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Skills

  • Audit-related risk reduction
  • Audit trail documentation management
  • Continuous monitoring framework setup
  • Communications
  • Relationship development
  • Initiative equipment
  • Regulatory examinations
  • MS Office
  • Supervision
  • Control gap analysis

Work Experiences

  • Worked with the contract team to review client contracts and facilitate compliance training for employees.
  • Transported SAP to one year customer locations.
  • Built a comprehensive SOX control framework for compliance.
  • Analyzed the design of 2 business process controls.
  • Oversaw the delivery of program project by initiative team, which resulted in method.
  • Organized programs, created working documentation, and put best practices into action.
  • Collaborated with IT and security experts.
  • Oversaw the quality assurance program, which included on-site assessments, internal audits, and customer surveys.
  • Collaborated with cross-functional teams.
  • Collaborated with IT and security experts to evaluate the impact of cybersecurity risks on internal controls, enhancing system safeguards by 76%.

Summaries

  • Recognized for motivating management team members to achieve their goals and fostering innovative work environments.
  • Working with federal and state regulations is a strong suit.
  • Costs were consistently reduced while profits were increased.
  • Knowledgeable Compliance Manager with a track record of developing policies, leading training programs, and managing compliance reporting.
  • Championed continuous monitoring tools that enhanced the real-time analysis of control effectiveness, driving ongoing SOX compliance improvements.
  • Conducted 3 control reviews annually.
  • Achieved a 36% improvement in compliance.
  • Sarbanes-Oxley Compliance Analyst with 10 years of successful budget management and quality assurance experience.
  • Dedicated to learning, growing, and succeeding in Banking and Financial Services.
  • Overall morale and productivity are boosted by experience in policy development and staff management procedures.

Accomplishments

  • Developed and presented SOX training material for 7 business units, enhancing awareness and adherence to internal controls for 2 employees.
  • Used Microsoft Excel to develop inventory tracking spreadsheets.
  • Established a comprehensive SOX testing plan that covered 79% of financial control systems and reduced external auditor reliance during annual reviews.
  • Identified opportunities for IT control automation in 7 systems, streamlining testing processes and enhancing compliance tracking by 54%.
  • Reviewed IT general controls (ITGCs) for 13 systems, ensuring alignment with SOX requirements and enhancing system security by 51%.
  • Led periodic reviews of internal controls for 6 regional operations, ensuring continuous SOX compliance and mitigating potential financial losses by 61%.
  • Coordinated remediation efforts for 15 IT control deficiencies, achieving 100% control compliance within 9 months of discovery.
  • Produced internal audit reports that facilitated risk-based decisions by executives, ultimately improving organizational fiscal reporting accuracy by 25%.
  • Documented and resolved method which led to initiative.
  • Collaborated with team of 6 in the development of process.

Affiliations

  • Toastmasters
  • Attendee of the Annual SOX Compliance Conference in 2018
  • SOX-Focused Webinar Series Attendance (e.g., SOX Compliance: Best Practices in 2016)
  • Freemason
  • Member of the Association of Government Accountants (AGA)
  • Speaker at Sarbanes-Oxley Training Seminar (Handled presentation on team leadership in 2024)
  • International Association of Administrative Professionals
  • Society of Human Resource Management
  • Society for Corporate Compliance and Ethics (SCCE)
  • Chartered Global Management Accountant (CGMA) designation

Certifications

  • Association of Certified Chartered Accountants (ACCA)
  • CompTIA A+ Technician
  • Certified Business Analysis Professional (CBAP)
  • Certified Governance, Risk, and Compliance Auditor (CGRA)
  • Certified Regulatory Compliance Manager (CRCM)
  • Risk Management Certification (RMC) - Vantage
  • Chartered Global Management Accountant (CGMA)
  • Certified Information Security Manager (CISM)
  • Microsoft Certified Systems Engineer (MCSE)
  • Salesforce

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