SUMMARY

• Project Management (PM) and/or Audit Engagement Management at several companies including Cisco, Arista, Confidential (Manufacturing, Inventory, Suppliers), Confidential, IBM, HP, LiveWorld, Wireless Online, DCAA (Defense Contract Audit Agency under DoD), Britton Lee (Physical Inventory and PI Instructions), Supplier - Vendor vetting/ qualifying, Consulting assignments and Public Accounting firms.
• Received 4 Awards for Internal Controls Testing and Remediation (IBM), and developing Audit Leads (DCAA).
• 10+ years in Cost or Project Accounting: Construction, WBS (work breakdown structure), % of Completion, standard, process (including yields) and job or project costing, including Inventory, Reconciliations, Physical Inventories, Valuations and various Variance Analyses. Asset Management, long / short term, including Physical Inventories
• 15+ years in Financial Analysis; Budgeting, Forecasting (Revenue, OpEx/ Expenses, other), Planning (FP&A), Intercompany issues and International Consolidations; Accounting and SEC (External) Reporting under US GAAP and/or IFRS.
• 12+ years of Revenue Recognition: ASC 606 (New Rev Rec rules), ASC 605-25, TPE (3rd Party Evidence) or BESP (best estimate selling price) ASC 985-605, ASU 2009-13&14, (formerly SOP 97-2, SOP 81-1; EITF 09-3, EITF 08-1, EITF 00-21 ; SAB 104, SAB 101 and related pronouncements).
• 12+ years managing teams of up to 16 direct reports, including hiring and professional development. Skilled in negotiations, Financial & Business Analyses, General Ledger & full cycle accounting processes (took training in ASC 842 - New Lease rules, in addition to using or documenting current Leasing rules, under ASC 840; wrote Paper on pre-ASC 842 Current Lease Accounting), including M&A (mergers & acquisitions), team and total quality management styles.
• 12+ years analyzing systems, internal controls, policies and procedures, and recommend (in written reports or audits) improvements for economy and efficiency, including Sarbanes Oxley 404 (from start to finish: Risk Assessment/ Analyses/ Management through remediation of gaps or issues) audits with PCAOB and other related guidance; Internal (COSO), IT (COBIT) or Operations Audits. Performed, assessed, made recommendations related to ISMS models such as ISO 27001, SSAE 16/ SSAE18 (SOC1, Type II - formerly SAS 70 Type II), and SOC2 (Type II - IT infrastructure - AT101) Audits.
• 4 ERP selections or implementations, (Oracle Financials, NetSuite, and 2 other ERP systems), including selection, IT controls assessment and conversion. Participated in or Led SOX audits (including Flowcharts, Narratives, Risk Control Matrices (RCMs), Gap Analyses, Remediation) of IT areas (including security, internal controls, applications, spreadsheets). Use of Pert Charts and Critical Paths for various projects or audits.
• 12+ years’ experience with Microsoft Office (advanced Excel, such as Pivot Tables, VLookUps, etc.; Word, PowerPoint, Visio…), SharePoint, SmartSheet, Client Portal (CCH product), Concur, Egnyte, Live Link, EDM (Electronic Data Management), Oracle (v.11i & v. 12) Financials, ADI & Discoverer, Wdesk/ Webfiling (took tutorials on their site), XBRL (took classes/ seminars), SFDC (salesforce.com), SAP, SaaS, NetSuite, Adaptive Planning (Insights), WebEx and WebEx Connect, Cognos Impromptu (BI), Propel (HP product) Project Management Tracking S/W, Hyperion Essbase/ others, Accounting Research Manager (ARM-CCH), GQL (related to SQL), Planview, Coupa and some custom software.

PROFESSIONAL EXPERIENCE

SOX Auditor

Confidential, Seattle, WA

Responsibilities:

• Review and documentation (narratives, flow charts, etc.) of Payroll and HR subsystems including flow of time keeping within systems and subsystems
• Analyses of Time Keeping systems for completeness and accuracy
• Meetings, walkthroughs, discovery, flow tracings for and within subsystems
• Identification of key and other controls, gaps, suggestions for new or revised controls and control activities.

