Nichole Williams
Leander,Texas
Summary
Multi-talented business professional with ~20 years of demonstrated success aiding companies to optimize and streamline processes to propel improvements in efficiency, productivity and revenue generation. Experienced in financial administration, business development and operations leadership. Skilled at stepping into different areas with flexible and resourceful approach. Visionary project and program leader with exceptional problem-solving skills.
Overview
22
22
years of professional experience
1
1
Certification
Work History
Business Controls Manager
Dell Technologies
05.2017 - Current
- Supports Global Operations & Supply Chain functions in the design, implementation, and assessment of internal controls processes used in meeting business objectives
- Actively participates in, and at times lead, cross functional controls initiatives impacting the Global Operations organization
- Manages internal controls activities for supply chain function(s) under Global Operations (“GO”) organization
- Acts as point of contact for External Auditors and Global Audit & Transformation team (“GAT”) on relevant assurance engagements & business initiatives
- Coordinates audit engagements across GO, GO Finance & other stakeholders
- Ensures timely completion and resolution of issues
- Provide regular updates to GO & GO Finance executives
- Manages Management Action Plans (“MAPs”) design and ownership alignment between GO & GAT
- Performs coordination role to track, review & report MAPs status to avoid delays
- Completes closure documentation reviews and leads discussions with GAT
- Assesses implications for Management Representation Letter (“MRL”) and key / non-key controls
- Key liaison for GAT SOX team and external auditors on annual SOX certification process for key controls
- Supports SOX controls process owners on design updates, narratives / flowcharts reviews, and internal testing
- Timely corporate evaluation framework documentation, assessment & remediation for any key controls’ deficiencies identified
- Plans & administers internal testing program for non-key controls
- Supports control owners on controls design updates, testing & review
- Proactively develops improvement actions and follow through with GO owners
- Drives rigor on controls relevance and assessment quality
- Leads quarterly risk assessment exercise and drives alignment with key executives
- Collaborates with GO Finance on top risks calibration exercise to develop quarterly GO risk heatmap
- Represents function(s) on quarterly top risks reviews with GO & GO Finance executives
- Supports GAT team on relevant corporate risk assessment forums, including annual ERM (“Enterprise Risk Management”) and quarterly Regional CCRs (“Controls & Compliance Reviews”)
- Drives quarterly MRL due diligence process to ensure complete and accurate disclosures prior to executives’ signoffs
- Kickoff quarterly MRL exercise and communicate relevant changes from Corporate
- Provides training to GO teams as needed
- Represents function(s) in quarterly controls scorecard & sub-MRL reviews with GO and GO Finance executives
- Supports GO function(s) on compliance initiatives, including business continuity planning, knowledge assurance and anti-bribery
- Act as controls subject matter expert for relevant fraud & ethics investigations by Corporate
- Collaborates as a business partner - GO, Finance and other stakeholders on strategic projects involving supply chain remodeling, process improvements, tools implementation, policy & procedures development etc.
Business Risk and Internal Controls, Sr. Manager
Charles Schwab
Austin, TX
05.2017 - 05.2022
- Responsible for supporting the Technology Risk and Control team in managing and maintaining the Internal Controls for Corporate Information Technology within Schwab Technology Services (STS), with adherence to Schwab policy, regulatory requirements, and industry standards that are in alignment with common IT risk and control frameworks
- These responsibilities include the ongoing support of TRAC IT Risk Management (ITRM) oversight and maintenance of technology risk programs, risk analysis and quantification, supporting TRAC Controls and Engagement (C&E) activities for audits and regulatory exams, drafting, and maintaining control procedures to support RCSA controls, and assisting TRAC Security Governance and Issue Management (SGIM) in issue management and management reporting
- Also coordinates on the execution and maintenance of firm wide assessments and continuous monitoring of controls, specifically for their organization within STS
- Also works closely with TRAC ITRM as a member of the STS Operational Risk Working Group (ORWG) to drive a holistic risk and controls program
- Coordinate and support TRAC C&E on internal Audit, Regulatory, and Client Due Diligence engagements
- Assist C&E and management with the development and documentation of achievable and sustainable action plans to remediate identified control weaknesses
- Support SGIM’s issue management activities within their organization by providing feedback on Issue dashboards and reports, answering general questions about the issue management process and tools, and escalating remediation problems due to poor health, lack of visibility, or poor quality
- Supporting TRAC ITRM with risk identification, mitigation, response, acceptance, and overseeing and challenging the design, implementation, and maintenance of STS’ processes and controls
- Facilitating and managing required activities assigned by Corporate Risk (Operational Risk, Enterprise Risk and Business Continuity and Incident Management)
- Offer support and assistance in risk and control-related matters to ensure an open, adequate, and effective risk management culture
- Proactively identify areas requiring attention or strengthening and work collaboratively with other STS disciplines to implement improvements in line with corporate standards, applicable regulations, and/or best practice frameworks
- Maintain the appropriate Risk & Control Self Assessments (RCSAs) for STS coordinating with TRAC ITRM, ORM, and the ORWG
- Develop and maintain control procedures in support of key RCSA and other necessary control activities to facilitate audit and regulatory testing
- Support TRAC C&E in Client Due Diligence Inquiries, Site Visits, and IT contract consultations
- Consolidates, modernizes, and develops security controls across the organization
- Creates metrics and reporting capabilities
