- Identify and monitor risks and controls impacting the Trust.- Project manage process improvement projects for efficiency and effectiveness.- Liaison with external and state auditors.

Financial Controls Manager at Avellino Lab - Jun 2023 - January 2024Implementing SOX program for bio-tech startup, and getting them SOX ready for public offering. From assessing financial risks and controls, to documenting and providing control evidence to external auditors in order to become 404a compliant. SOX Readiness Manager at Salesforce - Jul 2021 - May 2023Manage major projects and initiatives related to M&A and Finance Transformation SOX Readiness, and collaborate with the 1st, and 2nd line SOX Compliance teams to advise on the SOX impact, and to drive aligned assurance.

Support the SOX Program Management Office (SOX PMO) and the IT Compliance functionswithin the Poly Controllership organization, headquartered in Santa Cruz, California. Ensure the integrity and accuracy of the consolidated financial statements and local statutory financial statements globally by partnering and collaborating with the business and IT functions, providing excellent customer service, while also strengthening Poly’s global control environment through effective operating policies, procedures, and controls.

• Assist VP of Internal Audit in performing risk assessment and development of annual audit plan.• Design and execute operational domestic and international audits to ensure adequacy and effectiveness of the internal control environment, compliance with company policies and procedures, and identify opportunities for process improvements and operational cost reduction.• SOX project management for global manufacturing and finance processes.• Provide recommendations to management to improve/enhance internal control environment.• Work with management to develop acceptable solutions to address issues or gaps identified and follow-up with management to ensure remediation is adequately implemented.• Perform ad hoc compliance checks, and investigations for violations to company’s Code of Ethics.• Present and educate business partners about business risks, audit observations, and improvement opportunities.

• Plan and execute the day-to-day activities of audit engagements for Latin American countries in line with the risk assessment for the specific audit and Internal Audit management practices.• Lead team during operational audits, including manufacturing, shipping, payroll, order-to-cash, P2P processes, and the systems used to support these areas.• Analyze transaction data from SAP to understand variances from period-to-period, budget-to-actual expenses, as well as identify trends and potential process and SOX control opportunities.• Perform investigations for violations to company’s Code of Conduct, and provide appropriate reports to management summarizing the findings.• Present and educate business partners about business risks, audit observations, and improvement opportunities.

Sarbanes-Oxley (SOX)• Oversee and manage all aspects of the SOX PMO (testing, scoping, management of 3rd parties for testing, interaction with external auditors, presentations for Steering Committee and working with internal management).• Develop and execute internal audit and SOX 404 compliance plans and program.• Monitor change in business, process and systems to ensure timely updating of controls documentation (narrative, control matrix) and the identification of items impacting 302 and 404 compliance.• Communicate control weakness to process owners and senior management and prioritize remediation based on risk.• Draft SOX meeting materials for VP review and set up monthly/quarterly SOX calls• Provide support and guidance on SOX requirements to the process owners. Banking• Interpret and analyze complex alerts from various Anti-Money Laundering (AML) monitoring systems to determine if customer's account activity appears suspicious focusing on suspicious AML activity such as cash transactions, wire transfer, usual activity or type of account/customer and other related activity and makes recommendations for referral to Bank Secrecy Act (BSA) Investigations or closure.• Review daily and periodic OFAC reports to identify Bank customers on the OFAC list and freeze assets of such customers per OFAC requirements.Semiconductor• Investigate royalty payments for a Semiconductor Intellectual Property (IP) Core company which provides customizable microprocessor core designs to its licensees. • Evaluate the licensee’s contract compliance by monitoring how the licensed IP was tracked within the semiconductor parts development process and capture for any eventual royalty payments.• Review the licensee’s royalty payments calculations under the scope period for adherence to contract terms. • Recovered ~ $125K in royalty underpayments to client, which exceeded the 5% of royalty payments for the period audited.

• Duties related to Financial/Operational audits, Compliance/Regulatory audits, and Investigations. As a Lead auditor, responsibilities entailed managing staff auditors during audit planning and scope definition, kick-off deck presentation to audit client, fieldwork, closing deck presentation to formalize audit findings, report preparation and issuance, and communications with client and Internal Audit management throughout the audit and investigation. See below for examples of audits performed.Financial / Operational Audits – European Payroll• Discovered unauthorized increase of payroll for two employees.• Improved payroll process to prevent payroll manager from transmitting payroll data to local payroll provider, and reconciling HR/Payroll reports with local payroll provider’s files (segregation of duties).Compliance / Regulatory Audits - US Anti-Money Laundering Audit (Lead Auditor)• Discovered an algorithm flaw in the Office of Foreign Assets Control (OFAC) Sanctioned List scanning tool, which prevented the tool from identifying potential matches to the PayPal’s user’s names. Improvements were made to fine-tune the scanning tool to improve higher accuracy and decrease false-positives to comply with the Bank Secrecy Act (BSA) and the USA PATRIOT Act.• Managed co-source professional by educating, reviewing, and evaluating the work performed.Investigations - Account Take-Over (ATO) investigation• Discovered ~$160K duplicate payments related to $980K ATO reimbursements.Tools Development• Developed and implemented Audit Findings database used by Internal Audit team for progress tracking and reporting purposes.• Developed automated Gantt chart currently used in our group to manage resources assigned to audits according to our 2010 Audit Plan.

• Assisted in the planning and execution of Sarbanes-Oxley 404 Compliance testing of business process control reviews, information systems audits, and other service offerings across a variety of industries.• Evaluated and tested business processes and controls from gathering process narratives, compiling control matrices, developing audit programs, to executing control tests in accordance with COSO framework.

• Conducted substantive analytical procedures and test of details, and documented test results in accordance with KPMG Audit Methodology, making recommendations for adjustments and process improvement. • Mentored new-hires by sharing best-practices from other engagements, helping them to become proficient with KPMG Audit Methodology.