Sr. Analyst

Confidential, Menlo Park, CA

Responsibilities:

• Analyze risks internal to company, rating them in severity; propose and map control activities using COBIT; cross reference to and other (NIST, ISO) frameworks
• Details of Control activities, risk ratings, etc., and Remediation plans, tracked in GRC Tool repository
• Review/ discuss with Stakeholders as to ratings, controls & testing, remediation and related

Sr Internal Auditor

Confidential, Palo Alto, CA

Responsibilities:

• Started the Internal Audit function, Risk Analyses, process design and documentation, identifying control points and test scripts, and other audit related functions.
• Processes include the Revenue cycle (Order to Cash/ OTC, ASC 606), Procure to Pay (Purchasing cycle), Financial Close process, Travel & Expense Reporting, Time Reporting, Automating more manual processes, SoD (separation of duties), and other tasks.
• Support Government audits, Internal and external Audits, and similar or related functions.
• Use of Deltek CostPoint, SmartSheets, SharePoint, Slack, others

Business Analyst

Confidential, Palo Alto, CA

Responsibilities:

• Implementation of ASC 842, New Lease Accounting rules, to be in place as of ASC’s effective date.
• Evaluation and testing of Nakisa 3rd party software for new ASC 842 lease accounting to ensure compliance with ASC 842, and compatibility with SAP ERP software.

SOX Process Design Analyst/Accenture

Confidential, San Jose, CA

Responsibilities:

• Process Design & Re-engineering, process implementation & improvement,
• Drafting of Step by step desk top procedures (P2P, others) with some screen shots for companies owned by Accenture's public, SEC filing client (Alphabet, aka Confidential ) company.
• Use of Lucid chart, Confidential docs, Oracle, other software and tools.

Sr. Audit Migration/Business Analyst

Confidential, San Jose, CA

Responsibilities:

• Integrated Audits, financial statements, controls testing for various Public, SEC filing clients (OncoMed Pharma, eHealth Insurance, KSEC (Hitachi) Semiconductor, others).
• Review of Planning documents, Audit work papers (Revenue/ QTC, B/S Accts, other areas) and related documents for engagements, Supervising junior Staff Auditors
• ASC 606 new Revenue Standard (QTC or OTC) Contract and Legal terms, performance obligations, compensation, term and termination, and other attributes of audit selected samples. Testing of controls as part of the revenue cycle.
• Audit Planning for various clients; use of Canvas (audit w/p, test results, etc. repository), Atlas (audit/ accounting research DB), other proprietary software

Sr. Risk/Audit Business Migration

Confidential, San Jose, CA

Responsibilities:

• Internal Audit function augmentation, controls testing for various clients (e.g., Redwood Trust).
• Software conversion testing (for completeness, accuracy, etc.) by major categories and accounts for both attribute and variable items primarily to determine accuracy and completeness of Financial Statements post conversion.
• SOX Implementation documentation for client, Stitch Fit

Audit Support/Business Analyst

Confidential, Santa Clara, CA

Responsibilities:

• Analysis and support for 3 years of International (UK, Germany) Financial Statements related to statutory audit filings, using NetSuite, Adaptive Insights (Planning) and other software.
• Visa: Assist with Analyses, Implementation and Upgrades for New Revenue Standard rules under ASC 606, using Oracle (Cloud), advanced Excel (Pivot tables, V-LookUps, etc.)
• Formally document new Revenue (QTC) policies, assess impacts, document or revise related financial or banking institution processes, identify key revenue metrics, Review Contracts, contract verbiage, and SEC Reporting changes and centralize new documentation related to ASC 606, Revenue from Contracts (QTC) with Customers

Sr. IT Internal Audit Migration

Confidential, Torrance, CA

Responsibilities:

• IT Application Controls (ITAC - Cloud): Reviewing work papers, meetings with client, testing application controls (custom software, Documentum, SAP, etc.) for major auto manufacturer, for FYE 3/31/XX and similar activities. Use of advanced Excel.
• Supervise and mentor junior staff regarding ITAC, Internal Controls and related issues.

