Executive - Audit - Compliance - SSAE 16 -

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Executive - Audit - Compliance - SSAE 16 -
Location Confidential
Willing to Relocate
$100,000 to $200,000

Resume Summary
Progressive and forward-thinking executive with over 15 years of experience in senior leadership auditing, risk management, and process improvement roles. Continuously striving to gain insight into internal/external customer needs and fulfill expectations with keen ability to set clear expectations


EXECUTIVE-LEVEL MANAGEMENT: VP President Audit, Compliance, Operations

Progressive- forward-thinking executive with over 15 years of experience in senior leadership auditing, risk management, and process improvement roles. Customer-centric outlook, continuously striving to gain insight into internal/external customer needs and fulfill all expectations. Decisive leader with keen ability to set clear expectations, deliver context, and provide feedback that results in positive, transformative outcomes. Adept at coaching teams and developing direct reports. Strong communicator able to speak, write, listen, and present information in logical, articulate, audience-appropriate manner that ensures understanding and engagement.

Demonstrated success in:
" Discovering and implementing novel solutions that improve processes, systems, products, or service.
" Inspiring, leading, and executing effective change and improvements using Six Sigma & Kaizen methods.
" Understanding targeted results, setting high standards for self/team, and actively striving to achieve them.
" Attaining compliance with AML, KYC, SOX, COSO, COBIT  ITIL-PCI, and BSA, among others

Financial Operations " Customer-Focused Approach " Project Coordination " Change Management
Governance Frameworks " New Process Implementation " Optimized Productivity " Strategic Planning
Relationship Building " Cash Control " Reporting " Departmental Restructuring " Stakeholder Alignment
Communication " Individual Development " People Leadership " Results-Oriented " Accountability " Creativity


G4S SECURE SOLUTIONS " Jupiter, Florida " 2014-Present
Second largest UK-based global corporation specializing in security, investigation, and technology.

Senior Director Process Improvement
Spearhead operational and escalation processes across North America, including redefining and redesigning business frameworks and implementing new methodologies. Defined components, relationships, roles, and standards for Business Information (BI) technology using Kaizen philosophies.

" Decreased DSO by 5 days by reorganizing collection department and reporting via BI system with real time dashboards and Key Performance Indicators (KPI).
" Championed change and implemented new policies within resistant environment with entrenched views by focusing on end-goals and involving various teams and departments involved at every step.
" Facilitated information transparency by obtaining raw data directly from IT department, downloading all information and personally processing reports, data, KPIs, and dashboards.
" Saved $500K+ by monitoring payment term trends and discounts, increasing cash flow from lead to cash and procure to pay, and overhauling/reengineering governance framework for finance and SS departments.
" Ensured team understanding of new structured operational efficiency by hosting Kaizen events/workshops.
" Cut collection past-due amount by 50% by building reports, dashboards, scorecards, and managed queries.
" Recognized with special bonus after achieving yearly personal evaluation with A+ levels, and annual performance review scores with Exceeding Expectations in all areas.

PROTIVITI " Irvine, California " 2013-2014
Global consulting firm enabling companies to solve issues in finance, operations, risk, and governance.

Executive Risk & Business Consulting
Directed controls from review & documentation to evaluation & testing. Identified control strengths/weaknesses in communications to client or internal audit engagement team. Created effective solutions. Led investigations and fraud awareness related to FDA audit & compliance. Controlled error handling within SAP from source to target interfaces. Oversaw system implementation in accordance with SDLC and ITIL standards.

PROTIVITI, Executive Risk & Business Consulting, continued:

" Initiated and implemented governance framework for fraud and investigation awareness (FDA compliance), for key client Johnson & Johnson.
" Completed project assignments on time and with utmost quality using extensive business & technical skills.
" Oversaw SOX testing, reviewing notes for E&Y at Volt Information Systems.

GARDA WORLD CORP " Florida / California / Canada " 2007-2013
Global risk management, Cash logistics & Security services company.

