Hi, I’m
Gloria Rosales
Pasadena, Texas
Summary
Analytical and resourceful finance professional with a proven track record of delivering high-quality results. Experienced in conducting effective audits and analysis to detect deficiencies and improve efficiency. Skilled in analyzing and extracting financial data for statistical, cost, and financial analysis. Demonstrated ability in forecasting and trend analysis to support project financial and managerial business cases. Proficient in documenting business processes to ensure performance consistency and ease of personnel cross-training. Possess over 10 years of Sox testing experience in various industries, including Oil & Gas, Property Management, and Entertainment. Multilingual with fluency in Spanish.
Overview
16
years of professional experience
Work History
SELF
Personal Sabbatical
09.2022 - 05.2023
Job overview
- During sabbatical, I successfully managed multiple responsibilities, demonstrating exceptional time management skills and maintaining healthy work-life balance. I focused on three key areas:
- Sold home/Moved: Oversaw seamless transition while relocating and selling my home. Efficiently managed logistics, coordinating with real estate agents, organizing movers, and ensuring all necessary paperwork and legal obligations were fulfilled promptly.
- Family Life: Prioritized family's well-being by dedicating quality time to nurture relationships and support loved ones. Actively engaged in family activities, attended my child's school events, and contributed to household responsibilities, fostering positive and balanced home environment
ENI Trading & Shipping
SOX & OPERATIONAL RISK SPECIALIST
03.2021 - 07.2022
Job overview
- Collaborate with team to identify and provide recommendations for improved controls and enhanced business efficiencies.
- Collaborate with cross-functional teams to implement process improvements.
- Assist responsible departments with reporting requirements, maintenance of policies and procedures and control testing.
- Assist in review of policies and procedures.
- Provide monitoring, reporting, and review of status of open incidents until are fully remediated.
- Gather and monitor key performance indicators and compile monthly KPI dashboard for presentation to management.
- Apply concepts of risk assessment.
- Coordinate and ensure timely testing of key controls with appropriate personnel.
- Assist with all aspects of SOX testing (Financial, Entity-Level, IT and Company Level).
- Assist in maintenance of Operational Risk Program, including but not limited to New Product Approval and Non-Standard Deal Approval processes. Assist in monitoring and reporting on Operational Risk processes for presentation to management.
VERRACY Company
Controls/Audit Consultant
03.2019 - 12.2019
Job overview
- Interview process owners to understand current state systems, processes, and/or controls and assessing risk with minimal oversight and supervision
- Translate interview notes from Spanish to English to document process narratives
- Maintain active communication with client to manage expectation, ensure satisfaction and update schedule per availability of process owners
- Document process narratives with embedded risk and controls noted for each process assigned
- Provide weekly audit status update meetings with Audit Manager or designee
- Report findings/issues and project status to Project Director
Waste Management
Financial-Manual Sox Tester
08.2018 - 09.2018
Job overview
- Responsible for completion of assigned 404 Sox testing, which includes tracking daily basis work progress and time spent on each of control assigned
- Responsible in reviewing testing documentation submitted and inform audit team of progress and delays to ensure testing deadline is met
Direct Energy
Internal Controls Analyst
12.2014 - 07.2018
Job overview
- Review & evaluate effectiveness of internal controls tested within Direct Energy business. This includes identifying and researching applicable operational/financial/technical issues and effectively applying knowledge of Direct Energy's operations and industry practices to audit matters.
- Assist with training and remediation of all internal control issues that are identified. Use cost-benefit analysis to identify areas where internal controls can be improved or implemented.
- Was 1 of 3 internal controls analyst involved in multi-million-dollar IT project to reduce 12 business applications to 2. Review documented processes for finance in service line of business and recommended controls and control activities that would mitigate risk for each of processes, such as Treasury, Revenue, Franchise, Procure-to-Pay, Service and Fulfillment.
