Firms consulted for includes Protiviti, Accretive Solutions and SOA Projects.Provide risk advisory and internal audit services for various industries including life science, software and high tech. Companies served include Brocade, Cepheid, Nevro, Saba Software and YuMe. Given positive feedback for work.• Interview clients, update process narratives, flowcharts and risk control matrices. • Conduct walk-throughs and design tests of controls.• Execute tests for both SOX and operational controls for clients with worldwide operations.• Provide advice on policies, processes and control efficiency and adequacy.• Assist draft memos to document complex SOX and accounting issues.• Provide internal audit services including validation of financial restatement processes.• Work both as part of a team, or as a sole contributor, depending on client needs.

Advised and assisted mainly mid-sized companies with Sarbanes-Oxley (SOX) compliance and internal audit needs. Knowledge leader in SOX compliance within our firm. Researched new technical topics, besides developing and delivering content for external webinars and internal training. Supervised and mentored staff. • Developed compliance plans with timelines and budgets.• Prepared risk assessments and scoping memos.• Created risk control matrices after identifying and designing key controls.• Developed process narratives from interviews with process owners, typically under tight timelines.• Led teams for both SOX compliance and operational reviews and reviewed their work.• Turned around a client’s SOX compliance effort that was seriously off track and enabled them to pass SOX.• Developed remediation plans for test exceptions and drew conclusions on impact to SOX compliance.• Interfaced with senior management to inform them and to understand their needs and objectives. • Provided strategies and assistance for the new COSO requirements.• Provided outsourced internal audit services, including designing and executing special projects.• Provided guidance on developing financial policies.• Provided recommendations to management to refine operational processes.• Conceived process for a client to be significantly more efficient in their ERP data migration validation.• Created and delivered presentations to audit committees and senior management.• Interfaced with external auditors to maximize their ability to leverage our work.• Utilized ProSystem fx Engagement application (version 7.0) to manage workflow for tests of controls.

In-charge of project addressing segregation of duty issues in ERP Oracle application R12 upgrade for the supply chain organization. Met with stakeholders and consultants to understand issues and update SOX flowcharts and narratives. Communicated issues requiring resolution. Created and delivered presentations updating stakeholders.

Primary client was Harmonic Inc. ($589 million revenue from manufacturing and sale of commercial video equipment). I provided and managed their outsourced worldwide internal audit function with a team of up to three staff. I also aided my firm in proposal writing for potential new clients.• Delivered 11% reduction in key SOX controls, while Harmonic was expanding rapidly internationally. • Drove refinement and formalization of financial policies. • Implemented improvements to inventory cycle count process by partnering with process owners. • Successfully partnered closely with external audit to minimize external audit costs. • Developed effective relationships with control owners, besides educating them on SOX requirements.• Successfully communicated clear individual control ownership during significant corporate reorganizations.• Operationally analyzed journal entry activity detail identifying potential process efficiency improvements. • Updated and developed new process narratives and flowcharts besides managing tests of controls.• Finished year with no material weaknesses despite significant process and personnel change.• Elevated the technical knowledge and practice of our staff while improving testing efficiency.• Improved reporting from customized cloud (salesforce.com) application used for SOX project management.• Assisted develop a SOX application for Hyland Software as a subset of their workflow AFRM application.

Aided a public company with their SOX compliance testing while managing to their timeline. This included interviewing client personnel, executing test scripts and drawing conclusions and making recommendations.

Created and then managed their initial SOX compliance efforts, besides handling internal audit needs. Managed two direct reports, plus consultants. Developed and managed to a SOX budget. Executed special projects.• Started pre-IPO and created their first SOX compliance plan, implemented it and then managed it. • Performed risk assessments, entity level testing, as well as designed and managed process level testing.• Effective with external auditors and all levels of management in negotiating new processes and controls.• Reduced SOX consulting costs by 55% in three years in a dynamic environment expanding internationally.• Decreased key accounting controls by 35%.• Championed project to design first whistleblower process.• Developed effective relationships with control owners and educated them about SOX requirements.• Conceived and executed automated cloud-based solution (QuickBase) for communicating SOX controls.• Presented to all levels of management, including Audit Committee and senior management.• Created initial Great Plains ERP user access rights to ensure segregation of duties.• Created and managed first Finance internal website with Microsoft SharePoint to communicate policies.• Championed first comprehensive procurement policy and assisted with many other policies.• Successfully executed cross-functional special operational projects, including gaining an understanding of and improving processes for commission accounting and for capturing clinical studies accruals.

