Candidate has extensive audit experience including SOX requirements, SEC reporting and performing fraud and information technology audits. He has taken the last year and taught a high school class of special needs students (mental retardation, autism, learning disabled, behavioral and psychological disorders, etc.). Subjects taught were math, language arts, science, social studies, and independent living.  This was a full-time teaching assignment that he undertook to help improve the lives of these special students.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Insurance Company (Novato, CA)
Vice President of Audit &Investigative Services, August 1999 - September 2004
Vice President & Controller, Commercial Insurance Division, August 1998 to August 1999

Transformed a compliance oriented, outsourced internal audit department to a true internal audit department focused on risk based auditing.  The internal audit department performed financial,
operational, compliance, fraud and information technology audits.  Managed the Company’s initial SOX implementation as part of the Allianz Group. Provided key support to the parent
company (Allianz) in developing the world wide SOX approach, especially within the area of entity level controls.  Partnered with other Allianz Group company audit departments to perform audits of European and Latin American companies. Provided audit leadership and guidance to other group companies during annual international audit conferences and the SOX project. Participated in the development and implementation of turnaround plans for the Company and key subsidiaries,
including reporting results and recommendations to executive management and the Audit Committee of the Board of Directors. As Commercial Insurance Division Controller, had responsibility for the accounting and reporting functions of the Companys largest division and its five business segments.

Indemnity Group (Galveston, TX)

Vice President &Chief Information Officer, January 1997 to August 1998
Vice President of Internal Audit, June 1994 to January 1997

As Chief Information Officer, had responsibility for leading the Company’s information technology department.  This included managing application programmers, operational personnel, and application and technical service providers.  Managed the conversion of all Company legacy hardware,
operating systems and applications to an AS 400/client server based configuration utilizing newly
implemented integrated policy management systems.  As Vice President of Internal Audit, formed and managed the Company’s first internal audit department.  Recommended and helped to implement several operating and control improvements, including automated/lockbox cash collections, claim legal fee management programs, and policyholder/agent service satisfaction metrics.

Major Insurance Company (Houston, TX)
Group Manager of Insurance Accounting/Credit Insurance, Dec 1992-June1994
Manager of Corporate Audit, October 1989 - December 1992

As Group Manager of Insurance Accounting, managed the accounting and reporting functions for three credit insurance (two life and one property and casualty) companies. These responsibilities include statutory reporting, internal reporting, and general ledger.  As Manager of Corporate Audit, managed the parent company corporate audit function.  Public Accounting Experience: Arthur Andersen &Co, Houston, TX

Performed and supervised audits of several large SEC companies. Participated in multiple SEC
registrations, pension audits, and other special projects.

Leadership/Management Experience:
Have led and managed departments of up to 23 persons.
Leadership and management experience includes managing
employees from the director to clerical levels.
Have led key projects with multi-million dollar budgets and
organizational wide impact in areas of systems conversion
and implementation, Sarbanes-Oxley compliance and problem resolution

 

MBA, Finance, University of St. Thomas, Houston, TX, 1992
BS, Accountancy, University of Illinois, Urbana-Champaign, 1982

 

Certified Public Accountant/Certified Internal Auditor
Fellow, Life Management Institute &Chartered Property &Casualty Underwriter
Chartered Property &Casualty Underwriter
Certified Special Education Teacher in Texas, Early Childhood through Grade 12 .