Project Forecasting/Business Analyst

Confidential, Santa Clara, CA

Responsibilities:

• Financial Analysis & Forecasting (expense, costs, revenue/ QTC, other) for major project, using historical & projected data.
• Participated in Budgeting and Forecasting for IT & other dept.’s, General Ledger accounting (Oracle - Cloud), and GDB (global digital bank).
• Assisted with Audit Support: SOX Audits and Processes, including Mergers & Acquisitions (M&A), Revenue Cycle and Process under ASC 606 (New Rev Rec rules), related Testing, RCM’s and Flowchart Updates, Cost Accounting & Variance Analyses; documentation or revision of related banking or financial institution processes
• Employed Planview, Oracle, advanced Excel, Hyperion and Coupa for Forecasting (FP&A) purposes.

Sr. Process/ Business Migration

Confidential, San Jose, CA

Responsibilities:

• Management consulting regarding offerings to customers or stakeholders: improving Services available, such as Information Business Enablement, InfoSec (information security) GRC (global risk & compliance); desktop, technical, ERP (Oracle - Cloud, PeopleSoft) or other support services, and additional topics.
• Assisted client (Fannie Mae, VA area) with defining and/or transforming Information Security (InfoSec), Technical support and related services, including General Ledger and Lease accounting, Processes related to SOX, Mergers & Acquisitions (M&A), Internal Controls, Legal procedures, various types of Audits and Audit Support, to clients and stakeholders.
• Teams operate virtually throughout the US. Extensive use of PowerPoint, also advanced Excel, Word, Confidential Apps, WebEx, Expensify, specialty software.

Sr. IT, Internal

Confidential, Santa Clara, CA

Responsibilities:

• IT Internal, SOX and External, SOC2 /SOC1 audits including (not limited to) ITGC’s (IT general controls), Change Management (for software, ticketing system & related), Security (physical & logical), Computer Operations, IT Application Controls (ITAC), Processing Integrity, General Ledger (Oracle, Hyperion, SAP, Cloud based s/w. others) and Lease accounting, and other IT areas for clients (Marvell Semiconductor, Yahoo (SOC2/1), Willis (SOC2/1) Leasing, CXC (clearXchange).
• Recommended, as part of financial, internal and SOX audits, better processes, controls or Best Practices to clients for achieving goals in internal controls, technology or accounting.
• Employed Sharepoint, advanced Excel, eAudit, SQL / GQL, and a variety of specialty software.

Business Analyst

Confidential, Santa Clara, CA

Responsibilities:

• Preparation (including Narratives, RCM’s related to SOX processes and audits) for ISO 27001. SOC1 (SSAE16/ SSAE18) and SOC2 Audits from Management's Perspective in the Governance, Risk & Compliance (GRC) areas.
• Participated in or led SSAE16 audits or SOC1 (on Service Organization Controls), and SOC 2 (AT101), Type 2 audits (Security, Availability, Processing Integrity, Privacy, and/or Confidentiality) - at Server farms or Data Centers, eg. -IT and Technical related, including, but not limited to, General Ledger (Oracle, Hyperion, others) and Lease accounting, Control Environment and Risk Assessment, Logical and Physical Access, Data Centers, Cloud Storage and Systems, Network Infrastructure, Application Development, Change Management (of software, eg, using Ticketing System; this can be automated using CDCI -continuous development continuous integration - which includes an internal audit trail), Computer Operations, Data Transmission, Data Backup and Recovery, Business Continuity, Secure Storage, Media and Document Destruction.
• Auditwerx Clients: Columbia Ultimate (SOC2, SOC1 both type II), Alchemy Communications (Data Center - SOC2, type II), ACT (Account Control Technology), Roler Data
• SOC 1 audits were called SAS (Stmt. Of Auditing Standard) 70 Type 2 audits. Sharepoint, Excel, other software used.

