Internal Audit Receiving Inventory Coordinator

SUMMARY:

SOX *** Program management

Key Controls testing in COSO business cycles

Control Deficiencies, identification & remediation

Spreadsheets, ITGCs, Cycle counts, PI counts, 3rd party Vendor Confirmations

Walkthroughs planning and execution

Narratives & Flowcharts updates

Regulatory Compliance management

Certifications of access rights, disclosures, narrative updates

Managerial reviews of BS account reconciliations, JVs, month-end close

EDUCATION:

BS - Accounting San Jose State University San Jose, CA (Graduated)

BS - International Business San Jose State University San Jose, CA (Graduated)

CERTIFICATIONS & Memberships in Professional Institutions:

CIA: Certified Internal Audit Practitioner - (Certificate Serial Number: 89)

Membership: IIA (Institute of Internal Auditing), IFE (Institute of Fraud Examiners)

TECHNICAL SKILLS:

EXCEL expert Level, i.e. macros, tables, formulas. Google Sheets. SAP_(Enterprise, Entitlements, Lookup, Support), ORACLE_11i_(Modules: Accounts Receivable, ARM Inventory, Materials Transactions, Revenue, Payables, GL reports), Tableau, Callidus, SharePoint, Salesforce.com, TriTech (CSA tool), Discoverer, Aline, OpenAir, Visio.

PROFESSIONL EXPERIENCE:

Intevac Santa Clara, CA

Senior SOX Analyst (Compliance Analyst – ICFRs) April 2017 to Aug 2023

I executed all aspects of the Company’s Sarbanes-Oxley (SOX) 404 compliance program & fraud prevention program, reporting to the Corporate Controller. My responsibilities included:

Annual Enterprise Risk Assessments of Internal Controls Over Financial Reporting (ICFR) including Management Review Controls (MRC) and their effectiveness in mitigating fraud risk and ensuring compliance with the Company’s risk & controls matrix (RCM), GAAP, and internal policies & procedures.

Annual Walkthroughs of business processes; their planning, coordination (with key control owners and external auditors) and execution. All walkthroughs conducted online since 2018.

Testing Key Controls (~59 ICFR, 3x yearly). These are a mix of MRCs, automated controls, system access controls, and manual controls. Testing ITGCs (25 ITGCs, 1x yearly).

Testing Key Spreadsheets. This includes (1) annual risk assessment of spreadsheets (determine their materiality, complexity, ties to key finance controls & reporting). For high risk spreadsheets, tested their inputs, outputs, access, backups.

Deficiencies identified; Remediation plans created (in conjunction with control owners). Retested control failures to determine if they are now working as designed.

Significant Deficiencies & Material Weaknesses reported to the Corporate Controller for inclusion in management’s quarterly reports to the Audit Committee.

Regulatory Compliance management of ITAR, FCPA. CMRT. Year-end due diligence activities including vendor confirmations, customer confirmations (invoice/billing)

Certifications of (1) bi-annual updates of business process narratives & flowcharts, (2) bi-annual updates of ERP access rights, (3) quarterly ‘full disclosure’ certifications by key employees completed.

SOC1 Type 2 Reports of risks posed & controls in place for the Company's software as a service (SaaS) providers reviewed 1x yearly. Provided management’s responses to Complementary User Entity Controls per SOC 1 Reports.

Palo Alto Networks Santa Clara, CA

Software Licensing Analyst - Consultant - Apr’16 – Apr’17

Deploying support & subscription licensing using SAP, Tableau and Salesforce.com.

Tracking current & backlog license registrations and resolving issues.

Reporting and analyzing customer install-base and purchase trends. Supporting revenue analysis requests by Finance.

SOX Tester -Consultant-

Protiviti (Robert Half) -SOX Consulting Firm San Jose, CA Oct’15 – Feb’16

Accretive Solutions -SOX Consulting Firm Redwood City, CA Jun’15 – July’15

JDSU -Consulting- Milpitas, CA Nov ‘14 - Feb ‘15

Participated in 1st Year SOX Payroll, HR, worker’s compensation, benefits, new client setups, commissions payouts, and sustentative testing. Participated in 2nd Year SOX 404 test of controls: Fixed Assets, Purchase to Payment, and Payroll processes.

Assisted External Auditors (PWC, EY) in executing business process Walkthroughs. Conducted detailed tests of controls as part of the WT processes.

Provided direct assistance to external auditors, i.e. PWC, in the completion of annual confirmation process (e.g. Inventory, HR and Procurement) and other substantive testing, as required, for six plant sites.

Evaluating SSA16 reports & conducting vendor confirmations from third party vendors and AR confirmations.

Scheduling & leading multiple meetings per day with various stakeholders. (Internal auditors, external auditors (PWC), and multiple control owners (located across different time zones & locations). With follow up meetings and questions. Note, meetings were P2P, on-line (MS Lync), or a combination of both.

Comcast -Consultant- Livermore, CA

Financial Analyst (Operational Audits, Data Analytics) July’14 to Nov’14

Data Analysis -integrating various databases (incl. Oracle, SAP, SFDC, 3rd party databases such as GPS Fleet Tracking) to identify fraud and operational in-efficiencies and delivering weekly written and oral presentations of findings to management.

Financial reporting, revenue analysis support, discount monitoring, promotional modeling, and metrics of subscriber reported issues & their resolution to various departments within the company.

Operational audits of fleet inventory (approx.1, 800 vehicles), product inventory (warehouse controls, cycle & PI counts), customer billings, sales discounts, sales commissions, technical services, payroll and expenses reporting.

Staffing Agency - San Jose, CA

SOX Compliance Testing -Consultant- May’13 – Mar’14

Assisted in annual SOX 404 audit planning activities including identification of key controls, updating of business process narratives.

Conducted JSOX and SOX controls testing of COSO financial processes (Revenue, Equity, P2P, Treasury, Fixed Assets, and Accounting).

Finisar (dba Coherent) Sunnyvale, CA

Internal Auditor (SOX Compliance, Operational) Jan’06 to Jan’13

7+ year experience as Staff Auditor in Finisar’s Global Audit Team conducting financial compliance and operational audits in Company’s domestic and international locations.

Participating in annual SOX 404 and operational audit planning activities, including Enterprise Risk Assessment, Identification of Key Controls, and Documentation of Business Processes (flowcharts and narratives).

Evaluating risks in existing business and computing environment. Identifying potential improvements to current internal controls structure as needed. Conducting SOX testing of COSO business cycles including Revenue, ELA, Equity, Production, Payroll, BCIA, PPE, Treasury-Financing, Financial Reporting & Close (review 10K, 10Q, SEC compliance), & Legal.

Preparing and managing the execution of internal control test plans, identifying and remediating control deficiencies; re-testing and re-evaluating control deficiencies. Assisting external auditors in creating business process walkthroughs and in conducting tests of key controls and business reports for the evaluation of SOX 404 compliance.

Conducting operational audits, including cycle counts and physical counts of company and sub-contractor held inventory in the USA and international locations. Verifying that standard and non-standard contracts and POs adhere to company policies. Verifying compliance with governmental regulations such as IITAR, FCPA. Conducting quarterly tests of commissions and incentive payouts.

Verifying accuracy & the timely completion of balance sheet accounts reconciliations, inter-company JE's, and month-end close. Ensure all vendors used by procurement are on the approved vendors list and their vendor accounts (in the company database) have been appropriately approved and set-up.

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