Consultant for compliance with Sarbanes-Oxley Act (SOX) for the Protiviti division of Robert Half International. Interviewed clients, created SOX process narratives and flowcharts and developed and executed test scripts to determine control effectiveness. Performed walk-throughs, Entity Level Assessments and investigated whistleblower claims. Supervised staff and interfaced with our IT SOX consultants to coordinate accounting processes with their IT control evaluations. Interfaced with external auditors and identified and summarized for clients their management control weakness identified. Met with members of client management to communicate issues and results. Industries assisted with included software, electronics manufacturing and scientific test equipment manufacturing.

Captured budget assumptions and created budget templates. Ownership of balance sheet budget plus P&L detail for specific departments. Determined and populated all company-wide budget/forecast data for salaries, bonuses, taxes, and depreciation, plus programed allocations. Four direct reports. Financial systems responsibility included, general ledger (Integral), budget tool (Pillar), reporting tool (Essbase), Finance web, and payroll (Datamatics). Managed payroll, accounts payable and HQ reporting. Conducted Pillar training.• Conceived and led a project to automate data collection for reporting, which reduced man hours by 50%.• Inherited off-track BRAVO project to automate corporate reporting and brought it to timely conclusion over nine months despite fluctuating requirements. Managed seven person cross-functional team plus consultants.• Directed cross-functional team implementing first worldwide consolidation tool (Essbase) with consulting and application costs over $1 million that resulted in better analysis tool and faster reports.• Implemented process for archiving softcopies of key reports on our intranet to reduce printing time and costs.• Investigated instances of fraud or theft and reported to management.• Key team member integrating seven domestic and international entities acquired.

Part of small team responsible for selection and implementation of a new budget tool (Oracle Financial Analyzer). Trained to be a Super Database Administrator for the tool. Primary duty was administration of this budget software, Oracle Financial Analyzer (a multidimensional database). Also, managed budget transfer process that occurred as often as monthly. Developed bridges to explain changes between budgets. Created internal financial related web pages to communicate information. Developed SQL queries to aid in management reporting and analysis. Also, responsible for uploading budget and statistical data into General Ledger. Performed special projects as requested.

Produced monthly Volumes Measurement Package. Also, involved in automating the monthly Volumes Package. Perform monthly analysis for a field area (Southern United States) and wrote the associated commentary. Met tight deadlines for multiple activities, while working in an environment of rapid, continual and significant change. Involved in transitioning reporting to a new centralized reporting system. This involves ensuring information will be available by coordinating meetings, communicating needs, monitoring progress and documenting actions and status of projects. It also included determining what new products to track, taking steps to have reports created and validating by coordinating resources. Provided assistance to staff on understanding applications. Also made suggestion that management adopted which automated a major part of the effort related to writing commentaries, which saved significant man hours. Supervised assistant. Part of team that redesigned Finance intranet site. Received bonus for working as ad hoc leader of the project.

Produced & distributed monthly Volumes Measurement Package. Also, involved in automating the monthly Volumes Package. Perform monthly analysis for a field area and write the associated commentary. Meet tight deadlines for multiple activities, while working in an environment of rapid, constant and significant change. Involved in transitioning reporting to a new centralized reporting system. This involves ensuring information will be available by coordinating meetings, communicating needs, monitoring progress and documenting actions and status of projects. Supervised assistant, which was a German trainee.

Responsible for the Paradox database & Excel spreadsheets used to create a new chart of accounts. Responsible for approximately 10,000 records. Coordinated a small staff to collect, document & process all changes to the chart. Oversee & create reports & prioritize daily tasks. Created effective system to track the types & sources of changes to the chart. Ensure the chart changes reflect management’s intentions & that information is available at due dates. Major contributor in the preparation of a presentation for senior management about our project. Used PowerPoint to create the Presentation.

Senior litigation support staff at firm well respected for their work. 80% of my time was litigation support and 10% computer consulting. The remaining time was devoted to tax and financial statement work. Litigation support included business valuations, preparing personal financial statements, records reconstruction and asset tracing. Assisted in training staff and clients on software applications and accounting. This firm was a large local firm with four partners and a staff of about 25 whose practice was focused on litigation support and taxes. The key industries served were medical services, construction and distribution companies.

Audit supervisor for staff and multiple HUD audits. Engaged in computer consulting. Prepared financial statements and income tax returns for individuals and businesses.

Prepared financial statements and individual and corporate tax returns. Supervised and trained staff. Computer consulting.

Performed audits, reviews and compilations. Also prepared tax returns for individuals and businesses. Prepared management comment letters. Developed time saving spreadsheet for conversion of completed contract to percentage of completion. Also developed time saving spreadsheet for calculating pension plan contribution allocations for plan participants.