Experience

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  Aria systems llc / covad communications group, inc. / laser link communications, inc.

  Apr 1999 - Feb 2004

  Cfo (aria); director of finance (covad); controller (laser link)

  As a founder of this start-up, I implemented the Finance and Accounting function. I developed our Accounting policies and procedures, and defined & established business processes / controls framework to support on-demand software as a service (SaaS) billing and customer management solution.

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  Arrow international, inc.

  Feb 2004 - Oct 2007

  Director, internal audit

  I gladly accepted this opportunity to implement the Internal Audit function and SOX program at Arrow International, the global leader of heart catheters and related medical devices. Arrow, a multinational publicly-held corporation with $500 million in revenue, was required to comply with the newly implemented regulations of SOX. The SOX program I implemented resulted in us achieving SOX success for all years. My Internal Audit team also effectively performed operational and non-SOX compliance reviews. Audit reports were issued to global management and reviewed with the Audit Committee. Outside of my role of Internal Audit lead, I was also awarded – • Letter of recognition by the CEO of Arrow and President of Teleflex Medical for due diligence initiative; specifically, for implementation and administration of virtual data room, composed of 5,000 documents, accessed by 270 users• Certificate of recognition and appreciation by Sr. Vice President of Regulatory Affairs and Quality Assurance for contributions to implementation of global Operational Excellence program Show less

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  Checkpoint systems

  Jan 2008 - May 2014

  Director, internal audit

  I welcomed the opportunity to re-cast the Internal Audit function at Checkpoint, a high-tech industry leader which supports most key retailers and global apparel brands. With operations in 29 countries, Checkpoint was focused on providing timely support of their customers’ ever-changing retail and production requirements.To better define a responsive control framework, I initiated a risk-based approach, which included formalized Enterprise and Fraud Risk Assessments. We then aligned controls to the identified risks and rolled out a responsive control framework across global entities. Our resulting SOX program was successful. As part of the re-casting of the Internal Audit function, I led us to address the following – • 3-year Rotational Audit Plan – I developed and implemented the rotational plan for my team to address multiple entities in 29 countries. Audit Reports were issued, detailing findings along with Management Action Plans and remediation dates. All reports were reviewed with the Audit Committee and findings were tracked through remediation.• North American and European Shared Service Centers – We developed and guided the implementation of key controls at both SSCs.• SAP Security and Controls team for North America implementation – I led this team which was the only team to meet all key deadlines – I was recognized for outstanding leadership. Show less

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  Houghton international

  May 2014 - Aug 2019

  Global director, internal audit

  I accepted the challenge to implement a responsive Internal Audit function at Houghton, the 150-year-old global leader in industrial chemicals. To support Houghton’s desire to go public, I implemented an effective and efficient Internal Audit function, while addressing the anticipated SOX requirements of a public company. By effectively engaging global cross-functional teams to align on compliance requirements and mitigate risk, we effectively implemented and administered our successful pre-SOX program, which included creating process narratives, flowcharts, risk & control matrices, test scripts and deficiency follow-through. The legacy-Houghton team deserves all credit in their full adoption of our successful pre-SOX program, as it stood up through the most critical of tests, our combination with Quaker Chemical.To support our control framework rollout, I also implemented the following – • 3-year Rotational Audit Plan – I developed a risk-based plan to address multiple entities in 33 countries, including audits at non-SOX locations. We issued detailed findings reports, reflecting Management Action Plans and confirmed remediation dates with the process owners. I presented all material findings to the Audit Committee and tracked findings through to remediation.• Enterprise Risk Assessment – I created and issued the survey and supported the implementation of Enterprise Risk Management initiative. All 77 surveys of Board, Global Management, and key business-line & support Management were completed. In supporting the Management responses to risks, worked to identify appropriate leads and teams, and develop formats to support comprehensive approach to considering and addressing / mitigating / accepting risks.• Re-implemented Global Compliance Program through creating the charter, implementing enhanced whistle-blower reporting program, establishing a global Compliance Committee, and rolling out FCPA / UK Anti-Bribery compliance programs. Show less

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  Quaker houghton

  Aug 2019 - Aug 2021

  Global director, internal audit

  In connection with the Quaker Chemical and Houghton International combination in August 2019, I accepted the leadership of the Internal Audit function of Quaker Houghton, integrating the Internal Audit functions of the 2 multinational corporations. Due to SOX challenges identified prior to the combination at the predecessor entity, we decided to re-implement the SOX program. I led our SOX testing in 2020, which successfully remediated one of the 2019 Material Weaknesses, partial remediation of a second Material Weakness, and all Significant Deficiencies. To support the remediation of the Material Weaknesses, I initiated the following formalized Risk Assessments – • Enterprise Risk Assessment – I initiated this assessment and supported the implementation of responsive Enterprise Risk Management initiative. I crafted and delivered a survey for the newly combined Management Team, composed of 475 members of Executive Leadership, Global Management, and key business-line & support Management, to support a comprehensive approach to considering and addressing / mitigating / accepting risks.• Fraud Risk Assessment – I initiated this enhanced fraud assessment in response to the COVID environment. I conducted one-on-one interviews with 35 global leaders to identify fraud risk concerns / potential weaknesses, in light of the COVID environment (remote workforce, supply chain, cyber and global economic considerations). Based on the resulting discussions, I created a Risk Register and mapped to the Risk & Control Matrices to highlight gaps.Both assessments were critical components of remediating the Material Weaknesses.To further streamline the administrative side of the Audit function, I successfully implemented ALIGN 2020 (SOX / GRC-light tool) to support the rollout of new Risk & Control Matrices globally, while automating quarterly Control Certifications, population / documentation requests (PBCs), and linking Issue Management to SAD reporting – all in place for 2021! Show less