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SUMMARY OF QUALIFICATIONS
Skilled financial executive, MBA/CPA, with a record of consistent accomplishment in both managing and auditing
accounting and financial functions. Successful at large international and small groups of companies, having served in
numerous officer positions as well as Director of Internal Audit. Responsibilities included all phases of Sarbanes-Oxley
requirements and various internal audits including any required by either the Board of Directors or regulatory
requirements. I can identify risks and controls that will prevent future problems for your company.
PROFESSIONAL EXPERIENCE
Heartland Payment Systems, Inc., Princeton, NJ, 5th largest credit card processor in the US.
Sr. Director of Internal Audit, 2008 - 2016
Responsible for Sarbanes Oxley (SOX) Compliance and various internal audits as directed by the Board of Directors and
Senior Management.
Instituted Control Environment/Ethics Survey at each office visited to gauge culture of office and identify control
weaknesses, receiving plaudits from Audit Committee and senior management.
As first Director of Internal Audit, developed audit charter, initiated annual audit plan including design of all audit
programs and updated Sarbanes-Oxley documentation and annual test plan at beginning of each year.
Worked with external auditors to provide requested customer documents from Company s servicing site and any
reports from the general ledger (Great Plains) to facilitate timely testing at year-end.
Coordinated Sarbanes-Oxley testing with external auditors and completed all required testing on a timely basis
ensuring that the Company did not have to report any deficiencies in its 10-K.
At request of the Board of Directors, reviewed procedures for Loss Prevention Unit after large fraud loss and
instituted a monthly review of merchant activities for compliance with company policies and procedures.
Issued audit reports and presented to Audit Committee on a quarterly basis.
Used ACL analytics to enhance audit coverage for internal audits.
Medicus Insurance Company, Austin, TX, medical malpractice insurance company
Chief Financial Officer 2007 - 2008
Responsible for all financial functions of startup company, including all reporting to state departments of insurance.
Instituted acceptance of credit cards for premium payments, improving timeliness of premium collections and
reducing collections activity.
Provided quarterly reports to venture capital owners and ad hoc reports as requested.
Ensured all regulatory filings were accomplished on a timely basis.
GR Consulting, LLC (merged into Grant Thornton), Jenkintown, PA, internal audit and SOX consulting
Project Manager 2005 - 2007
Consultant 2004 - 2005
Responsible for 4 Sarbanes-Oxley assignments concurrently as Project Manager.
Clients included Real Estate Investment Trusts (REITs), insurance company, pharmaceutical company, regional
banks and manufacturers, some as a consultant.
Presented regular status reports and findings to Audit Committee or CFO of client companies.
Participated with partner at presentations to potential clients as REIT/Insurance expert.
Candidate's Name
Resume Page 2 of 2
Direct Response Corporation, Meriden, CT, group of automobile insurance companies
Controller 2002 - 2003
Responsible for all Statutory and GAAP financial reporting for all companies.
Championed replacement of general ledger system and developed coding for new system.
Responsible for addressing all questions from Department of Insurance related to annual and quarterly filings.
Provided all required reports requested by Underwriting for rate filings.
Parson Consulting, New York, NY/Boston, MA, financial consulting
Consultant 2001 - 2002
Managed the investment accounting department for a group of 30+ insurance companies during a systems conversion,
meeting monthly due dates for the first time at the company in first month of an eight month assignment.
Prudential Property & Casualty Insurance Company, Holmdel, NJ, auto and homeowners
Director, Financial Operations 1998 2000
Responsible for accounting/reporting for all expenses of the company as well as special projects.
Other Positions
American International Group, Inc., New York, NY, international insurance group
Vice President, Finance, AIG Global Investment Corp
Chief Financial Officer, AIG Global Investors, Inc.
Assistant Treasurer, AIG Investment Department
Vice President, Finance, American International Adjustment Company
Worldwide Budget Director, American International Group
Allstate Insurance Company, Northbrook, IL, Senior Corporate Accounting Supervisor
City Products Corporation, Des Plaines, IL, Internal Auditor
Pannell, Kerr, Forster and Company, CPA s, Chicago, IL, Staff Auditor
EDUCATION
Master of Business Administration (MBA), Finance, DePaul University, Chicago, IL
Bachelor of Science (BS), Accounting, DePaul University, Chicago, IL
Certified Public Accountant, Illinois
TECHNICAL SKILLS
Great Plains - general ledger system
Concur expense management system
ACL GRC software for business analytics
Microsoft Office Word, Excel, Powerpoint
PRIOR AFFILIATIONS
Investment Committee of Motor Vehicle Accident Indemnification Corporation
Mellon Bank Institutional Asset Services Client Advisory Board
VOLUNTEER ACTIVITIES
Treasurer, Princeton SCORE
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