Kelly

Risk and compliance leader with 10+ years of experience across Big Four consulting and financial services, specializing in internal controls, technology risk, financial reporting, and regulatory compliance. Experienced managing complex client engagements, leading cross-functional teams, advising senior stakeholders, and coordinating with auditors and regulators across banking, technology, and other industries. CPA with deep expertise in SOX, SOC, NIST, GDPR, Third party monitoring, GRC, privacy and incident governance, COSO, COBIT, PCI, ISO, and ITGC frameworks.

Vice-President, Risk & Quality Assurance Officer - Citibank - Irving, Texas

• Advise internal stakeholders and business partners on technology and data infrastructure supporting financial operations, applying enterprise risk management principles to improve cash flow visibility and decision-making across systems.
• Serve as the primary point of contact for risk and compliance matters, partnering with system owners, audit teams, and regulators to manage operational risk and maintain the integrity of payment-related systems.
• Coordinate with external auditors and internal stakeholders to support audit readiness and issue resolution
• Provide independent risk assessments and control evaluations across enterprise systems, designing and applying risk management frameworks to support compliance with GAAP, COSO, COBIT, PCI, ISO, and SOX requirements.
• Contribute to regulatory remediation, control framework enhancements, and process improvements through cross-functional collaboration, ensuring compliance with applicable regulatory standards and internal policies.
• Evaluate business processes impacting the cash conversion cycle, identifying inefficiencies and recommending improvements to optimize working capital, vendor relations, IT inventory assets, and operational performance.
• Deliver consultative quality assurance reporting and process improvement recommendations to cross-functional teams and senior management, helping drive remediation of root causes and align technology capabilities with business and client needs.
• Collaborate with engineers and product teams to design automated controls and scalable solutions, enhancing system efficiency and client experience.
• Leverage AI application in risk and compliance, Jira, and Confluence to manage initiatives, track deliverables, support reporting, and ensure timely execution of business objectives.
• Support enterprise services including data analytics, reporting, and system reliability, ensuring consistent performance of platforms critical to financial operations - with use of tools such as IT asset management, business intelligence, technology data reference inventory fabric, data governance & architecture interfaces, site reliability engineering, UNIX, Netinfo, Citi Vulnerability Management Portal, DataMart, Virtual Reports.
• Supported compliance with SOC 1 & 2, ISO 27001, GovRAMP, ERP platforms, third-party monitoring requirements, GRC tooling, PCI, HIPAA, NIST, GDPR, and other customer or regulatory standards across technology and financial operations.

Manager, Internal Controls - Transamerica - Remote

(2023-10 - 2025-01)

• Executed SOX, SOC, COSO, PCAOB, and other regulatory internal audit scopes while managing external auditor expectations, reviewing key financial and technical integrations, directing staff, and reporting progress to the Internal Controls Director and Risk Oversight teams.
• Provided subject matter expertise on security and controls over information technology architecture and operational risk exposures during a widespread global Oracle Fusion and Cloud implementation, including risk management framework design workshops.
• Performed fieldwork working closely with technical project managers and Deloitte implementation engineering partners to coordinate meetings, collected data and information, applied functional and technical design / configuration to the Oracle workflow and service platform, identified cross-functional interfaces, benchmarked , provided guidance and support for accounting/GL business and SAAS needs, and architected solutions.
• Collected statutory, GAAP, IFRS, and SOX financial artifacts to monitor, assess, and communicate regulatory changes and emerging compliance risks and trends related to Oracle GL security controls to executive partners, external auditors, and cross-functional workstreams.
• Provided leading solution assessments, and fostering open innovation through cross-collaborative discussion with stakeholders
• Managed corporate scope of key reports (IPEs) testing in alignment regulatory/industry evaluation standards to effectively measure and reconcile completeness/accuracy of the data and related operational processes

Manager/Consultant, Risk & Compliance - Jefferson Wells - Southwest Region (Contract) - Dallas, Texas

(2023-04 - 2023-10)

• Managed Internal audit and ITGC projects related to operations for Entity level and Financial SOX initiatives, including COSO standards
• Collaborated with multiple levels of client senior management (i.e CEO / CFO / CIO, etc) to identify areas of control and process optimization.
• Reviewed and challenged control documentation, risk narratives, and audit evidence to ensure accuracy and completeness
• Delivered risk reporting and presentations to stakeholders, highlighting key issues, trends, remediation priorities, and insights to enhance business performance and client service delivery models.
• Communicated project progress, risks, and recommendations to leadership, ensuring alignment with strategic business objectives.