SOX/Business/ Internal Audit Manager

Confidential, San Jose, CA

Responsibilities:

• Revised, updated and, in some cases, re-wrote Narratives (Q2C, Rev Rec, SEC Reporting, Payroll, others), identifying Control Points and Control Activities to conduct Walk Throughs and be tested for client company’s (Vocera) annual SOX compliance. Oracle Cloud ERP, advanced Excel used.
• SOX Implementation team Project Management (Policies, Process Documentation, Walk Throughs, Flowcharts (Visio), Risk Control Matrices (RCMs), Gap Analyses, Narratives, Testing, Remediation for: HR, Payroll, Procure to Pay, Design to Build (Inventory, Manufacturing, Cost Accounting, Standard Costs), Leasing Policies & Processes, Order to Cash (Revenue Cycle/ QTC, Sales and Forecasting Process, Commissions…), ToD & ToE (Test of Design & Test of Effectiveness), Record to Report (including SEC Reporting, General Accounting, GL & Lease Portfolio Mgt), Vendor & CM (contract mfg) vetting-qualifying, Combinations or Mergers & Acquisitions (M&A), Legal processes and procedures, ITGC’s (IT General Controls), other areas) using Excel, Word, Visio. SFDC, Adaptive Planning (Insights) and NetSuite (Cloud) workflows and ERP re-implementation, including International Consolidations module, and as it relates to SOX Controls (IT Application Controls).
• SOX testing, analysis and recommendations of all cycles including Revenue (Revenue Recognition, Credit Analyses, Treasury Cycle including financial or banking institution processes, Accounts Receivable, Deferred Revenue, Warranty Reserves, etc.), Periodic Close, SEC Reporting, Inventory, BoM’s (Bills of Material), Accruals, Accounts Payable, Purchasing, and Financial Statements, and other areas. Recommended Process Improvements. Used Oracle-Cloud, Hyperion, Excel and other software.

Change Management/Business Transformation/Financial

Confidential, San Jose, CA

Responsibilities:

• Change Management Finance for Cisco International: processes and process improvement (manual or automated), training & communications for Support the Business (STB) - Global Tax & Customs (GTC) department, mostly for emerging market, acquired Entities (M&A related), Brazil (CE - Country Enablement) and other countries.
• Project Team Management participation (Using Propel Project Mgt. S/W tool) included Brazil, ROW, BRIC (Brazil, Russia, India, China), BRCM & 26 Bridge countries, other Entities around the world that were being implemented or enabled through Cisco International (CI); Financial & Cost Analyses, Leasing processes & cycles, Forecasting ( Revenue, Costs, Expenses, other), Mergers & Acquisitions, Budget vs. Actuals (BvA’s), Variance and Ad Hoc Analyses.
• Use of Pert Charts and Critical Paths for various Projects. Took online training for Hyperion Essbase used in analyses; used Oracle v.11i and v. 12, Visio and Excel.

FP&A Manager/Business Analyst

Confidential, Santa Clara, CA

Responsibilities:

• Financial Planning and Analysis; SOX Implementation (including the Revenue cycle and Revenue Contracts, including Commissions, CM (vendor) vetting, HR Cycles, IT General Controls), Internal Controls, Processes documentation and improvement. Researched SEC filings.
• Designed Forecasts and Budgeting Process; worked with Sales Team and Budget owners on their respective Forecasts, Sales Metrics, Costs and Expenses, SFDC.
• Member of ERP (mid-tier - chose NetSuite -Cloud) Selection committee, including Needs Analyses, all Demos and Final selection.
• Prepared, Reviewed and/or Performed Deferred Revenue, Revenue Recognition, Cash / Treasury / Portfolio Mgt or Analyses, Warranties, Consolidations, Inventory Reconciliations, Cost Accounting Management, Standard Costs, Physical Inventory, Month-Quarter-Year End Close, SEC Reporting and Research, Treasury and Credit Risk activities including financial or banking processes, General Ledger and Lease Accounting, Financial Statement preparation; Financial Audit support, and other activities.

