Monica is a Managing Director in Protiviti’s Internal Audit & Financial Advisory practice. Monica works extensively with her clients in providing a broad array of services dealing with financial, operational, and regulatory business process areas. Monica has extensive experience in providing high quality internal audit services to clients primarily focused in the financial services industry. Her clients include medium to large privately and publicly held companies.
- Served as the Project Management Office (PMO) and client lead with a large financial institution providing specialized knowledge capital, leadership, resources and execution for a substantial amount of their audit plan including operational and regulatory audits throughout the servicing and collections businesses. In this capacity, assisted the Chief Audit Executive in execution of his role in a recent split which required review of all of the company’s key business processes, policies and procedures, focusing on a critique of the established control environment.
- Served as the client lead for a medium sized bank assisting the internal audit function in executing the IT, privacy/security and risk aspects of their audit plan.
- Participated in the risk assessment, scoping, process improvement and documentation effort in preparation for a company’s SAS 70 compliance effort.
- Assisted several organizations in SOX Section 404 compliance efforts, including traditional property and financial REITs, banks and private equity clients. This project work has included Year 1 risk assessment identifying SOX 404 scope, documentation of processes, risks and controls, project management, COSO 2013 implementation and testing. SOX 404 experience also covers subsequent year risk assessment, documentation updates, key control refinement and testing. Additionally, Monica has significant experience in working with Big Four accounting firms on SOX 404 engagements and Board reporting on project status.
- Served as Engagement Lead for Internal Audit outsourcing and co-sourcing engagements. This includes annual risk assessments, development of Internal Audit plan, execution and Board reporting.
- Served as interim Internal Audit Director for a public REIT for a 12 month period during which time SOX program was revamped in an effort to gain more external reliance on work performed for SOX. Additionally, led the execution of the established internal audit plan and prepared/delivered periodic Audit Committee reporting.
- Executed process reviews over the budgeting and forecasting, financial analysis, financial reporting, treasury/derivative controls and compliance, construction, investments, cash management, loan servicing, accounts payable, accounts receivable, payroll, purchasing, inventory management, product costing, and shipping
Areas of Expertise
- Internal Audit
- Financial Services Industry
- Financial Services
- Bachelor of Science - Accounting, Liberty University
- Masters of Business Administration – Finance and International Business, New York University
Professional Memberships and Certifications
- IIA QAR Certified
- Certified Public Accountant (CPA), Connecticut
- Certified Internal Auditor (CIA)
- Officer of the Board of Philadelphia IIA 2012 – 2015
- Board Member of the Philadelphia Chapter of the IIA 2015-present