- Performed walkthrough for process in place and recommended controls and control activities for Total Rewards and Benefits processes under Human Resource
- Strengthen control framework in each of reviews I was involved in such as Fixed Assets, Month End Close (especially for Business service line), Treasury and Settlements (Operational Accounting)
- Coordinated between process owners and external auditor (Deloitte) for half and year ending testing on walkthroughs, obtaining all reports/documents required for their testing and followed up on pending items
- Tendered analysis to assist rationalization and optimization of company controls
- Maintained organization's control framework to meet SOX compliance thresholds
- Evaluated current processes to develop improvement plans
- Executed scope and risk assessment, design analysis and test reporting and dashboarding
HESS Company
SOX Analyst
04.2013 - 11.2014
Job overview
- Assist E&P Management in developing risk assessment and testing strategy. Evaluate financial processes and controls and develop detailed test plans. Coordinate internal control walkthrough and testing. Conduct walkthrough and testing of significant financial areas. Identify and evaluate changes to processes and controls, coordinate with process owners to revise documentation and update test plans as appropriate. Evaluate test results and control deficiencies of the control environment and financial statements and determine action plans for remediation as required. Review and re-perform testing performed by others.
- Designed and perform key report testing on significant financial activities, in addition, documented desktop procedures for each area where key report testing was performed.
- Collaborated with external auditors (Ernest & Young) in which key report testing were utilized during 404-SOX testing. These key reports testing streamline SOX testing process for both the SOX audit group and external auditors.
- Performed system analysis, documentation, testing, implementation, and user support for platform transitions
- Validated results and performed quality assurance to assess accuracy of data
CBRE
Global Internal Auditor
08.2012 - 02.2013
Job overview
- Conduct audits to verify records accuracy, as well as standards, policies and procedural compliance. Compile audit findings and develop recommendations for areas of improvement; generate audit reports to document findings. Follow-up on recommendations for modifications and improvements to systems, processes and procedures. Interpret policies and procedures; apply accounting/auditing principles and standards to test and evaluate financial records and operational systems.
- Propose recommendations for improving audit process, which include automated auditing and controlled self-assessments.
- Recommended new methods to improve internal controls and operating efficiency
- Performed internal audits of financial and departmental operations, developing risk assessments and conducting process walkthroughs for compliance with documented processes
- Reviewed and identified risks, analyzed controls and tested compliance
Live Nation Entertainment
Global Internal Auditor
11.2007 - 07.2010
Job overview
- Determined scope of review in coordination with Audit Management team. Identified, assessed and documented key business process controls by conducting reviews of complex operational and financial functions. Communicated audit findings and recommendations to senior management. Produce comprehensive and complete audit reports of audited engagement. Prepare flowcharts, narratives and memos to document audit processes and controls.
- Audited operational processes of various organizational departments to ensure accuracy and compliance with corporate guidelines, as well as those of Sarbanes-Oxley Act of 2002.
- Facilitated company growth and protected asset by devising risk management procedures, with special attention to key risk areas.
Education
Siena CollegeLoudonville, New York
Bachelor of Science from Finance
05.2004
Skills
- Financial & Operations Control
- Due Diligence
- Forecasting
- 404 Sarbanes-Oxley
- Strategic Planning
- Risk Management & Analysis
- Financial Management
- Report Generation
- Variance Analysis
- Relationship Development
- Audit Reporting
- Financial Modeling
- Outstanding communication and interpersonal skills
Languages
Spanish
Bilingual or Proficient (C2)
Timeline
Personal Sabbatical
SELF
09.2022 - 05.2023
SOX & OPERATIONAL RISK SPECIALIST
ENI Trading & Shipping
03.2021 - 07.2022
Controls/Audit Consultant
VERRACY Company
03.2019 - 12.2019
Financial-Manual Sox Tester
Waste Management
08.2018 - 09.2018
Internal Controls Analyst
Direct Energy
12.2014 - 07.2018
SOX Analyst
HESS Company
04.2013 - 11.2014
Global Internal Auditor
CBRE
08.2012 - 02.2013
Global Internal Auditor
Live Nation Entertainment
11.2007 - 07.2010
Siena College
Bachelor of Science from Finance
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