Douglas Moyer Email & Phone Number

Apopka, Fl, Us

Orlando, Florida, United States

Creating the SOX Business Process.

Florida

• Performed Sarbanes-Oxley testing at major defense contractor based in Melbourne, FL• Performed validation of issue remediation validation based on regulator complaint and audits of scenario loss plans at a major insurance company based in San Antonio, TX• Performed Sarbanes-Oxley testing at major life insurance company based in New York, NY• Performed physical inventory count for a CBD manufacturer and help set up perpetual inventory count.• Assisted major life insurance company based in Charlotte, NC with required LDTI implementation.• Assisted major Voice Over IP wireless provider bring their SOX material South American companies into operational compliance.• Performed internal audit testing for the largest ATM manufacturer.

Lake Mary, Fl

• Setting up the Risk Control Matix and Audit Scope for assigned audits.• Perform audit of assigned areas, including, Client Billings, Real Estate Investing, and Institutional Trading.

Lake Mary, Fl

Auditing reconciliations, updating policies and procedures for Revenue Recognition.

Orlando, Florida Area

Helping the new audit department get up and running.

Orlando, Florida Area

• Recreated the internal audit function for a $220M federal credit union.• Audits include Accounting, financial statements, information technology, branch operations, collections, lending and deposit operations, BSA/AML, ALLL, wire transfers, human resources, payroll, risk assessments and 401K.• Worked closely with the BSA Officer to update the BSA Risk Assessment and review CTR’s and SAR’s in the absence of the Compliance Officer in order to comply with regulations. • Worked closely with the loan operations department to ensure compliance with HMDA and fair lending • Part of a new management team that brought the credit union from a CAMEL rating of 4 to CAMEL rating of 2 in less than a one-year period.• Uncovered and successfully Investigated fraud surrounding the repossessed vehicles being liquidated.

Orlando, Florida Area

In my role as a Project Professional at Experis, I performed audits for top financial institutions, focusing on Sarbanes Oxley compliance and BSA/AML. I successfully tested international letters of credit for Sarbanes-Oxley compliance, ensuring regulatory adherence and risk mitigation. Collaborated with cross-functional teams to assess Asset Management and Trust operations, ensuring operational efficiency and compliance with industry standards.

Orlando, Florida

Oversee a staff of 5 bank examiners responsible for safety and soundness examinations of financial institutions chartered by the State of Florida.Perform safety and soundness examinations including but not limited to capital adequacy, asset quality, management quality, earnings, liquidity, sensitivity to market risk, and BSA/AML.Successfully Completed - Introduction to Examination School (IES) March 2014 This was a two-week program which addressed the fundamentals of bank supervision, basic bank analysis, and Report of Examination preparation. The course consists of eight modules with built in exercises, and a project simulating a bank examination. Participants actively take part in group case studies and other classroom activities. Successfully Completed - Financial Institution Analysis School (FIAS) July 2014. This was a 2 week program which addressed the on- and off-site analysis of financial institutions. Through a combination of computer-based instruction, in-class lecture and completion of case studies, participants learn how to analyze the CAMELS components, and assign and prepare written comments based on the Uniform Financial Institutions Rating System (UFIRS).

Orlando, Florida Area

Internal Auditing and SOX Testing for banks

Manage a team during the investigation process for a closed FDIC banking institution. Analyze the inherent and controlled risks for each institution to develop sound scoping ideas for the project. Lead and facilitated management meetings throughout project. Perform daily monitoring of reporting, deadlines, and FDIC requirements. Evaluate senior and staff performance for each project to provide timely feedback and discuss development opportunities.Analyzing ROE’s for management’s contribution to material loss on a closed institution for the purpose of recovering funds for the FDIC.Claim areas reviewed which offer the FDIC a return on material losses for a closed institution include, Bond, D&O Liability, Insurance, Accountants Liability, Attorney Malpractice, Appraiser Malpractice, Mortgage Fraud, Criminal Restitution, Securities Brokers, Commodities Brokers, Issuer, Other Professionals.

SOX Consultant, Supervise and guide brokerage house through first year Sarbanes Oxley project

Manage, supervise and perform assigned audits of clients of the firm. These clients include manufacturers, financial services, investment funds, government agencies, healthcare providers and many other commercial operations. Oversaw and performed the identification and codification of $70,000,000 worth of fixed assets for an IP Multimedia Subsystem manufacturer. This allowed client to remove this material weakness from the Sarbanes Oxley testing results. Oversaw and performed the first year Sarbanes Oxley control identification process for financial services firm in preparation of merger. The firm provided brokerage and investment services. This allowed client to be surviving entity at time of merger.Oversaw and performed the first year Sarbanes Oxley control identification process for a patient services tracking software manufacturer. Worked with client to identify and set up mitigating controls to overcome segregation of duties issues.Using ACL, tested revenue, payables and inventory records of major subsidiaries of an airplane parts manufacturer with DOD contracts to mitigate segregation of duties issues.Part of team that performed the first year Agency Risk Management and Internal Control Standards testing for the Commonwealth of Virginia's Department of Health. Mentored employee on her first in-charge assignment.