- Drive efficiencies through well-documented processes and procedures that can be leveraged across audits, security assessments etc
- Liaises with auditors/regulators
- Guides various teams to accurately scope and execute integrated audits focused on the most meaningful and relevant risks
- Continuously monitors changes in the business that may affect the risk environment and, therefore, require possible changes to the risk assessment, audit plan or to the scope of planned audits
- Ensures the execution of the audit plan reflects the annual Audit Response Programs and provides sufficient basis for providing an annual opinion for each critical risk process/function
- Maintains business relationships with appropriate levels of management ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response
- Addresses issues during the integrated internal audit process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem
- Evaluates the adequacy and timeliness of management's response and the corrective action taken on all significant weaknesses noted in the report
- Leads project team(s) and cultivates a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses
- Collaborates with teams involved in software development with a focus on network management and provisioning systems including Shell Scripting, Python, Perl, C, C++, Java, XML, Oracle, SQL Server, Mongo and Hadoop.
Accounting Sr. Advisor
Dell Technologies
07.2016 - 05.2017
- Responsible for performing month end close responsibilities which include preparing and uploading journal entries into the Oracle general ledger system, balance sheet flux analysis and reconciling monthly balance sheet accounts
- Also responsible for recommending, developing, and implementing globally standard accounting processes and procedures to align with changes resulting for systems and Revenue Recognition accounting guidance
- Also assists with a variety of projects and process changes to drive efficiency and effectiveness as well as global consistency, which will require interaction with various accounting teams in all regions
- Experience in accounting and financial reporting, controls and risk awareness, month-end-close process, Balance Sheet account reconciliations, and advanced skills in Excel
- Responded to questions potentially complex, interacted with various levels of management, presented information as needed, and worked cross-functionally with other business functions
- Strong communication, analytical and problem-solving skills, and attention to detail
- Provided deep subject matter expertise, advice, and program delivery
- Contributed to the development of new techniques and plans within the area of expertise
- Thorough understanding and management of customer business needs and expectations
- Managed projects and program execution
- Worked on abstract and complex problems requiring evaluation of intangible variables
- Integrated trends, data and information into plans, deliverables, and recommendations
- Developed innovative and creative output based on interpretation and analysis that improve business performance and contribute to corporate goals and strategic intent
- Anticipated operational, program, and implementation issues and develops preventative measures
- Adapted projects, programs or methods based on customer or business partner
- Actively participated in setting area objectives to meet plans
- Escalated matters of business risk
- Influenced others through their professional/technical expertise
- Managed critical projects, customer engagements or business processes
- Guided completion of major projects or customer engagements
- Allocated work and mentored others
- Provided thought leadership, guidance, and advice in own field
- Adapted communication techniques for audiences at multiple internal and external levels
- Presented facts and information to negotiate mutually acceptable solutions
- Cultivated, developed, and managed strong, lasting customer relationships at senior management level
- Managed the maintenance of the accounting system to ensure that it accurately reflects the financial status of the business unit
- Created and reviewed high-risk journal entries and supporting documentation to ensure accurate reporting
- Reviewed periodically key account reconciliations
- Provided a record of assets, liabilities, and other financial transactions
- Provided suggestions for improving processes performed within the department
- Drove department projects (strategic, tactical and control) where analytical and relational initiative is required.
Audit Sr. Advisor
Dell Financial Services
01.2014 - 07.2016
- Business Controls Program Manager
- Responsible for supporting and engaging with global and local business partners, and the Compliance organization to assess, monitor, and improve the risk and controls environment at DFS
- Executes enterprise-wide risk assessments and Controlled Self-Assessment testing per regulatory requirements and business objectives
- Manages enterprise-wide programs for Dell and DFS internal customers with continuous improvement
- Managed/led project & program execution; worked across the organization to effectively obtain & allocate resources to complete projects / programs on time
- Determined scope, definition, and work plan for areas of responsibility
- Researched and identified alternatives to existing processes which drive either heightened controls or simplification
- Anticipated operational, program, and implementation issues and developed preventative measures
- Cultivated, developed, and maintained strong business partnerships at senior leadership level
- Influenced others through their professional & technical expertise
- Allocated work and mentored others
- Strong knowledge of risk identification, root cause analysis, developing solutions and recommendations
- Thorough understanding of DFS business priorities, strategy, and direction
- Thorough understanding and management of business partner needs and expectations
- Performed onsite audits on third party vendors
- Key competencies include controllership, communication, problem-solving, and business acumen
- Facilitated Risk Assessment discussions to determine the business’ most critical risks and designed controlled self-assessments based on the output
- Program manager for internal and external audit engagements
- Assisted in writing policies and procedures where applicable
- Determined testing steps for business processes as needed.
