Internal Audit Control

ANJANETTE ORTIZ

Mobile: 646-***-**** ad709l@r.postjobfree.com

Detailed-oriented internal audit professional with over 20 years of comprehensive financial and operational audit experience within various industries. Effectively meeting goals and expectations and completing assignments simultaneously without compromising quality and the ability to lead a team to achieve the overall objectives. Successfully streamlined business processes, completed internal control assessments as well as assured Sarbanes Oxley (SOX) compliance for multi-national financial institutions and integrated audits.

Core Competencies

Sarbanes Oxley (SOX)

COSO Internal Control Framework

Internal Audit

Internal Control Assessment

Audit Management

Audit Policy & Procedure Development

Control Mapping

Dodd-Frank

Regulatory Compliance

Public Company and Accounting (PCAOB) Pronouncements

Securities and Exchange (SEC) Pronouncements

Report Analysis

Risk Assessment

Generally Accepted Accounting (GAAP)

Leadership & Team Building

Relationship Building

Professional Experience f

Macias Gini & O'Connell, LLP (MGO), New York, NY

Manager, Assurance (Consultant) May 2021 to May 2024

Managed overall compliance of SOX 404a and 404b for the public client service line. Oversaw all aspects of the Internal Controls Over Financial Reporting (ICFR) including planning, budgeting, risk assessments, control mapping and rationalizations, testing review, communications, and conclusions for integrated audits.

Assessed and evaluated results of test work completed to identify client performance and compliance with SOX 404b.

Validated findings as appropriate and drafted final communications to the client to ensure all communications were provided accurately.

Supervised, trained and motivated staff to ensure the achievement of the final goals in a cost effective and timely manner within the budget.

Developed firm-wide SOX 404 Compliance training to ensue annual company requirements were met by staff.

Led a team of geographically disbursed staff, to oversee and drive completion of control testing assignments to support operational, conduct and regulatory risk & control management.

Brookfield Renewable Partners, New York, NY

Senior Manager, SOX Compliance (Consultant) Oct 2019 to Aug 2022

Provided SOX 404 as well as internal audit consulting services for a large accelerated Renewable Energy Company filing for both corporate and the service lines, by assisting senior management in defining control objectives and monitoring compliance efforts for SOX 404. Validated test findings with the Internal Audit Team, facilitated remediation of control gaps, and escalated critical issues to senior management.

Ensured audit conclusions were well-documented and based on an understanding of business process risks and controls.

Partnered with Third Party Management for oversight of SOX relevant vendors, involving review of SOC1’s and assessing impact to ICFR.

Monitored 80% of the significant business and process changes impacting the design and operating effectiveness of controls related to Order-to-Cash, Procure-to-Pay, Inventory, Treasury and Financial Statement Close processes ensuring compliance and efficiency.

Provided consultation to business owners on control implementations, control execution to ensure SOX compliance.

Conducted comprehensive compliance risk assessment, identified potential regulatory risks, and mapped controls to ensure alignment with industry standards and legal requirements, resulting in an 87% reduction in compliance gaps.

Recommended controls for newly implemented modules in the Debt Management system (Kyriba) to increase process efficiency by 90%.

Designed end-to-end SOX documentation for Debt and derivative process including narratives and flowcharts.

Partnered with SOX IT and the business areas to reduce the number of manual controls and achieve a 20% increase in automated controls.

Provided expertise and knowledge for the various business segments to help ensure controls were designed, executed, operating effectively as well as ensured proper audit evidence exists.

Facilitated 2020 annual SOX scoping and risk assessment.

Prepared executive management and Audit Committee materials highlighting overall SOX progress.

Directed and guided the implementation of the COSO framework for newly acquired business segment, providing insight for process improvements.

Supervised two junior staff to ensure all fieldwork was focused on key areas and documentation met high quality standards.

Provided recommendations and supported management in the development and execution of the updated 2021 Business Continuity Plan.

New York City Economic Development Corporation (NYCEDC), New York, NY

Vice President – Internal Audit June 2016 to Jan 2019

Successfully completed the fiscal year 2018 and 2019 annual company-wide risk assessments. Created a five-year audit plan by identifying emerging and key risks to the company. Developed and executed the fiscal year 2017, and 2018 audit plans on time and within budget. Managed and ensured successful completion for over twenty-five financial and operational audit engagements from the planning phase to the drafting of the final audit report as well as liaised all communications between key stakeholders and the Board of Directors. Served as a trusted adviser on business process improvements and the overall internal control environment for the various business segments as well as collaborated with management for special audit projects and investigations.

Identified and investigated a $22 million discrepancy within a contract compliance audit.

Spearheaded the documentation of the internal controls process by creating narratives and flowcharts for 15 business segments.

Contributed to the ongoing Internal Audit Department initiatives and increased awareness by successfully completing a company-wide Internal Audit Road Show.

Ensured staff was provided with appropriate training development and monitored continuing professional education.

Implemented a staff performance review process as well as provided coaching and feedback upon completion of all audit deliverables to ensure maximum effectiveness of internal audit operations.

David Landau & Associates (DLA), New York, NY

Internal Audit Manager June 2010 to May 2016

Managed the annual Sarbanes Oxley (SOX) compliance as well as the financial and operational internal audits for both public and non-public multi-national financial institutions. Led all aspects of the engagements from the planning phase to the drafting of the final audit report phase as well as communication between key client personnel and senior management. Provided exemplary client service by completing all projects in a timely manner and within the budget.

Managed a team of three consultants (per engagement) that successfully identified key risks, identified, and assessed mitigating controls, as well as provided recommendations on improving the control environment with the development and execution of risk assessments for four major clients.

Managed staff and senior level consultants with documenting narratives, performing walkthroughs and testing the business area critical controls. Provided management reviews on completed testing work-papers and tracked design effectiveness and operating gaps.

Created and documented the internal control processes by creating narratives and risk matrices for two Pre-IPO clients.

Skills & Knowledge

Mastery in MS office suite (Word, Excels, PowerPoint, Access, Project) Visio and AuditBoard.

Proficient in Microsoft Dynamics GP, SAP, ADP, Kyriba, Concur, IDEA, Access, Teammate and RSA Archer.

Education

B.S Accounting, RUTGERS UNIVERSITY-School of Management, Newark, NJ

Candidate for Certified Internal Auditor (CIA) Exam (In progress)

Professional Organization

IIA (Institute of Internal Auditors) – New York Chapter 2006 to Present

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