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Click here or scroll down to respond to this candidateCandidate's Name
Austin, TX Street Address / PHONE NUMBER AVAILABLE Mobile / EMAIL AVAILABLELINKEDIN LINK AVAILABLESUMMARY AND SKILLSPerformance-driven CPA with extensive qualifications in the insurance industry[1]. Practical, articulate, and creative with a proven ability to solve difficult business challenges. Innovative planning, organization, and conceptual abilities. Decision maker with a direct approach to solutions. Served as and been deposed multiple times as an Expert Witness. Professional with Big Four Public Accounting, Private, Regulatory, and Consulting experience. Strong working background in Process, Operational, and Internal Control Improvement; Audit, and Financial Consulting; Accounting and Shared Services Operations. Respected leader with a demonstrated ability to motivate and inspire teams.INDUSTRY EXPERIENCEProperty & Casualty InsuranceLife & Health InsuranceSolvency & Operational ReviewsWorkers CompensationMedicare AdvantageClaim Process RedesignUnclaimed Property AnalysisExpert Witness MattersShared Services Review/DesignAREAS OF EXPERTISEFinancial ModelingFinancial Risk ManagementOperational Risk ManagementRisk IdentificationRisk PrioritizationShared Services OperationsRisk ValidationRisk MonitoringInternal AuditFinancial Reporting & AnalysisForensic AccountingForensic InvestigationsInternal Controls (COSO)Financial & Internal AuditSarbanes-OxleyExpense ManagementStatutory ExaminationsMarket ConductPROFESSIONAL EXPERIENCETexas Property & Casualty Insurance Guaranty Assoc. (TPCIGA) - Austin, TX www.TPCIGA.orgChief Financial Officer1/2020 to PresentLead the Finance, Information Technology (IT), Human Resources (HR) and Planning & Business Services (P&BS) Divisions.Partner with the Executive Director, Claims Director, and IT Director.Manage a $7 million operating budget.Manage the Investment program (nearly $500 million), investment policy, and money managers.Stay current with financial, information systems, and operating issues.Serve as liaison to the Board of Directors Finance and Audit and Human Resources Committees.Direct, plan, and organize financial reserves programs, allocation of funds, and accounting systems.Provide oversight of administrative, operational, and financial functions, including Finance, Accounting, IT, HR, P&BS, and Claims Management.Prepare and implement annual budget, including reviewing expenditures to ensure compliance with approved budget guidelines. Lead the annual strategic plan.Manage financial aspects of program planning and liaise annual audits, insurance policy audits, etc.Provide technical guidance and direct the selection and implementation of various accounting applications and claims systems and issues.Review Special Deputy Receivership (SDR) funding requests & establish SDR expense allocation policy.Establish and monitor staff performance and progress toward developmental goals. Make recommendations regarding hiring, disciplining, and terminating employees.RISK & REGULATORY CONSULTING, LLC - Austin, TX(Former Regulatory Insurance Practice @ RSM US / McGladrey) www.riskreg.comDirector7/2011 1/2020Perform NAIC (National Association of Insurance Commissioners) risk focused statutory financial and market conduct examinations of insurance companies on behalf of state insurance departments (Property & Casualty, Life, and Health Insurers).Perform solvency & operational reviews on behalf of health / life / property & casualty insurance companies or state insurance departments.Provide internal audit services to the insurance and healthcare industries (SOX; ACA, Model Audit Rule).Provide expert witness services related to insurance company transactions.Served as a lead project manager on the Federal Health & Human Services (HHS) Medical Loss Ratio (MLR) examination project related to 25 to 45 insurance companies at any one time.Work closely with Financial Operations, IT Operations, and Actuarial Operations on behalf of insurance companies in the development of process improvements related to underwriting, claims, policy administration, and fraud risk management matters.Perform insurance company rehabilitation & receivership work on behalf of state insurance departments.Conduct financial and market conduct reviews of unclaimed property and state escheatment processing.Provide Form A (Insurance Company Change of Control) services on behalf of state insurance departments, with a keen emphasis on the impacts of competition.Participate in proposal development and responses to requests for proposal.Maintain strong client relationships through frequent client contact and development.Responsible for all aspects of project management including mentoring, managing, and inspiring teams.Responsible for achieving annual sales and utilization goals.RECTOR & ASSOCIATES, INC. Austin, TXwww.rector-associates.comSenior Financial Consultant1/2010 6/ 2011Served as a lead engagement manager representing health / life / property & casualty insurance companies, state insurance regulators, the NAIC, law firms, and accounting firms.Provided insurance regulatory consulting services with emphasis on corporate/business transactions, financial solvency matters, statutory accounting issues, internal control, and fraud risk matters.Served as expert witness on multiple claim and workers compensation matters.Resolved ad hoc requests along with client challenges/concerns through necessary research.Managed multiple concurrent engagements and the Firm consultants according to project needs.Participated in proposal developments and responses to