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Click here or scroll down to respond to this candidateCandidate's Name , CPAPHONE NUMBER AVAILABLE EMAIL AVAILABLE Jersey City, NJhttps://LINKEDIN LINK AVAILABLESUMMARY:Accomplished CPA and internal controls expert with 15+ years of combined professional experience in public accounting in the external audit and SEC practice and in the industry as SOX implementation and compliance program manager. Exceptional leadership, communication, organizational and project management skills. Driven to build productive working relationships and alliances that enhance business needs.SKILLS & EXPERTISE:CPA, Big Four, Financial Audit, Internal Controls, Internal Audit, Sarbanes-Oxley Act (SOX) Section 404 (S404) Implementation& Compliance, Internal Control Over Financial Reporting (ICFR), 2013 COSO Internal Control Integrated Framework, Top- Down Risk Assessment (TDRA), SEC Interpretative Management Guidance, SOX PMO, Business Process Improvement & Documentation, US GAAP, US GAAS, FASB ASC/ASU; IFRS; SEC Regulatory & Financial Reporting (10-K, 10-Q, 8-K), AICPA & PCAOB Auditing Standards, AS 2201 (formerly AS 5), SOC 1/SSAE 18 (formerly SSAE16/SAS 70), SOX 302 & 906 Executive Certification, Foreign Corrupt Practices Act of 1977 (FCPA), IT Controls (ITGC & ITAC), Share-Based Compensation(ASC 718, formerly FAS 123R), Revenue Recognition (ASC 606, IFRS 15), PROFESSIONAL EXPERIENCE:GROUP SJR (a WPP Company), Manhattan, NYGlobal Compliance Director Aug 2023 to Jun 2024 Served as the agencys first point of contact and subject matter expert (SME) on all things related to internal controls, business processes, risks and regulatory compliance. Led the agencys global corporate governance, risk management and compliance programs across all international locations including, but not limited to, SOX compliance and internal controls over financial reporting (ICFR) programs, IFRS 15 revenue recognition compliance, WPP internal control framework, Risks and Control Matrices (RCM), WPP Regional Spec Comms corporate compliance and reporting, accounting policies and procedures, among others. As part of Global Management Team, actively advised Senior Management and business process control owners in various functions such as Finance & Accounting, Human Resources & Operations, Information Technology, Client Accounts, Editorial, and Productions regarding material events or agreements and significant organizational changes in personnel, systems or processes that had internal controls impact from a risk assessment and reporting standpoint. Acted as a liaison with the companys external auditors (Deloitte), internal auditors (WPP IA), and outside SOX consultants (PwC) on scheduling and coordination of audit work, and evaluation of audit results and conclusions reached to ensure deliverables/timelines were met, status updates were timely reported, and significant issues/challenges were escalated to Senior Management (CFO). Performed control issue assessment and resolution by evaluating the severity of control deficiencies, and advising on, validating, and monitoring the remediation plan implemented by management. Identified opportunities and harmonized processes and controls across the business and improved the effectiveness and efficiency of control activities to fully address the significant financial reporting risks. Continuously monitored any relevant developments or changes to internal control and external financial reporting requirements from regulators and authoritative bodies such as SEC, PCAOB, FASB, IFRS, IASB, and assessed any impacts to the agency.Global Compliance Manager June 2021 to July 2023SOX Compliance Manager May 2019 to May 2021VARIOUS CONSULTING CLIENTS, San Francisco, CA 2011 to 2019 ICFR Audit & SOX Accounting Compliance Manager (Project Manager, Consultant) Specialized in providing business risk advisory consulting services such as ICFR documentation assessments and reporting for management (SOX 404), regulatory compliance, risk assessment and control enhancement, business process documentation and improvement, and other internal audit services in the business process side, as well as accounting services in the areas of audit readiness and coordination, technical/accounting research and memo, accounting policies/procedures, account reconciliation review/analysis, revenue recognition, and financial close optimization. Engaged by several accounting, risk advisory and management consulting firms as an external/outside consultant to efficiently run clients ICFR or SOX 404 compliance