Max Ye Email & Phone Number

San Francisco Bay Area

• Played the leading role in the Security & Compliance Track team on multiyearOracle Cloud ERP implementation. Led the SDLC compliance effort.Worked with business process owners, PMO and system implementers onsecurity role design, SOD analysis, access provisioning validation, dataconversion validation and business process re-design/readiness for SOXcompliance and ITGC readiness. Coordinated Internal Audit to performreal time assessment, to prevent potential deficiencies after system golive• Led the efforts to remediate a SDLC related Significant Deficiencyconcluded by external auditor. Established corporate-wide SDLCcompliance policy. Trained Project Manager Office on SDLC requirements.Monitored SDLC compliance for new application implementation projects tominimize the impact to SOX control effectiveness.• Performed annual SOX planning, coordinated walkthrough & testing forITGC, automatic controls and Electronic Audit Evidence in a highlydynamic IT environment with 3 live ERPs (Oracle Cloud, SAP, Oracle EBS)and more than 30 SOX applications. Performed risk assessment for SOXissues and remediation, Evaluated ITGC improvement opportunities andimplemented more streamline ITGCs.• Led the vendor evaluation program. Reviewed 3rd party service providers'SOC-1 reports. Evaluated service providers' control environment forcontrol reliance and verified sufficient controls in place in Western Digitalto satisfy service providers' Complementary User Entity Controls (CUECs).• Performed interface data mapping between old legacy systems and ERPs.Created a data flow diagram for significant financial data and key reports.Identified financial statement reporting risks and design IT dependentmanual controls.• Interviewed billing specialists to understand and document billingStandard Operating Procedure. Evaluated the root causes of erroneoussubscription billing and reported the remediation recommendations toCFO and Controller.

San Francisco Bay Area

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Senior Manager (Oct 2012 - Feb 2015)• Played the leading Sr. Manager role of Advisory Services in the Life ScienceSector. Established the online community to collect and share industryknowledge and updates, service and improvement opportunities, challengesand resolutions, and provide support to the sector team.• Coordinated with other industry sector leads and planned resources to meetextreme high demand during Q4 for SOX compliance Audit engagements• Developed and trained new resources and manager candidates to become newleaders in the Life Science Sector.• Managed 10+ IT SOC Compliance Audit engagements for life sciencecompanies in the Bay Area. Clients served: Intuitive Surgical, Zeiss Meditec,Nektar Therapeutics, Affymetrix Theravance etc.• Supervised engagement team to perform ITGC & application control testing.Evaluated ITGC design effectiveness and operation effectiveness. Identifiedcontrol deficiencies and improvement opportunities. Reported to clients' IT &Finance executives on remediation and improvement recommendations• Developed and delivered training courses to client servicing professionals onIndustry standards and regulations, Risk Assessment & Control Testing, Systemsecurity testing and analysis etc.Manager (Oct 2009 - Sept 2012)• Planned and supervised various types of audit and advisory engagements: SOX ITCompliance Audit (Intuitive Surgical), risk and control gap analysis, riskassessment and control implementation, control rationalization, operating systemand database security analysis (McKesson, Cisco, Kaiser), SOC-1(SAS70) Audit (Oracle).• Supervised ITGC rationalization engagement at Kaiser. Consolidated ITGCs anddeveloped standardized corporate wide ITGC Standard Operation Procedures for8 subsidiaries. Met with control owners and relevant parties to implementrationalized ITGCs. Performed quarterly evaluation to certify the operationeffectiveness.