• Provide external and internal audit services including financial statements audits, performing SOX assessments, liquidity audits, CECL assessments, note disclosure preparation and audit
• Conduct compliance audit for public companies (e.g. heathcare industry, e.g. REMS audits)
• Conduct risk assessments and design controls and draft policies and procedures, process mapping/flowcharts etc.
• Provide controller services, including preparing investments schedules, booking and reviewing, journal entries, perform reconciliations and develop checklists, prepare financial statements etc.
• Systems and Applications: Box, Suralink, TeamMate, MetricStream, OnBase, PeopleSoft, Quickbooks etc.

• Serve as the point of contact for business through entity risk assessments and Audit engagements
• Provide continuous monitoring for Finance, Accounting, Wholesale, Model Risk, Capital Markets, Commercial Real Estate Leasing, Global Payments and Deposits
• Lead and execute complex audit engagements from planning to reporting and closing (e.g., Model Risk Management, Treasury (Liquidity Risk Management, Interest Rate Risk), Leasing, Homebuilder, Internal controls over financial reporting (SOX) etc.
• Develop and update risk assessments (risk and control matrix) for each audit engagement performed and execute multiple areas of complex risk-based test work during audit engagements
• Perform audits on internal control design and operating effectiveness testing and provide management with opportunities for improvement.
• Advise management on developing action plans that address the risk holistically and in alignment with the risk and compliance frameworks
• Manage audit team's assig

• Managed internal audit function, including updating policy and procedures in compliance with Institute of Internal Auditor's (IIA's) Standards
• Prepared risk assessment and presented annual risk-based audit plan to Audit Committee
• Acted as liaison for external financial statements, operational, and regulatory audits
• Established a follow-up process to monitor management's implementation plan for previous observations and recommendations
• Reviewed accounting processes to determine alignment with best practices and Standards

• Prepared risk-based audit plan and revised accordingly after incumbent CAE resignation
• Presented audit plan, budget, and updated policies to Audit Committee and agency director
• Performed internal audit self-assessment as required by IIA Standards
• Reviewed the completeness and accuracy of financial reporting data/schedules
• Advised management on key process and control improvements to maximize benefit of new financial system implementation
• Consolidated observations and recommendations, prepared tracker, followed up with process owners on status, tested remediation, and presented results to Audit Committee
• Collaborated with enterprise risk management and compliance divisions to identify and monitor investment and asset management risks and controls
• Initiated agency-wide risk appetite readiness to establish organization's risk profile
• Managed contractors for information technology outsourced audits
• Researched and developed a Service Organization Controls (SOC)

• Managed US and global financial, operational, compliance, and due diligence audits
• Performed compliance projects (Sarbanes-Oxley Act (SOX)) for technology organizations
• Planned and executed risk management consulting engagements for US-based organizations with international operations during strategic initiatives (EMEA, LATM, and APAC)
• Led and performed risk assessments, control design, operating efficiency and effectiveness testing, and reported observations and recommendations to process owners (acquisitions, new products)
• Managed outsourcing "lift and shift" consulting project, overseeing PTP, RTR, and OTC processes
• Mentored cross-functional teams of over 10 consultants during a global engagement to identify process gaps and perform controls testing to achieve revenue performance targets
• Conducted audits to ensure compliance with US GAAP and other industry-specific regulations to identify strategic opportunities for process improvement
• Facilitated SOX training

• Oversaw day-to-day operation of financial statements audit engagements
• Prepared audit strategy, set and monitored budgets, scheduled audits, selected resources etc.
• Prepared business requests, tracked project status, and worked through complex accounting areas
• Assessed risks and performed testing on challenging business processes for financial services
• Advised pre-IPO organizations on designing effective control environment for new system implementation and remediation of significant deficiencies
• Performed substantive tests of details over cash, notes receivable, accounts payable, prepaid expenses, accruals, provisions and other liabilities, deferred and unearned revenue, operating expenses, human capital, inventory customer returns, discounts, and allowances, etc.
• Reviewed the reconciliation of clients' journal entries for accuracy
• Performed technical accounting research to advise clients through challenging and ambiguous business transactions