Business Analysis Advisor
Dell Financial Services
03.2012 - 01.2014
- Responsibilities are the same as listed below with a broader scope
- Scope and focused on providing input to business partners on executive management action plans (risk mitigation, remediation, and solution)
- Worked with Business partners (Sr
- Managers and designates) on MAP creation to effectively identify and address gaps and prevent long-term solutions to ensure that the issues were adequately addressed
- Provided assurance to executives that appropriate controls were in place and regulatory standards complied
- Facilitated discussions with executives, business partners, and Compliance/Business Controls where there were disagreements and provided input in support of or against issues identified
- Presented updates, risks to milestones etc
- In executive staff meetings where applicable
- Developed and updated policies and procedures as necessary Collaborated and assisted with internal/external auditors on support required for testing
- Facilitated Business reviews globally as required and utilized lean/six sigma approach to streamline processes and create efficiencies
- Provided assistance for BCP testing
- Engaged in other projects as required.
Business Analysis Sr. Analyst
Dell Financial Services
Austin, TX
04.2011 - 03.2012
Accounts Receivable Sr. Analyst
Dell Financial Services
Austin, TX
08.2010 - 04.2011
Audit Sr. Advisor
Dell Financial Services
Austin, TX
01.2008 - 08.2010
Account Management Team Lead/Analyst
Dell Financial Services
Austin, TX
01.2007 - 01.2008
Sr. CONTRACT MAINTENANCE SPECIALIST
Dell Financial Services
Austin, Texas
09.2005 - 01.2007
Accounts Receivable Sr. Analyst/Audit
Dell Financial Services
11.2001 - 09.2005
Education
DBA – Enterprise Leading and Managing -
Trevecca University
MBA – Information Systems Technology -
Letourneau University
Business Administration -
Letourneau University
PRELAW PROGRAM -
Evergreen Valley College
Dell Financial Training
Skills
- Leadership skills, program/project management, business analysis/analytics, problem solving, organizational skills, effective communication and presentation skills, interpersonal skills, critical thinking, diligence, self-motivated, team player, possesses attention to detail and the ability to manage complex processes, utilizing an analytical approach to decision making
- Microsoft Office (Word, Access, PowerPoint, Excel, Outlook Express, Photo Editor) Business Objects, Oracle, eGRC (Archer), SIRIS, JIRA, Tableu, Power BI, Front Page Web Designs, Great Plains, Timberline, Lotus Notes, Info lease, DPS/Doms, Vision Plus, PeComm, Artiva, Confluence, and Other Database systems, 60-70 wpm, 10-Key by touch
- Process Improvement
- Risk Mitigation/Management
- Technology risk and controls (NIST, COBIT, ITGC)
- Change Management/SDLC/SOX/SOC Reporting
- Proficient in MS Office
- Project Management
- Risk Assessments/Gap Analysis
References
References are gladly provided upon request.
Affiliations
- Community volunteering
- Writing
- Faith-based activities
Certification
- Certified Internal Auditor (CIA) in progress
References
References available upon request.
Timeline
Business Controls Manager
Dell Technologies
05.2017 - Current
Business Risk and Internal Controls, Sr. Manager
Charles Schwab
05.2017 - 05.2022
Accounting Sr. Advisor
Dell Technologies
07.2016 - 05.2017
Audit Sr. Advisor
Dell Financial Services
01.2014 - 07.2016
Business Analysis Advisor
Dell Financial Services
03.2012 - 01.2014
Business Analysis Sr. Analyst
Dell Financial Services
04.2011 - 03.2012
Accounts Receivable Sr. Analyst
Dell Financial Services
08.2010 - 04.2011
Audit Sr. Advisor
Dell Financial Services
01.2008 - 08.2010
Account Management Team Lead/Analyst
Dell Financial Services
01.2007 - 01.2008
Sr. CONTRACT MAINTENANCE SPECIALIST
Dell Financial Services
09.2005 - 01.2007
Accounts Receivable Sr. Analyst/Audit
Dell Financial Services
11.2001 - 09.2005
DBA – Enterprise Leading and Managing -
Trevecca University
MBA – Information Systems Technology -
Letourneau University
Business Administration -
Letourneau University
PRELAW PROGRAM -
Evergreen Valley College
Dell Financial Training
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