EDUCATION
Harvard Business School, Boston, MA
Advanced Management Program, October 2008
University of Notre Dame Graduate School of Business, Notre Dame, IN
MBA, Finance concentration, May 1991
Indiana University School of Business, Bloomington, IN
BS Business, Accounting concentration, May 1983
EXPERIENCE
DUKE ENERGY CORPORATION, Charlotte, NC
A $14 billion Fortune 500 diversified international energy company
SVP, Chief Audit Executive, Chief Ethics & Compliance Officer 2005 – Present
• Promoted to Senior Vice President, June 2010, Chief Ethics and Compliance Officer, December 2008, and Vice President effective January 2007
• Executive accountability for the internal audit, ethics and compliance, corporate and physical security, crisis management and records management functions
• Provide enterprise-wide strategic direction and leadership for an organization of 300 FTEs with a $20M budget
o Responsible for fostering, maintaining, and managing effective board, executive, and senior management relationships
o Facilitated audit function’s integration efforts for $27 billion in transactions
o Led an enterprise-wide process re-engineering effort that identified over $160M in savings
o Re-engineered methodology, quality programs, department branding, and human resources practices, transforming the audit function into a desired and respected source of talent within the company
o Oversaw international audit efforts in Central and South America and addressed emerging risks in China
o Selected as one of eight participants on an enterprise-wide strategy initiative to research and advise on future strategic direction for the business
• Achieved outstanding quality assurance review results from PricewaterhouseCoopers, with audit function rated high performing or above in every category
• Ensured ethics and compliance program exceeded Federal Sentencing Guidelines requirements
• Directed development and implementation of regulated utility compliance programs, data privacy efforts, Foreign Corrupt Practices Act training and programs, lobbying and governmental affairs compliance programs and efforts associated with executive involvement on the Democratic National Convention Host Committee
GENWORTH FINANCIAL, Richmond, VA 2004 – 2005
$10 billion insurance spin-off of the General Electric Company (GE)
Vice President, Corporate Audit Services
• Provided executive oversight and direction in establishing the global internal audit function
• Established internal audit foundation including charter, organization design, staffing model, Audit Committee interface, audit methodology and risk assessment, performance management, training curriculum, and recruiting approaches
• Provided coverage in 20+ countries for all insurance lines, annuity and retirement products, and mortgage insurance business
• Oversaw international function development, including consideration and integration of Financial Services Authority requirements
• Developed Audit Committee checklist under direction of Audit Committee Chair that was ultimately provided to Moody’s as a governance tool
• Coordinated updating, tailoring and integration of GE audit methodology into new organization.
DUKE ENERGY CORPORATION, Charlotte, NC 2001 – 2004
Senior Director, Corporate Audit Services
• Led restructuring of organization to develop “best in class” function
• Directed audit coverage for various businesses including regulated utility, telecommunications, real estate, commercial lending, environmental, health & safety, and corporate services
• Integrated Sarbanes-Oxley Act impacts into audit and risk management environment
• Coordinated various enterprise-wide governance efforts including an Audit Committee effectiveness assessment and development of an investigatory process protocol
KPMG, Charlotte, NC 2000 – 2001
Director, Management Assurance Services
• Introduced and developed a Big 4 specialty practice in the Southeast region through opportunity assessment, prospecting, sales call initiation, proposal development, and service delivery
• Provided internal audit and consulting services to multiple industry segments including consumer markets, retail, industrial markets, manufacturing, financial services and telecommunications
• Led multidisciplinary teams in executing comprehensive business risk assessments, operational assessments, process improvement activities and reengineering initiatives
TRANSAMERICA CORPORATION, Charlotte, NC 1994 – 1999
Audit Director
• Directed staff of 12 in execution of integrated audits and consulting projects for a Fortune 500 financial services organization
• Executed annual risk assessments and developed risk-based audit plans linked to entity wide and business unit objectives for commercial finance, floor plan financing, business credit, insurance, annuities, and reinsurance
• Selected to lead senior executive-sponsored projects encompassing areas including off balance sheet financing, US and European credit and operating practices, reinsurance deal and contract review, variable investment product processing, and enterprise cash management
Prior Experience as an Audit Manager for KPMG; Senior Auditor for Conseco, Inc.; an Associate Group Pension Underwriter for American United Life Insurance and Assistant General Manager for American Drug Stores.
PROFESSIONAL AFFILIATIONS
INSTITUTE OF INTERNAL AUDITORS
Past Committee Member, International Conference Committee
Past Committee Member, Professional Conferences Committee
Past Chairman, Board of Governors, Charlotte Chapter
Past District Representative
COMPLIANCE WEEK
Past Conference Speaker and Past Advisory Board Member
COMMUNITY INVOLVEMENT
CHILDREN’S THEATRE OF CHARLOTTE
Board and Executive Committee Member
Chair-Elect, 2012 – 2013
Chairman, Development
Past Chairman, Strategic Planning and Operations Committee
ARTS & SCIENCE COUNCIL
Executive Fundraising Campaign Cabinet, 2011
Executive Sponsor, 2010 Duke Energy Employee Campaign
Past Executive Lead, Professional Services Fundraising Cabinet
Graduate, Cultural Leadership Training Program
Queens University McColl School of Business MBA Program, Adjunct Faculty, 2011
United Way Center City Campaign Team, 2007 – 2008
American Cancer Society Swordsman’s Ball, Committee Member, 2006 – 2007 |