Head of Groups / Executive Director, Internal Controls / Compliance Management " 2012-2013
Executive Director, Compliance & Internal Controls " 2011-2012
Senior Director, Internal Controls & Compliance " 2010-2011
Director Internal Controls " 2007-2010
Coordinated operations and financial activity within Worldwide Internal Audit & Compliance department. Led cross functional teams across Europe, North America, and Middle East. Oversaw project development, change management, Enterprise Risk Management (ERM) program, and customer claim operations. Automated cash reporting and treasury back office (RECON) operations. Served as operations advisor expert. Led compliance efforts with International Certification ISAE 3402 across North America financial institutions including Federal Reserve, Anti-Money Laundering (AML), and Know-Your-Customer (KYC) initiatives.

" Achieved ISAE 3402 Type I & II (SAS 70) international compliance certification 7 times running in banking industry regulatory compliance based on BSA, PCI requirements.
" Drove P&L reduction from $17M to $3M within streamlining of customer claims department operations.
" Headed SOX 404 annual certification for control frameworks COSO and COBIT (ITIL), and produced companywide interface / integration governance framework.
" Lowered costs $350K over 2 months from SLA penalty reduction with 70% improvement in error handling responsiveness post-automation of treasury operations.
" Saved $400K with design and launch of webbased paperless customer claims recording system.
" Avoided penalties due to service level agreement (SLA) and KPI issues identified in quarterly reviews by supporting performance using Six Sigma and Kaizen philosophies.
" Oversaw bank customer client onboarding, including KYC and PCI requirements.
" Managed/monitored AML & Recon transactional reconciliation for 300K daily transactions over 185 vaults.
" Investigated fraud or malicious activities in accordance with country, local, and state laws.
" Optimized customer vault platform with 24/7 nationwide customer service, producing 1.5K daily reports for 185 vaults covering cash inventory, ATM reporting, safe deposits, even exchange program, check scanning, and credit card processing.

ZEN TECHNOLOGIES " Montreal, Canada " 2006-2007
Training simulator design, development, and manufacturing company.

Consultant / Project Leader
Managed SOX 404 (COSO & COBIT) testing, gap analysis, remediation, and roll forward. Launched SOD policy for SAP users and transactions. Conducted risk impact evaluations for personalized transactions.

" Discovered $5M fraud pattern within international warranty team.
" Corrected conflictual transactions (600 000) within project timeline, preventing future issues by restructuring departments, including revamping ROTAX-BMW motor plant processes in Belgium, Austria, Switzerland.
" Overcame resistance to change by maintaining flexibility and translating concerns/suggestions into action.
" Performed manufacturing plant risk analysis and process quality controls, applying Six Sigma testing methods & ISO quality controls in production, import-export, customs, warranty, and parts inventory (FIFO).

CAMBIOR INC. (I AM GOLD CORPORATION) " Montreal, Canada " 2005-2006
Canadian-based international gold, bauxite, niobium producer in Guyana, South America, Africa.

Senior Internal Auditor, SOX 404 Project Manager
Led SOX 404 implementation in accordance with COSO, COBIT, and IPPF standards, from narrative and testing to walkthrough. Developed and implemented internal policies.

" Uncovered fraudulent inventory irregularities with direct impact to revenue through in-depth investigation.
" Created gold mine security measures by collaborating with international mine operations on risk analysis, business process verification, auditing, stock pile evaluation, inventory control, and process descriptions.
" Redesigned Niobium manufacturing process using Six Sigma principles.


Master Level - Internal Audit Management
UQAM, Montreal, Canada


Organizing & Understanding Compliance Risk
Sustaining Effective Controls & Compliance


Microsoft Office " Microsoft Project " Visio " BI Data " ACL
" Major ERP: PeopleSoft, JD Edwards, Oracle


Institute of Internal Auditors (IIA)
QIAL enrolled


English (Fluent) " French (Fluent) " Spanish (Functional)

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