Risk Assurance, Senior Associate (Business Process Auditor supporting Financial Reporting) - PricewaterhouseCoopers (PwC) LLP - Dallas, Texas; Philadelphia, Pennsylvania

(2019-08 - 2023-03)

• Managed staff between 2-10 individuals – and led project planning/execution/conclusion conversations with client stakeholders, including acting as escalation point for project issues (cost, schedule, process performance constraints) across multiple functional/regional lines
• Led interviews with and organizational leadership and business department leaders to coordinate project scope, objectives, strategy - and identification of controls needed to be added within the organization, mapping of risk assessments, and preparation of control narratives as needed for audit/compliance procedures
• Assessment of financial statements – General Ledgers, Income/balance sheet statements, Trial Balance, accounting receivables/payables transactions to ensure financial data matches detailed transactions and are in compliance with organizational metrics/performance as well as industry regulations or best practices for SEC reporting, SOX, GAAP, and ASC standards and COSO requirements
• Advanced grasp of IT Applications Controls (ITACs) and key reports (IPEs) testing - including customized Excel functions and creation of Alteryx/Tableau workflows/dashboards
• Analyzed IT General Controls (ITGCs) over logical security, change management, system implementation, and backup and recovery procedures for critical systems and infrastructure platforms for SOX audits to obtain reasonable assurance over the operating appropriateness/effectiveness of platforms within which financial data (as required for US GAAP/COBIT) are processed by management and that access to sensitive data is restricted to the required individuals
• Reviewed business services for risk exposures – and accounting data entries within a wide range of systems including JDE, Oracle, Netsuite, Microsoft Dynamics (D365), Hyperion Financial Management (HFM), SQL, PeopleSoft, Salesforce, Blackline, ServiceNow, Zuora, Workday, Medhost, ADP, Snowflake, EPIC
• Evaluated IT environments surrounding organizational cloud infrastructure, SaaS, big data, security and privacy, development and operations
• Trained, coordinated, and managed performance of internal audit teams and offshore resources
• Oversaw testing status and organizing presentations of audit progress/results to Directors and client sponsors
• Industries assessed: Utilities, Healthcare, General insurance, Consumer/Industrial products and services

Risk Assurance, Experienced Associate (Business Process Auditor & Consultant) - PricewaterhouseCoopers LLP - Montreal, Quebec, Canada

(2017-08 - 2019)

• Managed staff between 2-15 individuals – and project planning/execution/conclusion conversations with client sponsors
• Audited financial statements and technology process controls for SOX and SOC2 Type 1 testing
• Reviewed journal entries to assess execution of data as appropriate in value for services rendered/received, respect of approval limits, and pursuing banking deposit procedures
• Reviewed monthly reconciliations, trial balances, forecasting and budgeting processes related to critical financial reporting
• Reviewed balance sheet entries related to cash account, accounts receivable, accounts payable, prepaid assets, fixed assets, accrued expenses, data related to tax filings, and revenue recognition in compliance with ASC 606
• Assessed the design and operating effectiveness of Informational Technology General Controls (ITGCs)
• Tested business controls related to financial reporting, HR/payroll, purchasing, tax, and treasury processes for ICFR and SOX testing – managed volume of 1400 controls in 2 phases with staff, 8 business coordinators and 2 project sponsors
• Provided consulting services on implementation of SAP system for compliance with IFRS 15 - by evaluation of the effectiveness of 320 business requirements / 61 test cases for mobile rate plans as needed for revenue recognition
• Industries assessed: Utilities, General insurance, Telecommunications, Construction/Property Management, Healthcare

Risk Assurance, Associate - PricewaterhouseCoopers LLP - Dallas, Texas

(2016-07 - 2017-07)

• Performed internal audit testing over business processes, financial reporting, and SOX in accordance with US GAAP
• Prepared accounting and business process narratives and policies
• Prepared control risk assessments, documentation of accounting control procedures, and workpapers as required for annual audits
• Prepared forecasting of financial results for upcoming months according to understanding of process trends
• Met with business process owners to assist with accounting entries and obtain documentation required for coordination with external auditors
• Assessed client governance, risk management, and information systems to evaluate the effectiveness and efficiency of controls and compliance to regulations
• Industries assessed: Finance, Technology, Hospitality, Golf Management

Risk Assurance, Intern - PricewaterhouseCoopers LLP - Dallas, Texas

(2015-08 - 2015-12)

• Performed internal audit testing over business processes, financial reporting, and SOX in accordance with US GAAP
• Prepared accounting and business process narratives and policies
• Prepared control risk assessments, documentation of accounting control procedures, and workpapers as required for annual audits
• Prepared forecasting of financial results for upcoming months according to understanding of process trends
• Met with business process owners to assist with accounting entries and obtain documentation required for coordination with external auditors
• Assessed client governance, risk management, and information systems to evaluate the effectiveness and efficiency of controls and compliance to regulations
• Industries assessed: Finance, Technology, Hospitality, Golf Management

Internal Audit Intern - The University of Texas at Dallas Office of Audit and Compliance & PeopleSoft Academy - Richardson, Texas

(2014-09 - 2015-08)

• Planned and conducted an audit program to provide assurance of the athletics department’s compliance with institutional standards, state and federal laws, as well as grant conditions
• Performed inventory of athletic department supplies/materials in relation to preparation of accounting entries
• Evaluated the adequacy and effectiveness of internal controls within the operation and document utilizing the TeamMate Audit Management System
• Attended informational seminars and hands-on practicum sessions about PeopleSoft and SciQuest operations regarding applications and data mapping as well as their integration into financial and human resource systems
• Assisted HR with the compilation of benefits data for consolidation into the university’s PeopleSoft system

Master of Science - Accounting - The University of Texas at Dallas (UTD) (2016-05)

Bachelor of Science - Accounting - The University of Texas at Dallas (UTD) (2014-05)

Bachelor of Science - Biology - The University of Texas at Dallas (UTD) (2014-05)