requests for proposal.Maintained strong client relationships through frequent client contact and development.INDEPENDENT CONTRACTOR Austin, TX8/2008 12/2009Served as an expert witness responsible for analyzing various accounting transactions, including applying forensic accounting techniques.Provided outsourced accounting; budget & planning; process mapping; controls testing; organizational design; and process redesign services for various clients.Provided advisory, financial solvency, statutory examination, fraud risk management, and internal controls services to industry and state agencies. Emphasis includes the insurance industry and state insurance departments. Recent engagement performing a statutory financial examination of a Medicare Advantage health insurance company, which was subsequently acquired by United HealthCare.FIC INSURANCE GROUP, INC. Austin, TXwww.ficgroup.comNOTE: Americo Life acquired the Company on 7/17/08 and provided me with a 1-year severance.Director Internal Audit6/2007 7/2008Company was a financially troubled publicly held life insurance company based in Austin, Texas.Reported directly to and worked effectively with a demanding and risk-sensitive Independent Audit Committee, while fostering a productive relationship with the CEO.Established the Companys first ever risk-based internal control audit function and complied with the Public Company Accounting Oversight Boards (PCAOB) Auditing Standard #5 (AS-5).Constructed, delivered, and independently compiled the results of the Audit Committees individual director bi-annual self-evaluations. Provided suggested areas of improvement and or development.Constructed, launched, and managed the Companys 2007 Sarbanes-Oxley documentation, testing, and conclusion process. External auditor reliance saved the Company 20% in audit fees.Evaluated and drove the adequacy of the Company Operations solutions to remediate all six of their 2006 10-K Section 9A material operating weaknesses.Influenced and advised the Senior Management Team in the development of both a Fraud Risk Management Plan and a Quarterly SEC Disclosure Control Committee Process.Developed and delivered training programs on internal controls, ethics & compliance, and fraud risk management in both small groups and at the full Company level.Served as the Companys subject matter expert, investigation co-lead, and liaison with law enforcement related to an employees embezzlement of $250,000.Worked with the transition team following the Companys July 2008 acquisition by Americo Life (Kansas City, Missouri).KPMG LLP Hartford, CT / New York, NYwww.kpmg.comDirector Financial Advisory Services Forensic6/2000 6/2007Promoted from Senior Associate to Manager to Director within five years.Developed $1.5 million in annual individual revenue.Appointed by the Insurance Regulatory Practice as the lead project director for financial statutory and market conduct examinations.Performed claim, provider contracting, and utilization management reviews leading to process improvement and cost savings initiatives.Developed a relationship with the New State Workers Compensation Board, which progressed into a five-year contract to perform financial /operational reviews and examinations of self-insured funds.Conducted internal control gap analysis, in conjunction with Sarbanes-Oxley standards.Collaborated with both Firm and external Actuarial and Information Technology Teams.Assigned by the Firms Office of General Counsel and Department of Professional Practice to provide risk management reviews related to possible illegal acts by audit clients.Managed investigations in response to regulatory subpoenas, as well fraud in the audit (SAS 99), with a strong emphasis on the insurance, healthcare, and consumer goods industries.Developed and reviewed anti-fraud & compliance and business ethics programs for financial services companies, insurance companies and insurance-related entities.Led multi-site investigations of finite reinsurance, bid rigging, and stock options backdating.Developed a long-standing relationship with a prominent New York-based international law firm.Monitored the quarterly National Association of Insurance Commissioners (NAIC) Conferences.Motivated, mentored, and developed succession plans for junior staff.THE HARTFORD AFFINITY PERSONAL LINES Southington, CT, www.thehartford.comGeneral Accounting Manager Expense Management (Controllers Division)5/1999 6/2000CIGNA HEALTHCARE Bloomfield, CT, www.cigna.comAudit Assistant Director HealthCare Financial Reporting Division10/1997 5/1999STATE OF CONNECTICUT DEPT. OF INSURANCE Hartford, CT, www.ct.gov/cid/Insurance Accredited Financial Examiner4/1994 10/1997PRICE WATERHOUSE Hartford, CT, www.pwc.comSenior Accountant11/1992 4/1994AETNA LIFE & CASUALTY COMPANY Hartford, CT, www.aetna.com4/1991 11/1992Senior International Internal AuditorCOOPERS & LYBRAND San Jose, CA / Hartford, CT, www.pwc.comSenior Audit Associate9/1988 4/1991EDUCATION AND OTHERBachelor of Science in Business Administration (BSBA) - Major: AccountingUniversity of Hartford, West Hartford, Connecticut [magna cum laude May 1988]CREDENTIALS / MEMBERSHIPS:Certified Public Accountant (CPA) Licensed in the State of TexasMember of International Association of Insurance Receivers (IAIR)Member of the National Conference of Insurance Guaranty Funds (NCIGF)Member of the Financial Executive International (FEI)Certified Financial Examiner (CFE) - Society of Financial Examiners (SOFE) [Inactive]Special Deputy Receiver (SDR) Eligible Bidder with Texas Department of Insurance [Inactive]Market Conduct Management (MCM) designee Insurance Regulatory Examiners Society |
