Details-focused leader with experience in Internal Auditing, Internal Controls, and

Regulatory Compliance, as well as strong academic training and industry credentials.

Accounting Auditing Internal Controls Sarbanes-Oxley Compliance Process Optimization

Business Process Documentation Risk Assessment Project Management Regulatory Compliance

Senior Internal Auditor SOX 404

         Capitalize on the opportunity to rationalize the company s control set, including streamlining processes and collaborating with process owners to communicate prior year control deficiencies, develop remediation plans, and monitor status.

         Liaise among an Internal Audit management team, and lead walkthroughs with new external auditor and internal partner.

         Coordinate the company s SOX compliance documents to meet 2015 s requirements, including assisting internal partner in performing walkthroughs and documenting process narratives and key related Risk and Control Matrices.

         Demonstrate focus on major revenue streams, Passport and Ambrose products, Equity, and Financial Reporting processes, and offer talent in creating testing programs and assisting with test of control procedures, identifying control exceptions, and communicating results to process owners which is instrumental in driving operations success.

Consultant SOX 404 / Project Management / Desktop Publishing

         Utilized broad scope of industry knowledge toward executing internal control testing procedures, communicating test results to management, identifying control weaknesses and gaps, and identifying areas for continuous improvement.

         Coordinated efforts with process owners to compile and update end-to-end business process documentation and flow diagrams per Sarbanes Oxley Act Section 404, and project-managed SOX engagements to ensure on-time completion.

         Led an internal team in handling SOX testing, including providing ongoing communication, direction, and coaching.

         Collaborated with subject matter experts to edit, proofread, and format report submissions required by Dodd-Frank Act Section 165(d) and additional Federal Reserve submissions (e.g., Comprehensive Capital Analysis Review CCAR).

Accountant SOX 404 / Internal Control Reviews

         Reviewed affiliate transactions with non-bank entities and disseminated results per Federal Reserve Act s Section 23B.

         Reviewed online / mobile products / services to ascertain reporting impact, identify controls, and provide recommendations.

         Utilized proficiency in Sarbanes-Oxley 404 requirements to ensure compliance by the Internet Services Group (ISG).

         Partnered with SOX stakeholders to update end-to-end business process documentation and test internal controls, along with performing quarterly control assessments and compiling quarterly management representations for ISG.

Controls Advisory Office Lead SOX 404

         Led the testing of Order-to-Cash process controls which included testing appropriateness of revenue recognition procedures and partnering with process owners to update documentation and obtain quarterly certifications.

         Provided advice during monthly Pricing Committee meetings and Oracle system integration planning meetings.

         Led comprehensive testing procedures over the corporate service purchase order process, along with coordinating efforts among approximately 60 process owners on a quarterly basis to convey control requirements and audit results.

         Maximized use of resources and met and / or exceeded key goals by planning and prioritizing tight weekly deadlines.

Ana R. Chairez Resume Page Two (xxx-xxx-xxxx

Senior Internal Auditor Financial / Operational / SOX 404

         Led the update of business process documentation for the company as it was acquired in 2007 by Intuit, Inc., including performing control testing to evaluate effectiveness, as well as managing the implementation of FOCUS the company s first web-based database application for documenting SOX-based business processes and audit work papers.

         Exhibited solid communication skills toward leading closing conferences to present engagement findings and recommendations, along with preparing audit reports to disseminate engagement results to leaders and audit committee.

         Directed audit consultants during testing procedures to ensure delivery of consistent, timely, and quality-driven work.

Senior Internal Auditor Financial / Operational / SOX 404

         Planned and executed financial audit engagements performed at organization s various business units, including reviewing internal control documentation and performing controls testing to evaluate effectiveness per SOX Section 404.

         Coached and supervised auditors in executing business unit-level programs and provided on-going quality-assurance reviews.

         Coordinated closing conferences with business unit management to present engagement findings and recommendations.

Compliance Auditor OSHA

         Ensured manufacturing sites adherence to the firm s clients codes of conduct, local labor laws, and OSHA standards by performing compliance audits for wide-ranging retail and manufacturing clientele focused on social compliance audits.

         Performed health and safety inspections at manufacturing sites, including primarily working on a high-profile Wal-Mart Stores, Inc. account, as well as providing management with recommendations to improve operational processes and controls.

         Reviewed audit reports submitted by the firm s international audit partner (PwC China) for quality assurance.

Auditor Financial / Internal Controls

         Supported engagement partner and manager in planning and executing internal / external audit programs for full-scope audits, reviews, and compilations for middle market clients, along with analyzing financial data and business processes to ensure compliance with corporate standards, presenting findings, and providing recommendations to improve controls.

         Participated in internal audits for financial institution clients, and coordinated drafting and issuance of financial statements.

Internal Auditor Financial / Operational

         Played a role in planning operational audits in Alberta, Canada, and offshore Louisiana locations.

Audit Senior Associate Financial / OSHA

         Co-developed and implemented audit programs for oil and gas clients, including assisting with technical research to resolve engagement accounting and audit issues and providing audit manager with status and budget reports.

         Led audit engagement functions while overseeing three personnel and ensuring timely completion of core project.

         Performed social compliance audits for OSHA health and safety inspections of manufacturing plants (e.g. Nike, Inc.).

Master of Business Administration University of Phoenix

Bachelor of Science in Accounting University of Southern California

Certified Fraud Examiner (Since 2010) Certified Internal Auditor (Since 2004)

The Institute of Internal Auditors (Member No. 1130641)

Association of Certified Fraud Examiners (Member No. 583970)