branch cash management limits were under control. Show less

I assist with daily transactions with high attention to detail while leading fellow tellers to perform at optimal performance. As a lead teller, I motivated, coached, mentored, supervised and trained staff members and set an example for them to follow. I assisted the manager with monthly and branch reports and audits to ensure branch compliance and goals were met. Advanced teller functions were performed such as balancing branch vaults and providing service observations on other tellers… Show more I assist with daily transactions with high attention to detail while leading fellow tellers to perform at optimal performance. As a lead teller, I motivated, coached, mentored, supervised and trained staff members and set an example for them to follow. I assisted the manager with monthly and branch reports and audits to ensure branch compliance and goals were met. Advanced teller functions were performed such as balancing branch vaults and providing service observations on other tellers. • Corrected and researched over the counter errors made by the branch.• Stopped multiple fraudulent incidents.• Conducted and coordinated sales/meeting huddles.• Improved teller accuracy and product knowledge by 6%, as measured by monthly reviews• Organized and created excel spreadsheets to use for branch reports/audits. Show less

This position required me to process transactions accurately and efficiently in a fast paced environment as well as sell/market products to customers. Maintain high levels of accuracy and confidentiality. Identified customers needs and provided solution to needs.

Master Of Business Administration (M.B.A.)

Bachelor'S Degree