I planned, led, and executed end-to-end testing of financial/operational processes related to the implementation of the Oracle ERP platform over a 12-month period. Ensured SOX 404 compliance. I identified risk(s), documented findings, and presented recommendations that have since saved $350K+ in annual external audit fees. The existing audit policies and procedures that I streamlined have enhanced controls. Flow charts and risk matrices I created within financial reporting, project accounting, customer billing, AP, fixed assets, and leases have increased efficiency during audits. I identified 3rd-party payments within AP that had caused a conflict of interest(s) and employed a new monitoring system that detected and deterred those transactions. To help managers easily identify and allocate resources for problematic areas, I developed an enterprise risk management dashboard.

I restructured the Compliance Testing department by creating a 3-year strategic plan and outlined testing guidelines. Utilizing a risk-based approach, I expanded audit coverage within several areas of risk that were not previously addressed. As a result, I reduced 58 open compliance issues down to 12 open items within a 6-month period. In addition, I designed and implemented Continuous Compliance Monitoring programs to effectively mitigate high-risk transactions. I rewrote compliance practices that reduced risk, resolved compliance gaps, and tracked progress. Lastly, I built a vendor risk assessment framework to evaluate key business partnerships, ensuring compliance with contractual arrangements.

I developed and executed a formal compliance program for Canadian operations by establishing updated policies, procedures, and best practices. I created efficient templates and provided additional resources, ensuring adherence to Canadian trade laws and lowering yearly consulting fees by $1MM+. My primary focus was regulatory compliance with Dodd-Frank, AML, Volcker, CFTC, and French bank laws.

I streamlined all audit processes, practices, and procedures to improve controls and compliance, coordinating with the SEC, Federal Reserve, and CFTC regarding the 2015 OCIE evaluation of the OCC Internal Audit. I ensured the ERP framework met industry standards, regulatory guidelines, and corporate policies.

I conducted SOX 404 audits, reviewing financial/operational processes and controls. Identifying risks and providing suggestions were key. I also analyzed key business processes during the SAP implementation to ensure appropriate control framework was implemented.

My concentration was financial and operational audits, testing controls, assessing risks, and ensuring compliance with federal and corporate guidelines. I also examined commercial/residential closing transactions such as lease agreements, commission agreements, and title insurance policies.