Internal Auditor

Confidential, Sunnyvale, CA

Responsibilities:

• Stanford: Finance Manager (contract) for Residential and Dining Enterprise at major University, including documentation of processes and procedures related to switching to Accrual Basis Accounting (from Cash Basis accounting) method, issues related to Internal Controls, and university Internal Audit and SOX findings; used Oracle -Cloud ERP & Hyperion.
• AST: Analyzed (by department, product line, etc.) Sales for Revenue Recognition purposes, over 50,000 lines of Revenue (SOP 81-1) and costs, rates (labor, OH, material), rate variances, and contracts; Used Cognos and Deltek; set up accounting system & financial statements; Reviewed standard costs in BoM’s.
• AST: Prepared budgets, forecasts, schedules (PBC’s, Tax, Cost/Revenue, other), analyses and support for year-end external financial audit; took part in year-end close; Cash, Treasury or Portfolio analyses., SEC support for period end reporting.
• Both: Reviewed processes for potential improvements (SOX), reporting recommendations for economy and efficiency to management.

Auditor /SOX, Acting Controller/manager

Confidential, San Carlos, CA

Responsibilities:

• Supported external Audit preparation including Flux analyses, PBC’s and audit requests, allowing audit to proceed as scheduled. Large BoM, Revenue from Contracts, Cost Accounting Management & Variance Analyses
• Consolidated Financial Statements from two poorly mapped ERP systems (including SAP) and three countries.
• Drafted audited financial statements, including disclosure checklist. Initiated SOX implementation process, including Leasing Processes, Revenue & contracts cycle, Inventory process & controls, other cycles.

SOX Auditor/Interim Controller

Confidential, San Jose, CA

Responsibilities:

• Interim Controller for client company including Year End Close using Oracle ERP, Hyperion, review of International entities, Consolidations, Revenue Recognition, and annual SOX documentation, design of controls and testing for Management certification purposes; prepared or updated Budgets and Forecasts.
• Conducted SOX audit (related to Financial Audit for client company) which included testing Internal Controls for Inventory and Cost Accounting cycles (including Cycle Counting, Standard Costs, Physical Inventory), the AR (Revenue) cycle including Cash, Portfolio or Investments
• Spreadsheet general and logic controls, Entity Level controls.

Assistant Controller Migration

Confidential, Milpitas, CA

Responsibilities:

• Prepared late and current SEC Reports (10K, 10Q, etc.), related FAS123R analysis, Employee Stock and Stock Options reviews, and supporting schedules, oversight for Commissions.
• Identified, Resolved Revenue Recognition issues, Private Equity Funding, Equity and Internal Controls issues, analyzed and prepared Portfolio or Investment summaries, budgets and forecasts, period end close and financial statements, used SAP.

Internal Controls /SOX Migration

Confidential, San Jose, CA

Responsibilities:

• Led and participated in cross functional teams or committees (Project Team Management) for Internal Controls Reduction, IT Application Controls, Sales Tax process, Export Regulations and Open Source Software (OSS) process & controls, designing new or revised processes, workflows (Visio) & control points, providing cost savings for Revenue Cycle primarily; Certified Internal Controls Quarterly; Reviewed & made recommendations on Credit Risk issues
• GCDB (global controls database) process owner: created Action and Remediation Plans, including educational (Webinars) series, performed Root Cause Analyses. Tested GCDB. Participated in Merger and Acquisition integration activities
• Compiled and analyzed periodic Metrics on Controls Testing Results, including remediation for out of threshold metrics, improving fail rates from up to 80% down to 15% within 6 months.
• Tested KOC’s (key operational controls) and SOX (KCFR’s - key controls over financial reporting - and KCOR’s for operational controls) controls; Project Managed Testing with 2 direct reports.