Chief audit executive role, leading the internal audit function.

I led the development / integration of the governance, risk and compliance function for one of Canada's largest insurance brokerages. In addition to responsibility for enterprise risk management, I was responsible for coordinating the first line of defense operational compliance program covering various insurance regulatory areas, including anti-money laundering and privacy. My role also included policy governance and development as well as leading the enterprise business continuity program and overseeing the internal workflow and regulatory compliance program related to insurance sales suitability and adequacy of documentation pertaining to potential errors and omission risks.

I acted as the project manager to oversee and lead the Internal Controls function regarding the CSOX 52-109 annual evaluation, by performing quality assurance as well as deficiency evaluation, communication and remediation coordination with various stakeholders as well as all communication with the executive office. My role also entailed a restructuring, rationalizing and operationalizing of the entity-level controls, including a refresh/refocus of the fraud risk assessment. Similarly, I performed a strategic program review, identifying themes and practical recommendations for enhancing the CSOX compliance program.

Initially my role was to co-lead the Alberta technology assurance practice as part of supporting and enhance the technology assurance quality initiative. Over time, I expanded my role to include internal controls over financial reporting (ICFR) certification programs and internal audit departments by leveraging my experience as a Chief Audit Executive and ICFR program leader. I also supported clients by providing strategic advice, leadership and quality assurance within enterprise risk.

As the Chief Audit Executive, I led a team of professionals for a $10B multi-location business across North America, with a direct reporting line to the Audit Committee. Our mandate was to deliver assurance, risk management, consulting and fraud-related services across the enterprise for senior management and the Board.Selected Accomplishments- Developed and executed pragmatic risk and assurance strategies to save in excess of $30M.- Developed and led a high performing team with a cost base & turnover 3x better than the Calgary market and industry average, respectively.- Performed due diligence to evaluate internal control environments for acquisitions totaling over $3B.- Created scalable and sustainable Sarbanes Oxley (SOX) programs, including negotiating a 75% reduction in key controls and 50% reductions in associated external audit fees.- Implemented an integrated (three lines of defense) assurance model, including the design and implementation of custom governance, risk & compliance software generating net savings of $750K to the organization.- Designed and implemented methodologies for a strategic enterprise risk management, regulatory & compliance, project management, process & control assessment and enterprise fraud risk.

As the Chief Audit Executive, I built and developed the Risk & Compliance function with a direct reporting line to the Audit Committee. This function was developed from the ground up with a mandate that included accountability for running the Sarbanes Oxley sustainment and testing program as well as performing risk-based assessments, consultations, audits, reviews and other special engagements for the executive team and Board.

I insourced all external consultant responsibilities for the SOX project and completed the project delivery and implementation. My mandate was to review and rationalize the external consultant's work and to identify process and control inefficiencies and as well opportunities for realizing cost savings.

I reformed and revitalized the SOX program and related project team of 20 professionals to deliver a SOX project for a $2B multi-national business. My mandate involved obtaining a renewed commitment from the program sponsor, steering committee and the executive management team to create and negotiate a strategy with the external auditors for achieving early compliance. In addition to managing the program, I acted a quality assurance lead over all project deliverables.Key Accomplishment- Reformed and revitalized the SOX program team of 20 professionals to deliver the SOX initiative for a $2B multi-national business well ahead of schedule & $800K under budget.

I planned, managed and led teams of designated accounting, information technology, internal audit and risk management professionals for various types of engagements across Canada - e.g., Cyber Security, Strategy & Governance reviews, business process re-engineering and reviews, business continuity threat and impact assessments and reviews, and financial audit support.

I planned, managed and led teams of designated accounting, information technology, internal audit and risk management professionals for various types of engagements across Canada. In addition, I was a national audit methodology instructor as well as the Calgary-based lead for eBusiness Strategy consulting services.

In this role, I planned, managed and executed financial audit teams, specializing in financial institutions.