Summary
Overview
Work History
Education
Skills
Timeline
GeneralManager

ROGER P LOUGHLIN

TARRYTOWN,NY

Summary

Accomplishments include creating an Internal Audit Department from inception and successfully project managing three consecutive Clients' Sarbanes-Oxley projects. Ability to work with mix finances, business processes, and technical IT on special projects and to prioritize issues based on their significance and impact on the team. Demonstrated communication through professional relationships, presentations, proposal skills, and staff supervisory skills. Methodical Audit Supervisor with over 20 years of experience in orchestrating successful audits. Accomplished in spearheading an effective and comprehensive auditing program by gathering information and reviewing financial records. Focused on mentoring junior audit staff to safeguard accuracy in reporting and regulations compliance.

Overview

30
30
years of professional experience

Work History

Audit Supervisor, Assistant Treasurer

PCSB Bank
Westchester, NY
01.2021 - Current
  • Acted as a facilitator between the Company/Bank and auditor/examiners, including internal audit, external auditors and state/federal regulators
  • Ensured audits progressed in a timely fashion, monitoring outstanding requests lists, reviewed audit documentation where necessary
  • Risk assessed and documented PCSB’s structure of internal controls over financial reporting, in preparation for annual SOX/FDICIA audits
  • Performed ad hoc internal audit testing and monitoring outside of scheduled audits, as needed
  • Identified and appropriately communicated audit issues to management, offering recommended solutions that address risks that are relevant to the business
  • Monitoring the implementations of corrective action plans per the scheduled timeline and updated all process owners
  • Handled all administrative duties as required for the internal audit engagements to be completed
  • Maintained an updated audit plan to show any changes made during the year are consistent with the audit schedule
  • Reported to the Audit & Examining Committees
  • Audit liaison by continuously maintaining issue tracking reports including management’s responses, disagreements between management and third parties, completed items and validated findings/recommendations.

Consultant

Putnam
Westchester, NY
01.2017 - 01.2020
  • Accounting consultant with a wide range of accounting duties with several entities, including QuickBooks setup & maintenance, examination of internal control structures, preparation Federal & State Tax Returns for several Lawyers.

Caregiver

01.2008 - 12.2018
  • Caregiver for a terminally-ill family member
  • Responsibilities included in-home care including hospice care for the last six months of my Father’s life, scheduling medical appointments, financial custodianship, and estate legal coordination
  • During this Caregiver period I performed accounting consulting services & Full-Time Accountant/Office Manager role for local Legal Professionals in Putnam & Westchester Counties in New York

Office Manager/Accountant

O’Reilly Law Firm
Mahopac, NY
01.2010 - 01.2017
  • Coordinated all aspects of office administration and general business operations, including supervision of two 0ffice staff members
  • Managed accounts payable, check requisitions, updating database of billing / payment transactions, and maintaining physical files of bills and receipts
  • Handled accounts receivable, processed and set up new accounts
  • Hired by company owner to define and implement systems to control company’s expanding business
  • Reorganized office procedures to ensure proper accounting for receivable and payable accounts
  • Organized day-to-day office procedures including benefits administration and data processing
  • Managed accounts receivable, increasing speed of collections and cash flow
  • Controlled accounts payable
  • Implemented controls resulting in number of cost savings.

Senior Auditor

American International Group
New York, NY
01.2007 - 01.2008
  • Assisted the Director of Internal Audit by planning, leading and executing financial and operational audits in accordance with IIA Standards
  • Responsible for identifying key controls and how they impact the business
  • Ensured audit documentation was accurate and reflective of the work performed and supportive of conclusions drawn
  • Prepared reports on the results of audits, providing recommendations for improvements
  • Conducted annual performance evaluations for team and provided ongoing feedback.

Manager of Insurance Industry Practice, Project Manager

Eisner Amper
Edison, NJ
01.2005 - 01.2006
  • For three consecutive Property & Casualty Insurers’ Sarbanes Oxley Compliance Reviews (all passed)
  • Planned, executed and documented testing of internal controls on routine and non-routine judgmental areas to conclude whether key controls are designed and operating effectively
  • Prepared well-organized SOX deliverables within the budgeted hours, including narratives, flowcharts, walkthroughs, test work, exception templates and process improvement recommendations
  • Supervised staff and provided guidance related to Sarbanes-Oxley compliance in accordance with IIA Standards.

Manager of Internal Auditor

Accume Partners
Moorestown, NJ
01.2004 - 01.2005
  • Managed Sarbanes-Oxley Compliance Reviews for a pharmaceutical firm (Medicines Company) and large retailer (Dress Barn)
  • Developed project plans and reported progress to upper management
  • Supervised staff and provided guidance related to Sarbanes-Oxley compliance
  • Documented business process controls and developed tests plans to determine control effectiveness in accordance with IIA Standards.

Manager of Internal Auditor

Clarendon Insurance Group
New York, NY
01.1999 - 01.2004
  • Assisted the Director of Internal Audit by performing financial audits of Agencies & TPAs utilized by the company to write Property & Casualty and Accident and Health insurance
  • Prepared written reports for Senior Management and the Audit Committee
  • Supervised a staff of four.

Senior Internal Auditor

Guardian Life Insurance Company of America
New York, NY
01.1998 - 01.1999
  • Reviewed Guardian’s Agencies marketing and sales practices to ensure compliance with applicable State Insurance Departments’ Laws, Regulations and Company policies
  • Identifying market conduct issues and resolved them with the Guardian’s Law Department, Market Conduct & Compliance Group and the Agency under audit
  • Prepared written reports for Senior Management and Audit Committee

Internal Auditor/Examiner

New York
New York, NY
01.1992 - 01.1997
  • Performed detailed financial audits of insurers and recommended improvements in the insurers’ internal control structures, record retention and operations
  • Conducted examinations of insurer’s operations checking for compliance with New York State Insurance Laws, Regulations and Circular Letters
  • Prepared audit programs, work-papers and write-ups of findings.

Education

BBA - Accounting

Pace University
1991

Skills

  • Project Management
  • Internal Audit
  • Financial Services
  • SOX & FDICIA (Banking)
  • Insurance
  • Banking

Timeline

Audit Supervisor, Assistant Treasurer

PCSB Bank
01.2021 - Current

Consultant

Putnam
01.2017 - 01.2020

Office Manager/Accountant

O’Reilly Law Firm
01.2010 - 01.2017

Caregiver

01.2008 - 12.2018

Senior Auditor

American International Group
01.2007 - 01.2008

Manager of Insurance Industry Practice, Project Manager

Eisner Amper
01.2005 - 01.2006

Manager of Internal Auditor

Accume Partners
01.2004 - 01.2005

Manager of Internal Auditor

Clarendon Insurance Group
01.1999 - 01.2004

Senior Internal Auditor

Guardian Life Insurance Company of America
01.1998 - 01.1999

Internal Auditor/Examiner

New York
01.1992 - 01.1997

BBA - Accounting

Pace University

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