Unji Shodi Internal Audit SOX Compliance

P

Internal Audit / SOX Compliance

Premier Audit Compliance Services

Jun 2014 - Dec 2023 (9 years 7 months)

Engaged as a consultant by clients such as Ernst &Young, PWC, KPMG, Robert Half, Royal Bank of Scotland, MUFG Bank, PNC Bank, etc., to serve as an internal auditor or Sarbanes-Oxley (SOX) compliance officer. Duties include conducting internal audits utilizing IIA standards and acting as a liaison between business owners and external auditors at companies such as Citibank, Deutsche Bank, Bank of America, and healthcare companies such as Novartis, Regeneron and Sanofi. • Responsibilities also include overseeing SOX compliance programs, assisting process owners in identification of risks and design of controls and oversight of the client's SOX program including evaluation of risks and front office control design, development of testing steps,

Internal Auditor

Novo Nordisk

Jan 2013 - Feb 2014 (1 year 2 months)

A healthcare company in diabetes, hemophilia care, growth hormone and hormone replacement therapy. • Monitored compliance with a Corporate Integrity Agreement (CIA) negotiated with the office of the Inspector General (OIG) and the Physician Payments Sunshine Act • Audited and monitored adherence to, a Corporate Integrity Agreement with the OIG, Novo Nordisk policies and guidelines, the Physician Payments Sunshine Act, and other federal and state regulations. • Maintained and updated processes, procedures and other documentation as required as well as formulate new processes, policies and standards as needed. • Reviewed interactions with HCPs, payments to medical professionals, and monitored sales programs using Excel Pivot tables.

Internal Audit / SOX Compliance

Praxair Inc

Aug 2012 - Dec 2012 (5 months)

The largest industrial gases company in North and South America, and the third-largest worldwide by revenue. In 2018 Praxair merged with Linde AG, a German multinational chemical company, to form Linde Plc. • Provided support to Shared Services in implementing strategy, including developing the methodology to execute the SOX Compliance Program and the overall coordination and communication with the business functions. • Oversaw fieldwork in accordance with the approved audit strategy. Continuously reviewed audit risks during fieldwork to dynamically adapt audit strategy. • Walkthrough documentation, risk control matrices and evaluation of design effectiveness, testing work papers and evaluation of operating effectiveness, deficiency repo

Internal Audit / Compliance Standards

Atlas Air

Jun 2011 - Oct 2011 (5 months)

Aircraft lessor that operates flight for some of the world's leading airlines, global shippers and the U.S. Military. Ensured timely resolution of assigned audit findings, ensuring that implementation of process changes is considered across all relevant processes and areas of the company. Collaborated with the different parts of the business to bring about standardized resolution that will not increase risk to any guiding policies and will ensure compliance. The manager was also responsible for leading cross functional project teams to drive process improvement projects, ensuring consistency across all applicable policies, including training plan development, process implementation and monitoring.

E

Manager, Internal Audit

Eisai China Inc

Sep 2004 - Apr 2011 (6 years 8 months)

US pharmaceutical subsidiary of Tokyo-based Eisai Co., Ltd., a research-based health care company. • Assisted the CFO in building the Audit department. Developed the audit universe, audit plan, audit methodology, work papers audit report formats, etc. Developed and formalized all processes and procedures for the audit function. • Managed a pool of auditors in conducting Financial, Operational and IT audits. Audits were conducted in accordance with GAAP, GAAS, COSO Framework, PCAOB Standards and internal auditing principles. Performed risk-based audits to concentrate limited resources on high priority areas. Audits were also conducted to ensure the company followed all pertinent FDA, PhRMA, HIPPA and OIG guidelines and policies. • Revised

H

Supervising Senior, Internal Auditor

Hoffmann-La Roche Ltd

Nov 2000 - Sep 2004 (3 years 11 months)

A leading healthcare company with two core businesses: diagnostics and pharmaceuticals. Planned, supervised, and executed risk-based audits in the Pharmaceutical, Diagnostics and Vitamins divisions. Used ACL to analyze data and evaluated business processes to assess and quantify risk. Analyzed effectiveness of processes by which the various business segments were managed. Reviewed means of safeguarding assets and other key resources, including the security of IT systems and applications. Managed and supervised audits in diverse environments such as China, Brazil, Hong Kong, Australia, South Korea, and Switzerland.

E

Senior Auditor

Ernst and Young LLP

Jan 1998 - Jan 2000 (2 years 1 month)

Ernst & Young is one of the Big Four accounting firms: EY is the third largest professional services firm in the world. Member of the Internal Audit, Contract Services Practice. Performed audits of and due diligence reviews of domestic and international clients such as Hoffman La Roche, Time Warner Cable and SFX Entertainment Inc. Also reviewed client's internal controls and provided control and efficiency recommendations to upper management.