Direct, oversee and perform the Sarbanes-Oxley Audit function for the Bank Holding Company, Bank and Insurance Subsidiary.Instruct assigned staff in the proper documentation and classification of key controls, including interview techniques and walkthrough documentation.Reduced the number of key controls from 355 in first year testing to 125 in second year.Directed testing and remediation of controls as needed.Coordinated Sarbanes-Oxley testing with the External Auditors.Inform and relate Sarbanes-Oxley testing results to Senior Management including the Board of Directors. This was in both verbal and written form.

Manage, supervise and perform assigned audits of clients of the firm. These clients include banks, mortgage lenders and residential home builders. Performed assigned internal audits and Sarbanes Oxley testing of largest bank in South Florida. This includes financial, operational, compliance and branch audits.Managed financial Sarbanes Oxley testing for second largest bank in South Florida.

Miami/Fort Lauderdale Area

Supervise the day-to-day operations of the Fleet and Commercial Department, including setting up daily information of staff contacts with potential and current customers.

Assist the VP of Audit to create, develop and supervise the day to day operation of the Internal Audit Department, including audit plans, internal control questionnaires, detail workpapers and audit reports for privately held insurance operation.Worked closely with MIS to develop an automated payment system for Personal Injury Protection claims medical service bills.Supervised audit of subrogation department, which identified $1,000,000 of unrealized receivables.Recommended controls over the creation and distribution of user identifications and passwords resulting in an increase in security and audit trails.

Created, developed and supervised the day-to-day operation of the Internal Audit Department, including audit plans, internal control questionnaires, detail workpapers and audit reports for $300,000,000 combined net income operations. Additional responsibilities included writing internal controls for the various operations of the Tribe. These operations included casinos, agricultural, manufacturing, construction projects, as well as MIS, human resources, fixed assets, investments and all accounting areas. Supervised staff of seven including two management level seniors. Served as coordinator of team, which developed Tribal Minimum Internal Controls as required by the National Indian Gaming Commission.Performed ongoing testing to ensure compliance with government accounting policies regarding tribal grants.Turned unprofitable casino operation into $3,000,000. + profit center for tribe after six months of training the personnel in the new procedures and internal controls.Recommended and implemented automated bingo inventory and sales control system.Uncovered large fraud in bingo inventory area. Recommended change in internal controls and procedures. Resulted in senior management personnel and cashier being fired.Recommended and implemented a fixed asset system for all Tribal entities. After implementation fixed assets reduced on the general ledger by $1.3mm.

Responsible for the day-to-day operation of the audit department, including scheduling, planning and reporting of the Audit function. Audits performed included branch, a/p, a/r, compliance, EDP, fixed assets, commercial and consumer lending, investments and wire transfers. Implemented self-audit tracking system for bank branches. Six months after the implementing, all branches decreased the audit findings and were no longer noted as 'Unsuccessful, with Major Findings'. Worked in conjunction with the external auditors during annual audits. Tailored certain audits to allow the externals auditors to reduce external audit billings.Performed audits to ensure compliance with Federal Reserve, Office of the Comptroller of Currency and Securities and Exchange Commission requirements. Served as non-voting member of the 401K Committee.Discovered discrepancies in fixed asset system resulting in $50,000 reduction in asset values for one year. Recommended and oversaw implementation of changes to fixed asset system.

Supervised assigned staff in the preparation, performance, and completion of assigned audits. Audits included life and health insurance, real estate lending, commercial banking and consumer lending operations of the holding company. Developed automated system for planning and tracking departmental audit travel assignments and budgets significantly reducing time spent compiling changes.Uncovered $500,000 in duplicate accounts payable resulted in full restitution or credit from vendors.Created audit plans, internal control questionnaire and detail workpapers for each of the audits required. During each audit risk based changes were implemented.

Supervised assigned staff in the calculation, preparation, distribution and adjustment of bi-weekly commission paid to insurance agents. Reinsurance ClerkCalculated amounts of reinsurance fees payable and collectable on reinsurance accounts of companyComputer Experience MS Office Excel, Word, Access, Lotus, PowerPoint, Oracle, SAS, Easytrieve, Metadata, VISIO, and ACL. Also knowledgeable in UNIX, Novell, and AS400.