18 years experience in diversified business environments (Fortune 500, state government, and public accounting) Areas of expertise: - Auditing (Operational and Compliance) - Process evaluation and improvement - System analysis/design, implementation, and maintenance - Communication (written and oral) across all business levels Began career at regional CPA firm in Roanoke, VA as staff auditor. Then joined Aon Corp’s sub (Life of Virginia) Internal Audit progressing to Senior Auditor performing variety of financial, operational and compliance audits. In Sept '95 joined Aon’s Wexford subsidiary where I provided 3rd party admin support for clients, service providers, banks, and regulatory authorities. In Sept ' 96 joined Dept General Services (Commonwealth of VA) as Internal Auditor and Financial Systems Admin responsible for implementing an enterprise wide accounting solution (PeopleSoft). In Jan '98 joined GE Financial in a corporate compliance role where I assisted in building compliance infrastructure. In the summer of '99 became part of corporate e-Business team and then transitioned into a Program Manager role for GE Financial Advisors in Jan '00. Responsibilities inluded supporting dedicated sales force with various web offerings on the intranet/internet. In May '02 became a Regional Support Center Leader where I led a team providing sales support to over 175 LTC Insurance Specialist. In Mar '03 joined Wachovia Securities as a Compliance Consultant involved in various regulatory issues regarding Mutual Fund Breakpoints. In May '05 joined an expanding Regulatory Exam team. Responsible for collaborating with the firm’s various regulatory authorities for coordination (request receipt, request tracking, and request fulfillment) for scheduled and unscheduled examinations along with drafting responses to exam findings. Currently exploring new career options as Wachovia Securities transitions HQ functions from Richmond to St. Louis. Certified Public Account (CPA) – 1993 Securities Licenses - Series 7, 24 and 66 - 2003 Green Belt (6 Sigma) Certified (GE Financial) – 2001 Insurance Related - LOMA  Associate, Insurance Agency Administration (AIAA)  Associate, Insurance Regulatory Compliance (AIRC)  Fellow, Life Management Institute (FLMI)  Associate, Customer Service (ACS) Securities Licenses: Series 7 Series 24 Series 66; VP, Compliance Consultant Wachovia Securities (Financial Services industry) March 2003 — Present (4 years 10 months)  Partner with firm’s various regulatory authorities (SEC, NYSE, FINRA, etc.) for coordination (request receipt, tracking and fulfillment) of scheduled and unscheduled examinations  Review examination reports and drafted responses to findings in a timely manner  Led key client remediation activities for Mutual Fund Breakpoint Initiative (transaction evaluation, historical data research/validation, data integrity scrubbing, refund calculation system testing, call center training materials, refund payment processing, and client/advisor inquiries)  Conducted self-assessment activities to evaluate firm’s exposure to incorrect breakpoints on mutual fund transactions as required by regulatory authority Regional Support Center Leader (GE Financial Advisors) GE Financial (Public Company; 5001-10,000 employees; Financial Services industry) May 2002 — March 2003 (11 months)  Trained and supervised team to provide sales support activities for four geographically dispersed sales teams representing over 175 Long Term Care Agents  Partnered with Sales Leaders and peers to review and implement best practices for sales support  Led consolidation of four regional sales offices into centralized sales team support center e-Channel Manager (GE Financial Advisors)/e-Servicing Team Leader (Corporate Office) GE Financial (Financial Services industry) July 1999 — May 2002 (2 years 11 months)  Developed and executed e-Business strategy to support reduction in business overhead costs through office consolidation and market differentiators (Digital Office)  Managed development process with global/domestic IT partners on strategic e-business projects  Provided maintenance and functionality enhancement of web sites for financial advisors  Trained and supervised part-time resource as web content administrator for site maintenance  Served as business liaison for Corporate e-Business projects  Partnered with business teams and leadership to accelerate initial agent e-servicing opportunities  Led project scoping activities related to key strategic corporate wide initiatives (Online Marketing Materials, GE Financial’s B2B Portal, and e-Recruiting)  Coordinated pilot enabling long term care insurance illustration software to be run via the Internet and provided recommendations to key stakeholders Compliance Auditor (Corporate Office) GE Financial (Financial Services industry) January 1998 — June 1999 (1 year 6 months)  Implemented, maintained, and enhanced compliance foundation elements for GE Financial’s domestic and international businesses  Performed compliance audits and reviews of key risk areas to evaluate adequacy of compliance controls and provided senior leadership with findings/recommendations  Created and improved solutions to accelerate compliance awareness among all employee levels Automated Financial Systems Administrator and Risk Management Internal Auditor Commonwealth of Virginia (Department of General Services) (Government Administration industry) September 1996 — January 1998 (1 year 5 months)  Analyzed/reengineered processes as part of implementation of an enterprise accounting solution (PeopleSoft)  Created documentation and delivered training sessions for end user community  Supervised administrative resource to assist with completing key project deliverables  Performed risk management analysis and provided leadership with independent appraisals of self-insured (Worker’s Compensation) and purchased insurance programs (Automobile) Insurance Accountant/Administrator (Wexford Captive Mgmt Group) Aon (Public Company; 10,001 or more employees; AOC; Insurance industry) September 1995 — September 1996 (1 year 1 month)  Prepared financial statements/regulatory reports for three start up Group Self-Insured Worker's Compensation Funds for small businesses operating in VA and MD  Established business relationships with clients, service providers, and regulatory authorities Senior Internal Auditor/Staff Internal Auditor (Life of Virginia) Aon (Public Company; 10,001 or more employees; AOC; Insurance industry) September 1990 — September 1995 (5 years 1 month)  Assisted management in risk assessment process, leading various size compliance, operational, and financial audits independently or with other audit team members  Analyzed data, evaluated financial and information systems controls, and prepared reports of key audit findings and recommendations to senior leadership team Staff Auditor Foti, Flynn, Lowen & Co. (Accounting industry) January 1990 — September 1990 (9 months)  Planned and conducted audits for assigned clients in manufacturing, service, and retail industries  Prepared individual, partnership, corporate and nonprofit tax returns