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Candidate's Name , CFEArvada, COPHONE NUMBER AVAILABLE EMAIL AVAILABLEMANAGEMENT / BOARD REPORTING AUDIT TESTINGVENDOR COMPLIANCE / OVERSIGHT FRAUD PREVENTION / DETECTIONACCOUNTING (GL, AP, AR & PAYROLL) INTERNAL CONTROLS / PCI-DSSCONTRACT AUDITS / TPRM RISK MANAGEMENT / ASSESSMENTSOX / ITGC / ICFR TESTING SOFTWARE IMPLEMENTATIONCOSO / IIA / ACFE STANDARDS AUDIT REMEDIATIONPROFESSIONAL EXPERIENCECharles Schwab, Lone Tree, Colorado 4/2021-1/2024Manager, Vendor Oversight and Compliance/AuditPartnered with vendors, business, and corporate stakeholders to complete annual vendor compliance reviews.Based on my knowledge of corporate and departmental procedures, I obtained and evaluated key risk and performancefactors with followed up on any inconsistencies. Implemented a new document retention procedure for audit examsperformed by external auditors.Monitored third party issues and remediation actions associated with control gaps to ensuretimely closure. I coordinated across vendors, business owners and risk review teams to confirm controls are adequatelyaddressed as well for SLAs (Service Level Agreements) per their contract requirements.Support reporting requirements/compliance of other audit exams, as necessary.Led the creation and maintenance of departmental processes and procedures and functioned as a point of contact forquestions from the business related to Third Party Risk Management and contract issues.Implemented new processes and procedures for collection of SOC reports (System and Organization Controls).Maintained record management including document routing, storage, retrieval and reporting to Senior Managementand external auditors.Collaborate with cross-functional teams, including legal, operations, and IT to address compliance issues and implementcorrective measures.Completed accurate risk assessments and monitoring questionnaires in a timely manner for critical vendor relationships.Facilitated due diligence annual meetings associated with SEC Rule 38a-1for requirements of the 1940 Act Rule.This is a critical role in ensuring adherence to regulatory requirements, with a focus on the Investment Company Act of 1940(Section 38a-1 compliance), and high-risk vendor management. This position required a keen understandingof regulatory frameworks in the financial services industry, as well as expertise in auditing and assessing vendor risks.Facilitated compliance meetings with Schwabs high-risk vendors relating to Transfer Agency, Custody, Blue Sky,and Intermediary functions.Experis/Jefferson Wells, Denver, Colorado 8/2019- 11/2020Senior Internal Auditor & Operational Risk/Regulatory Consultant (Contractor)  Charles Schwab & LucentPerform internal control walkthroughs and Sarbanes-Oxley (SOX) testing procedures for key controls.Recommend improvements that add value to risk management, internal control, governance, and business processesand communicate control findings to process owners/audit clients.Supported Senior Team Manager in coordinating information responses with each respective Charles Schwab BusinessUnits when the companies to which they provide services for submit requests for due diligence information.Functioned as the Point of Contact on Vendor Management Team  Incoming Due Diligence at Charles Schwab.Gathered supporting documentation needed to complete the due diligence questionnaires submitted by current andpotential clients. This included completing Shared Assessments Program, Standard Information Gathering (SIG)Questionnaires; Service Organization Control Reports (SOC 1 & 2); and other forms of due diligence, as necessary.Tri-State Generation & Transmission Association, Inc., Westminster, Colorado 0/2013-12/2018Staff Auditor / (Promoted to Senior Auditor on12/23/2018)Conduct diversified special and complex audits of Association activities and compliance of various external companies.Including contract, financial and operational audits.Prepare audit outlines, perform audit fieldwork, evaluate, and analyze audit results, conduct opening and exit interviewswith auditees, and prepare and present formal audit reports for Executive Management and the Board of Directors.Examine, test, and consult with management in the development of internal accounting, administrative, and operationalcontrols which include all financial, energy, inventory and fuel management systems, and other Association systems andpolicies, as necessary.Observe and review physical inventory / cycle count procedures and methodologies, including test counts or other techniques for theverification of physical assets and supply chain management issues.Provide direct assistance for the External Auditors in conjunction with the Association's annual financial audit.Test of Controls, process walkthroughs and SOX / ITGC (Control testing over entire IT environment including access,infrastructure, applications & data) compliance support for and with external auditors.Performed a Quality Assessment Review (QAR) on the Internal Audit Function.Perform supervisory duties in the absence of the Manager.Coordinate the work of staff auditors when assigned to assist with special/complex audits.Coordinate Joint financial and operational audits with other utility entities with shared partnerships in coal mines and power plants.EDUCATIONMaster of Business Administration  Business/FinanceUniversity of Denver  Denver, COBachelor of Science  Finance & AccountingUniversity of Colorado  Boulder, COCERTIFICATIONS TECHNICAL SKILLSCertified Fraud Examiner (CFE), MSHA (Mine Safety and Health Administration)Microsoft Office, Sharepoint, ACL, Epic, Lawson, Oracle, SAP, SAS, BlackLine, Workiva, Workday, Ariba, Tableau, Alteryx