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Candidate's Name , JR., CPA, CFEEMAIL AVAILABLE New York, NYLINKEDIN LINK AVAILABLE 1-917-679-4296 Compliance professional with demonstrated experience providing global investigation, audit, accounting and finance experience support in highly confidential and customer-facing work environments. Holds specialty knowledge in the areas of government regulations, sales, marketing, manufacturing, third-party risk management and expense reporting. Adept in identifying and interpreting data to best report information to mitigate risk and support continuous process improvements. Core competencies include: Audits Compliance Forensic Accounting Corporate Finance Cross-Functional Team Leadership Business Process Improvement Corporate Governance Investigations Project Management EXPERIENCEHSBC INC., New York City, NY 2015 - 2022Audit Manager (March 2021  December 2022)Oversaw the audit process from engagement planning to audit report issuance including regulatory compliance, enterprise risk management, project management and governance framework assessments. Contracted Audit Manager (April 2015  March 2021) Prepared monthly, quarterly and annual presentations for the US Audit and Risk Committees. Monitored the US Internal Audit annual budget and provided summary explanations of expenses to the US Internal Audit Lead Auditor and Audit Chief Operations Officer. Processed vendor billings, preparing monthly accruals and monitoring future expenses against the budget to ensure costs are in line with the annual operating plan. Reviewed employee headcount as well as departmental traveling and entertainment expenses. DELOITTE FINANCIAL ADVISORY SERVICES LLC, New York City, NY 2010 - 2014 Senior Manager - Forensic & Dispute Services Led a team of 25+ colleagues on a large, cross functional client project related to the mortgage crisis. Managed a team for the development of a centralized fraud office for a major financial services client. Directed a team of cross-functional colleagues in a multi-national Foreign Corrupt Practices Act (FCPA) investigation of a life sciences client. Presented, as a subject matter expert (SME), on investigative interviewing, the FCPA and Anti-Bribery & Corruption at industry conferences (the Institute of Internal Auditors (IIA), the Association of Fraud Examiners (ACFE) and Annual BioPharma Congresses) and as a guest lecturer at Fairfield University. Reviewed, analyzed and summarized financial information and supporting documentation related to an FCPA investigation of a consumer products client.PFIZER INC., New York City, NYAudit Compliance Manager/Corporate Audit Manager/Senior Financial Auditor Developed the Audit Compliance Group with a staff of three colleagues responsible for monitoring, investigating and overseeing financial and IT fraud allegations for a $60 billion dollar business with over 100,000 colleagues. The Group covered finance, sales, marketing, manufacturing, distribution, research and development activities. Worked in conjunction with the Compliance Department to monitor/investigate the compliance of sales and marketing programs under Pfizers Corporate Integrity Agreement (speaker programs, off-label marketing). Collected more than $15 million in cash and credits/refunds related to investigation recoveries as well as special project work (insurance claims, fraud recoveries, utility refunds and refunded airline tickets). Trained both Audit and Finance employees on how to assist during fraud investigations. Provided finance and operational support for the Latin American Logistics Center in Panama. Consolidated Corporate Policies/Procedures during the 2003 Pharmacia and 2009 Wyeth acquisitions. Presented at Pharmaceutical Internal Audit Forum (PIAF) meetings on the topic of fraud investigations. Provided support to Legal Compliance, Corporate Security, Corporate Insurance, Global Sourcing and local authorities (District Attorney offices and the US Postal Inspector Service) to address compliance violations. Managed multiple global audit assignments concurrently with up to ten auditors per assignment. Supervised six direct reports, including performance evaluations, career coaching and objective setting. Initiated and administered audits of global construction activity to ensure the propriety of contractor billings. Pfizer received over $1 million in refunds as a result of this work. Provided six months of full-time assistance to the Corporate Insurance Group due to the September 11th attacks. This included monitoring Pfizers global property program and liaising with insurance brokers. Presented Pfizers Policy on Business Conduct to over 6,000 employees at various US and global locations. ARTHUR ANDERSEN & CO., Boston, MA & Roseland, NJ - Senior Auditor EDUCATION/CERTIFICATIONSMASTER OF SCIENCE (MS) IN ACCOUNTING:Northeastern University, Graduate School of Professional Accounting, Boston, MA BACHELOR OF ARTS (BA) IN HISTORY:College of The Holy Cross, Worcester, MACertified Public Accountant (CPA) in Massachusetts & New York and Certified Fraud Examiner (CFE). LECTURES/PANELS/PUBLICATIONSBusiness Ethics, (Guest Lecturer)(Fairfield Universitys Charles Dolan School of Business, November 2012, November 2013 and March 2015) FCPA & Anti-Corruption: A Strategic Approach, (Co-Presenter)(Monthly Meeting of the New York Chapter of the Association of Certified Fraud Examiners, March 2013) Internal Auditing for FCPA & Anti-Corruption - A Strategic Approach, (Co-Presenter)(The Institute of Internal Auditors New York Chapter October 19th, 2012 Workshop) Adhering to Regulations and Avoid Corruption in Ex-US Operations, (Speaker)(Center for Business Intelligences Bio/Pharmaceutical Legal Congress, June 2011) Responding to a Congressional Investigation, Subpoena or Inquiry, (Panel Moderator)(Center for Business Intelligences Bio/Pharmaceutical Legal Congress, June 2011) Mitigate Risk by Monitoring Travel and Entertainment Expenses (Co-Author)(New York, NY: Deloitte LLP White Paper, 2011)Toby J. J. Bishop and Frank E. Hydoski, Corporate Resiliency: Managing the Growing Risk of Fraud and Corruption, (Hoboken, NJ: John Wiley & Sons, Inc., 2009). Interviewed by the authors, see page 113. Thomas H. Davenport and John C. Beck, The Attention Economy: Understanding the New Currency of Business,(Boston, MA: Harvard Business School Press, 2001). Interviewed by the authors, see pages 189 & 190.