programs with the goal of maximizing external auditors reliance(Professional Experience, Continued) Candidate's Name Resume, Page Two to ultimately cut down costs of compliance, as well as other internal audit consulting projects requiring years of progressive experience and subject matter expertise. RSM US LLP (formerly McGladrey LLP), San Francisco, CA May 2013 to Nov 2013 Consulting Supervisor, Risk Advisory Services SOX/Internal Audit Coordinated and supervised the day-to-day execution of SOX 404 and internal audit engagements for clients in various industries using RSMs (McGladrey) internal audit methodologies. Led the overall project management activities for SOX 404 and internal audit engagements including status updates and communication clients and the executive team. Designed and executed tests of controls; analyzed the adequacy and operational effectiveness of processes and controls; and developed creative and practical recommendations for improvement that addressed identified risks. WITHUM LLP (formerly OUM & Co. LLP, a BDO Alliance Member), San Francisco, CA Dec 2007 to Dec 2010 Audit Manager, Assurance & Advisory Services Managed multiple financial statements audits, including reviews of annual and quarterly financial information (i.e., SEC Forms 10-K/10-Q) and ICFR audits for public companies subject to internal control reporting requirements of SOX, and other consulting projects (e.g., SOX 404 Implementation and Compliance Outsourcing) simultaneously, scheduling, staffing and coordinating engagements workflow. Promoted twice from Audit Senior to Supervisor and finally to Manager in a short span of eighteen months after joining the Firm while completing all four parts of the CPA Exam at the same time, a professional milestone achievement demonstrating executive presence, leadership, technical skills and dedication to work. SOX 404/internal control expert with experience as the manager-in-charge (SOX Project Manager) on the SOX Internal Control Outsourcing services engagement starting from year one and thereafter. Provided subject matter expertise, project management and resources, technical and business review to support consulting clients annual management assessment of the effectiveness of its internal control over financial reporting and SOX 404 compliance efforts. Furthermore, as a valued-added by-product service considered to be out-of-scope and therefore additional revenues to the Firm, assisted client management in developing test plans designed for evaluating operational effectiveness and efficiency of its newly acquired then foreign subsidiarys business operations. ERNST & YOUNG, LLP (EY), San Francisco, California Jan 2005 to Nov 2007 Senior Auditor 2, Assurance & Advisory Business Services (Core Audit) Handled the day-to-day execution of client engagements, such audits of financial statements (SEC Form 10-K) and audits of internal control over financial reporting (SOX audit) for public companies subject to the internal control reporting requirements of the Sarbanes-Oxley Act Section 404 (SOX 404) and interim financial statements reviews of SEC clients(SEC Form 10-Q), from planning to conclusion, while supervising staff auditors and providing them with on-the-job training, technical guidance and informal coaching. Selected to participate in the Firms Practice Rotation Program through the Business Risk Services (BRS) practice group with the multi-location SOX 404 Internal Control Outsourcing engagement. As a member of EYs SOX consulting team, successfully assisted client management in ensuring that the company and all its operating subsidiaries become SOX compliant in its Y1 of implementation, as well as provided IA services such as Balance Sheet audits and coordinated Physical Inventory Counts for multiple locations as part of operational audits. EICHSTAEDT & DEVEREAUX, LLP, San Francisco, CA Jan 2003 to Dec 2004 Staff Accountant, Audit & Tax ServicesEDUCATION:University of Guam (UOG), Mangilao, Guam Jan 1998 to Jun 2002 Bachelor of Business Administration, Major in Accounting & Minor in Management Graduated with Honors (Cum Laude); Deans List; Presidents List; Regent Scholar President, Junior Accountants Society; VP, Graduating Class Spring 02; Member, Chi Omicron Gamma Honor Society COMPUTER SOFTWARE SKILLS:Microsoft 365 (Word, Excel, PowerPoint, Outlook, Teams), Deltek Maconomy ERP, SAP BFC Group Reporting, ServiceNow eGRC, Wolters Kluwer TeamMate Audit SolutionsPROFESSIONAL CERTIFICATION & AFFILIATIONS : Certified Public Accountant (CPA) California (License #105855) Aug 2009 to Sep 2025 |
