Noel Diaz

About Noel Diaz

Driven professional with strong analytical skills specialized in all aspects of internal audit, Sarbanes Oxley, accounting processes, and risk management. Uniform CPA exam candidate. Instrumental in managing teams to complete the SOX program in accordance with ICFR and COSO 2013 framework which include risk management, risk assessment, materiality, scoping, controls documentation, walkthroughs, testing, remediation, control issue and gap assessment, process improvement and reporting. Identifying process enhancements to increase efficiency and effectiveness, providing value added assurance to anticipate and mitigate risks in the internal control environments and understanding financial reports that influence decision-making. Proven success in performing within dynamic environments while taking ownership and accountability to keep the project\'s success in mind. Bilingual fluency in Spanish and knowledge of French. Core competencies include: Internal Audit | SOX Compliance | Project Management | Risk Management & Risk Assessment | Financial Reporting Enterprise Risk Management | COSO 2013 | Data Analytics | Accounting | IT General Controls | SOC 1 Review | Key Report | IPE | SOX Advisory | Financial Data Analysis

Experience

1. Sox Senior Associate

   CNM LLP

   Jul 2020 — Present · Los Angeles, CA, US

   Lead senior in various client engagements providing direction in the SOX program and building trusted relationships with teams and key client personnel. Adapted to high-performing teams, evaluated risk surrounding internal controls over financial reporting, and acted as the primary contact with the external auditors and clients. Identified key controls and concluded on the design and operating effectiveness while reinforcing and promoting the SOX 404 standards. • Managed SOX program, communicated status updates, prioritized and reprioritized tasks, upward managing, and resource management to keep the project\'s success in mind, and promote efficiency and timely deliverables. • Led meetings and create meeting agendas for our internal and external stakeholders’ status reporting. • Maintained budget-to-actuals to monitor our performance and ensure we are meeting our expectations. • Performed SSAE-18 CUEC mapping and control objectives analysis for third-party reports vendors. • Identified, investigated, and monitored control issues, deficiencies, and gaps and proposed remediation steps. • Maintained the evaluation of the deficiencies (SOCD) and assessed the severity of issues in internal controls. • Coordinated and led walkthrough meetings with auditors and processed documentation and flowcharts. • Prepared risk assessment using the updated standardized template to promote company-wide alignment. • Managed PBCs, narrative updates, control certifications, and assessment of control rationalization. • Team player with a positive attitude to encourage, learn, and continually improve technical and project management skills, while maintaining relationships with all levels of management and external audit teams.

Education

• California State Polytechnic University-Pomona

  Bachelor's of Science in Business Administration, Accounting, Finance, Accounting and Finance

  2013 — 2015

• Cerritos College

  Associate of Arts in Business Administration, Certificate of Achievement in Business Administration, Business Administration and Management, General

  2007 — 2013

• Université Paris-Sorbonne

  French Intermediate Certification, French Language and Literature, A

  2014