DAVID F. ZAPATA

• Responsible for developing a global strategy for financial compliance on internal controls, training, and internal control certifications
• Led a group of professionals on policies and procedures with the corporate team in Taiwan
• I was in charge of their antifraud program and the development of the cybersecurity response for the finance department

Achievements

• Design and implementation of Global Policies and Procedures applicable to 35 countries
• Development and maintenance of Internal Controls and Risk Control Matrices
• Creation of digital proof of concept tool to identify fraudulent activity
• Oversee remediation of Internal Audit reported observations until full implementation
• Implemented the Oracle automated Segregation of Duties (SoD)
• Development and implementation of the Antifraud training and data program
• Designed and supported the Delegation of Authority (DoA) program through Oracle GRC

Impact

• Implemented the Antifraud program focusing on six testing procedures, saving the Company approximately USD 105K in implementation costs as well as USD25K in recurring fees
• Tested the antifraud proof of concept tool to real-life data and cases with a detection rate of over 70%
• Provided finance and control training to over 500 employees in the last two years
• Saving on third-party providers approximately USD35K in course development costs and US10K in instructor fees
• Overall improvement in internal controls, policies, procedures and segregation of duties prevented companies from having costly control deficiencies and remediation costs by 85%.

• Assisting, preparing, and executing the Board of Directors approved Audit Plan and training leaders worldwide on internal controls
• Oversee all aspects of an organization's auditing function, design internal auditing procedures, and review results
• Monitors effectiveness procedures and provides improvement recommendations—developed risk-based review programs and periodic reports for the Board of Directors and Senior Management

Achievements

• Implementation of the Sarbanes-Oxley 404 compliance program worldwide
• Drove the digitalization transformation of KEMET IA through the implementation of SOXHub, and WorkStream software from AuditBoard
• Testing and review time was reduced by 40%, allowing time for other projects
• Supported rationalization, design improvements, and use of technology for internal controls, thereby increasing efficiency and effectiveness for process owners and reducing testing time
• Improved internal control posture and relations with Senior Management and the Board of Directors
• Acted as the TOKIN Japan Corporate Auditor, TOKIN is the largest overseas subsidiary of KEMET
• Provided oversight to the first-year implementation of 404 for significant acquired foreign businesses
• Performed several sensitive fraud investigations at different levels and countries
• Participated in the implementation of Oracle in Thailand, Italy, and Vietnam
• Coordinated our Co-sourcing strategy with PwC
• Primary factors, language, and travel restrictions due to COVID-19
• Presented results of audits and internal control assessments to the Board of Directors of KEMET

• Developing risk-based review programs, standard reports, and departmental policies
• This position reports to the SVP Finance and Global Controller's office
• The main objective is maintaining the Company's audit readiness and monitoring its internal control
• The primary duties are:

Achievements

• Review various finance cycles and functions across the organization at management's request
• Support management in improving business units' compliance with policies and procedures
• Author of several policies such as Account Reconciliation, Non-Routine Journal Entries, and Balance Sheet Review
• Quarterly global financial statement analysis and documentation of deviations between actual results and budget figures
• Conduct SOX compliance and Internal Controls training sessions online and onsite
• Supported the implementation of the COSO 2013 Internal Control Framework
• Communicated review results to upper management through written reports and oral presentations
• During 2015, achieved 97% implementation of agreed audit action plans
• Reduced key internal controls by 40% (88 from 147) as of the end of Q1/2016

• Executed the annual audit plan and reported results to the organization's SVP of Internal Audit "CAE" and contributed to developing the Company's risk control activities and audit procedures of adequate internal controls over financial reporting
• Reviewed and reported on methods demonstrating proper controls relating to and reporting operational and financial activities in compliance with the International Professional Practices Framework (IPPF)

Achievements

• Responsible for the International SOX program (7 Countries)
• Reported and supplied comprehensive recommendations via audit reports to upper-level management
• Supported the Company's Enterprise Risk Management process
• Partnered with local management to agree on business controls, risks, and process control deficiencies
• Trained, coached, and mentored staff to ensure a smooth onboarding process
• Partnered successfully with Legal, Compliance, and HR departments in several investigations
• Implemented the "Guest Auditor Program"
• Recommendations produced savings of around USD7M-10M
• Implemented an Antifraud testing program

• Responsible for executing the SOX-404 compliance program at Production Quest (a BHI Division), which operates in 20 countries
• Conducted other control reviews of various projects across the Finance function at management's request
• Controls reviews typically include interviewing business leaders, reviewing existing documentation, documenting the review results, and communicating results to management
• Data analysis was performed to support process improvements and behavior changes leading to a more effective control environment.

• Managed Latin American financial and operational audits
• Gathered data for internal audits through interviews, financial research, and downloads
• Communicated audit results to upper management through written reports and oral presentations.

• Responsible for understanding client's needs and expectations, their business and industry, accounting and control systems, and industry-specific GAAP and GAAS issues.

• I participated in the War on Terrorism
• Deployed to Kuwait and Iraq in 2002, from which I received the Combat Medic Badge
• As a health care specialist, I was primarily responsible for providing emergency medical treatment in the war zone, limited primary care, and health protection and evacuation from the point of injury or illness.

• As Responsible for preparing financial statements for the Latam Intercompany function; providing timely and accurate financial information, analytic review, and analysis of financial information to the Regional Latam Management.