Internal Audit Consultant

Royal Bank of Scotland

An investment bank that provides financing, risk management, transaction services and liquidity to financial institutions. • Reviewed the Risk Assessment methodology and the business impact / exposure of the Bank's assets, ensuring compliance with the Federal Reserve requirement that firms with significant trading activity perform a Comprehensive Capital Analysis and Review (CCAR) with respect to their capital structure. • Developed trading process documentation; specifically, VISIO flowcharts, narratives, and control frameworks, for activities that could impact financial reports or statements, for example FOREX and Money Markets trades. • Evaluated the adequacy and effectiveness of internal controls relating to Payment Operations, Post

A

Consultant, Internal Audit

AXA FINANCIAL INC.

Multinational Company that engages in global insurance, investment management, and financial services. • General Controls Manager: identified Front Office Control gaps and recommended remediation actions. • Assisted in implementing technology-focused regulatory requirements and assessing the impact of proposed regulations through the evaluation of regulatory developments. • Measured the capabilities and maturity levels of security controls using the NIST (National Institute of Standards and Technology) CSF (Cybersecurity Framework), to identify gaps in policies, standards, processes, and technologies. • Interviewed key stakeholders and performed Design Effectiveness Testing (DET) Walkthroughs. • Ensured compliance with Group standards

N

Consultant, SOX Compliance

NIPPON PAINT INC.

A subsidiary of Nippon Paint Holdings Co., Ltd. of Osaka Japan, a leader in the global paint and coatings industry. Contracted SOX compliance officer responsible for development and oversight of client's SOX compliance program. Established scope, program milestones, and oversaw the annual SOX compliance program including evaluation of risks and control design, development of testing steps and evaluation of results and remediation plans. Responsible for SOX 404 compliance documentation and compliance assurance processes. Conducted front office control assessments, compiled key control matrixes, created risk mitigation plans, and developed processes to validate day to day system compliance. Provided guidance on SOX requirements and related to

C

Consultant, Internal Audit / Compliance

Conduent Inc.

Conduent Inc. is a technology-led business process services company. • Supervised and reviewed the work of six staff auditors across international locations. • Conducted operational and financial audits of various business locations. Led efforts to optimize internal controls to ensure compliance with regulations set by state and federal authorities. Performed Security Assessments of Cloud Computing Systems using the Risk Management Framework. • Completed projects in various disciplines e.g. IT Hardware and Software, business continuity, disaster recovery, and prepared reports of findings with recommendations, negotiated with process owners. • Reviewed and investigated any IT related operational incidents. This included assessing any bre

Asset / Investment Associate Consultant

Citibank

• Focused on servicing clients of Citi Private Bank by understanding their investment objectives and working with senior team members to deliver investment solutions. • Assisted senior members of the investment team in the delivery of effective investment solutions to clients. • Analyzed economic trends/activities and advised management of the effects on the investors' portfolios • Recommended changes to investors' holdings after evaluating the economic, financial and market factors and the potential impact on the investors' portfolios. • In support of senior team members, engage clients on investment themes and solutions, and assist in the execute of the investment solutions and trades.

Consultant, SOX Compliance

Douglas Elliman Real Estate

The largest residential real estate brokerage in New York and the fourth largest US real estate company. • Project Manager with the SOX Compliance Team responsible for transitioning Douglas Elliman to a publicly held entity. • Coordinated walkthroughs to assist process owners in identifying risks and effective controls. • Completed SOX 404 narratives and VISIO flowcharts to redesign business process and ensure that the company was SOX compliant. Also, used VISIO software to perform process mapping and Design Effectiveness Testing (DET) to document and evaluate process controls and confirm that they are operating as designed and address significant and/or high risks e.g. potential misstatements (including fraud risks such as management ov

Consultant, IT Security / SOX Compliance

Pitney Bowes

Pitney Bowes is a global technology company known for its postage meters, e-commerce and software. • Managed miscellaneous projects: including the implementation of processes, tools, and systems to identify, assess, measure, manage, monitor, and report risks on an enterprise-wide basis. Developed an internal IT control framework that demonstrated proper design and operation of said controls. • Worked with IT and Business process owners to develop and document risk scenarios, and related risk analysis, along with risk responses to manage risks inherent within their areas. • Utilized SOX HUB, a cloud-based product from Audit Board, to automate and manage the SOX compliance function. • Ensured compliance with regulations and industry stand

Unji Shodi

About

Detail

Timeline

Résumé