Ming Chun (Mindy) Wen, Cpa, Cisa, Cia, Cfe Email & Phone Number

• Led pre-IPO and SOX readiness projects for manufacturing, media, and biotherapeutics industries. Identified IT general control (ITGC), IT application control within business processes, and key reports with financial reporting impact. Advised for policies and procedures and control remediation actions for IT governance, access security, change management and computer operations. Provided IT Control trainings to clients’ executives.• Led SOX and Internal Audit IT projects for public companies in the real estate, telecommunication, mobile banking services, and manufacturing industries. Conducted project planning, risk assessment and scoping, project execution, client communication, liaison with Big-4 external auditors, deficiencies communication, audit committee reporting, resource coordination, and team development. Experienced in audit for SAP, Oracle database, NetSuite, MRI, Nexus, Workday, AWS, Okta, Salesforce, Active Directory.• Advised on controls and audit documentation for clients’ system implementations through software development life cycle (SDLC) for Workday, Oracle NetSuite, MS Dynamics 365, Blackline, Yardi, and Angus.• Led SSAE 18 SOC 1 Type 2 report engagements for real estate and entertainment distribution industries. Conducted project proposal, planning, budgeting, on-site field work, testing review, deficiencies assessment, and final report issuance per AICPA SOC guidance.• Coordinated seven SOC 1 Type 2 attestation projects with control owners and executives who are US. Mexico, and Europe territories and leveraged resources and knowledge to improve audit efficiency.• Reviewed and assessed service organizations’ SOC reports and mapped complementary user entity controls with the user entity’s business process and IT controls. Identified service organizations’ control impacts to the user entity and advised on compensating controls.• SOD Analysis using FastPath

Greater Los Angeles Area

• Provided independent audit, accounting, finance, and business consulting services.• Performed SOX financial compliance testing and created SOX documents for public traded companies in manufacturing and technology industries.

Commerce

• Conducted the 2013 COSO framework transition.• Planed the SOX compliance annual plan and performed process walkthrough and control testing.• Managed the control self-assessment program. Evaluated the risk assessment result, identified areas of risk, performed investigations on the high risk areas, and recommended corrective actions.• Planed, completed, and reported on the operational audits and special projects. Identified risks and appraised their significance in relation to operational factors of cost and quality. Recommended courses of action to improve the operations. Projects audited include warehouse closure post review, real estate service, lease, non-stock requisition and purchase order, salvage sales, accounts payable, code date management and cycle counting processes.

Commerce

• Provided internal audit consulting service• Developed and completed an effective and efficient audit program for assigned internal audit projects. Met with department management, defined scope of audit or review, and determined benefits to be gained. • Determined areas of risk and appraised their significance in relation to operational factors of cost and quality.• Identified factors causing deficient internal control conditions and recommended courses of action to improve the conditions.

Greater Los Angeles Area

•Led team of eight auditors and oversaw the operations of Internal Audit, including Sarbanes-Oxley Compliance (SOX), IT audit, operational audit, and fraud investigation functions for both US and China territories for the $2.8 billion revenue, Internet Top 12, online retailer.•Performed operational audit risk assessment, developed operational audit programs, working papers, and internal audit reports. Supervised operational audit projects. Operational audit cycles include purchase and merchandise, inventory management, expenditure, customer service, Enterprise Incentive Management System (EIMS), Return Merchandise Authorization (RMA), general administration, and human resources.•Communicated and partnered with management to add value to business operation, changing traditional auditing functions of finding problems to resolving problems for more efficient operations.•Consulted financial department on SOX compliance, performed the planning, and supervised internal auditors SOX testing, including entity level control testing, treasury, revenue, inventory management, expenditure, customer service, EIMS, and RMA processes.•Built fraud audit function and fraud audit team. Performed fraud risk assessment. Managed whistleblower reports and led fraud, operational, whistleblower investigation. Performed data analysis to identify issues or fraud indicators and developed guidelines to better manage these indicators in the future.•Communicated with external auditors, PriceWaterhouseCoopers (PWC).•Integrated results from operational audit, fraud audit, SOX business processes testing and ITGC testing results and reported audit results to the Audit Committee Chairman, and Board of Directors. Prepare the annual audit plan based on previous audit results and risk assessments.•Performed departmental budgeting, resource allocation, schedule management, and reporting processes. Trained auditors and retained talent with zero employee loss.

Greater Los Angeles Area

• Performed fraud, operation, and whistleblower investigations and reported to the Director of Internal Audit and presented to the Chairman of the Board.• Participated operational audit risk assessment and performed audit work via processes of interview with process owners, flow chart and narrative preparation, risk identification, and communication with management. • Assisted the Director of Internal Audit with departmental administration.

San Diego, Los Angeles, San Jose

• Consulted clients on internal control of operations and SOX compliance.• Performed SOX financial compliance testing and created SOX documents for public traded companies in energy, technology, and mining industries.

Riverside, California

• Led class of 50 students in Financial and Managerial Accounting for undergraduates.• Graded approximately 250 student assignments per week. Provided analysis of students’ study situations and tutored when required.

Culver City, California

• Participated in testing plan and prepared documentation for global territories.• Involved in segregation of duty, assertion, rationalization, walkthrough, and company level control.• Assisted six managers and reviewed and updated lead sheets and risk control matrix.

Taiwan

• Audited financial reports and income tax returns of clients in banking, financial, manufacturing, and purchase industries.• Consulted clients on internal control of operating and document processes.• Participated in SOX compliance project.• Managed the audit team and worked on multiple assignments to prioritize tasks.

Mba, Finance, 3.596

Activities and Societies: President: Taiwanese Graduate Students Association Accounting Society Club

Ba, Accounting

Activities and Societies: AIESEC, International Association of Student in Economic and Management Club: Special-Project-Team Member.