Reliable and focused Internal Control with 10 years of experience in due diligence auditing in the Insurance Industry
Overview
17
17
years of professional experience
1
1
Certification
Work History
Internal Control Specialist
First Republic
11.2009 - Current
Performing walkthroughs of various processes.
Developing process narrative and identification and documentation of control points based on walkthroughs for both Business and Information Technology.
Areas of expertise include
Internal Controls Specialist
First Republic
01.2007 - Current
Started with 21st Century Insurance, sold to AIG in 2007 and Farmers in 2009.
Reported internal control issues to management and supplied comprehensive recommendations to mitigate the associated risks.
Gathered data for internal audits through interviews, financial research and downloads.
Met with clients to identify and assess business controls, risks, process gaps and work flow inefficiencies.
Supported management through risk identification, control testing and process improvement procedures.
SOX Auditor
Alliancebernstein Holding Lp
10.2007 - 10.2009
Performed operational audits and testing of Internal Controls within the areas of SOX.
Developed tests plans, performed testing through collection of evidence, evaluated the evidence and conveyed results to management.
Assisted Management to develop action plans.
Followed up on action plans and verified their implementation.
Reported internal control issues to management and supplied comprehensive recommendations to mitigate the associated risks.
Education
B.S - Accountancy
California State University
Certified Information System Auditor - CISACurrently working on CIA -
isaca
Skills
Microsoft Office: Word, Excel; PowerPoint, Visio
Soft Skills
Collaboration with teammates
Strong work ethics
Patience
Certified Information Systems Auditor (CISA)
Microsoft Office Suite proficiency
Requires minimal supervision
Superior research aptitude
Audit reporting
Institute of Internal Auditors (IIA)
Internal and external auditing
Affiliations
ISACA
Certification
CIA
Timeline
Internal Control Specialist
First Republic
11.2009 - Current
SOX Auditor
Alliancebernstein Holding Lp
10.2007 - 10.2009
Internal Controls Specialist
First Republic
01.2007 - Current
B.S - Accountancy
California State University
Certified Information System Auditor - CISACurrently working on CIA -
<ul>
<li>Hours per week: 40.</li>
</ul>
<p><strong>Duties, Accomplishments, and Related Skills:</strong></p>
<ul>
<li>Supervise and coordinate daily administrative workflows for a team of 15 employees, ensuring timely task execution, adherence to protocols, and consistent performance monitoring.</li>
<li>Maintain accurate records and documentation related to property intake, detainee processing, transportation, and deportation; verify and audit files to ensure regulatory compliance, and data integrity.</li>
<li>Execute high-volume data entry (up to 8 hours per day), including the entry of case notes, customs documentation, custody logs, and internal reports into secure federal databases.</li>
<li>Develop, review, and edit administrative reports and forms for internal use and government audits; ensure completeness, accuracy, and policy alignment.</li>
<li>Serve as the primary liaison between facility staff, supervisors, and stakeholders; facilitate clear, professional communication, and documentation flow across departments.</li>
<li>Identified discrepancies in data entries and corrected them accordingly.</li>
<li>Oversee inventory control processes, including the secure receipt, tracking, and storage of personal property, using standardized procedures and government tracking systems.</li>
<li>Conduct routine audits and quality control reviews to ensure that administrative practices meet federal operational standards.</li>
<li>Apply sound judgment to evaluate options, solve problems, and make informed recommendations on administrative and operational matters, contributing to efficient workflow management, and compliance with agency standards.</li>
<li>Assist in developing and revising privacy and security policies concerning Personally Identifiable Information (PII); identify potential compliance risks, and recommend solutions.</li>
<li>Coordinate logistics for detainee transportation to court and medical appointments, manage schedules, and track movement through detailed administrative planning.</li>
<li>Conduct roll calls, and ensure accountability through diligent documentation, system updates, and status reporting.</li>
</ul>
<p>Supervisor: Scott Jackson (949) 456-2706.</p>
<p>Permission to contact: Yes.</p> at ProTech USA LLC, Government Contracting<ul>
<li>Hours per week: 40.</li>
</ul>
<p><strong>Duties, Accomplishments, and Related Skills:</strong></p>
<ul>
<li>Supervise and coordinate daily administrative workflows for a team of 15 employees, ensuring timely task execution, adherence to protocols, and consistent performance monitoring.</li>
<li>Maintain accurate records and documentation related to property intake, detainee processing, transportation, and deportation; verify and audit files to ensure regulatory compliance, and data integrity.</li>
<li>Execute high-volume data entry (up to 8 hours per day), including the entry of case notes, customs documentation, custody logs, and internal reports into secure federal databases.</li>
<li>Develop, review, and edit administrative reports and forms for internal use and government audits; ensure completeness, accuracy, and policy alignment.</li>
<li>Serve as the primary liaison between facility staff, supervisors, and stakeholders; facilitate clear, professional communication, and documentation flow across departments.</li>
<li>Identified discrepancies in data entries and corrected them accordingly.</li>
<li>Oversee inventory control processes, including the secure receipt, tracking, and storage of personal property, using standardized procedures and government tracking systems.</li>
<li>Conduct routine audits and quality control reviews to ensure that administrative practices meet federal operational standards.</li>
<li>Apply sound judgment to evaluate options, solve problems, and make informed recommendations on administrative and operational matters, contributing to efficient workflow management, and compliance with agency standards.</li>
<li>Assist in developing and revising privacy and security policies concerning Personally Identifiable Information (PII); identify potential compliance risks, and recommend solutions.</li>
<li>Coordinate logistics for detainee transportation to court and medical appointments, manage schedules, and track movement through detailed administrative planning.</li>
<li>Conduct roll calls, and ensure accountability through diligent documentation, system updates, and status reporting.</li>
</ul>
<p>Supervisor: Scott Jackson (949) 456-2706.</p>
<p>Permission to contact: Yes.</p> at ProTech USA LLC, Government Contracting