Nathan Lai Email & Phone Number

New York City Metropolitan Area

Greater New York City Area

Livingston, NJ

• Interacting with business/function partners (e.g., Internal Audit, Compliance, Operational Risk, Information Technology, SOX Program Office and Business Continuity Planning, etc.) on operational risk, compliance and.
• Monitoring department activities to ensure compliance with regulations and organizational policies and procedures
• Assisting with the development and maintenance of comprehensive policy/procedures for all business processes
• Assisting with the evaluation of the effectiveness of the internal controls design and existing processes including those related to Sarbanes-Oxley 404 and corporate governance
• Documenting the work performed and communicating suggestions to enhance the existing control environment and/or most efficient solutions to remediate control issues
• Assisting with operational risk management framework efforts including preparation of risk assessments

Greater New York City Area

• Helped implement SOX for 1st year public company.
• Integrated 8 new business units into the SOX program in year two.
• Performed a risk assessment process across the Company’s businesses to identify significant financial statement accounts and disclosures for planning and scoping.
• Conduct and/or support process walkthroughs for in-scope business process areas to ensure key controls are effectively designed and implemented.
• Prepare and/or maintained SOX documentation (process narratives, flowcharts, and risk control matrix) and ensured documentation reflected the current business processes.
• Coordinated audit requests and meetings with process owners and internal/external auditors.

Roseland, NJ

• Responsible for managing and leading the team to test for SOX compliance across North America (US and Canada) for all Business Units, Europe, and corporate functions of ADP. In this leadership role, key.
• Partnered with ADP business unit management to streamline and enhance controls and underlying processes during walkthroughs
• Drafted the ADP Corporate Spreadsheet Policy as well as the guidelines and controls to test it
• Managed the SOX on-boarding process for new areas/business units ensuring that the key controls align with the current business environment and address the relevant assertions and risks
• Participated in the SOX Optimization effort that resulted in a significant reduction in SOX controls by eliminating non-key controls an shifting the focus on higher level analytic controls
• Assisted in drafting the Deficiency Evaluation Methodology used by the SOX department for quantifying the exposure related to control failures

Short Hills, NJ

Bs, Accounting

Mba, Marketing