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THOMAS M. K.
I am a talented
and resourceful Operational/Financial Manager with + years of “extensive”
Internal Audit experience, and an MBA, who is seeking a challenging
audit assignment with a successful, innovative, and aggressive organization.
My strong suits include a passion for my work, by being analytical,
thorough, and accurate. My focus has been the application of “automated
audit tools” for the enhancement of audit coverage, and identifying
“hard to find” profit opportunities.
Computer Assisted Audit Software
Theft / Fraud / Embezzlement
Internal Audit / Internal Control
High Quality Report Writer
Business Case Evaluator
Audit Project Leader
Control Systems Review / Redesigner
Staff Auditor Developer
Systems Security Analyzer
Toyota “Lean Tools” Applier
Retail Audit Expert
Warehousing / Logistics Audit
Mainframe Audit Tools Applier
PC Audit Tools Heavy User
Audit Software Developer
Software Fix Advisor
• Identified cash savings
/ recoveries, in excess of $,, during varied audit career,
using “computer assisted” audit tools.
• Recommended “many hundreds”
of implemented process / control improvements.
• “Cost Savings / “Profit
Opportunities” focus paid for internal audit departmental operating
expenses many times over.
• Coordinated inventory theft
investigations, resulting in both convictions and restitution.
• Developed a series of comprehensive
audit programs covering “high dollar” business operations
• Identified “in the act”
embezzlement activities via computer assisted audit tools, that resulting
in convictions and restitution.
• Instituted and expanded
the application of CAATs computer assisted audit techniques to enhance
audit coverage / effectiveness.
• “Early applier” of
the COSO approach to internal auditing scope.
• AntiMoney Laundering,
Suspicious Activity Reporting, IST Information Security Training coordinator.
THOMAS M. K. PG.
– – USBancorp PowerTrack Division
– acquired Schneider Payment Services
–Naperville, IL. Freight Payment Service Organization . USB
is the sixth th largest US bank.
Internal Audit Manager
• Introduced the Internal
Audit function to the freight payment business that was acquired
• Developed “computer assisted”
control routines to help identify bottomline savings, monitor key risk
areas, and provide improved business intelligence to senior leaders.
• Provided training to internal
users on how to execute developed system control routines to enhance
their daily control activities, and reduce expended man hours.
• Through “data extraction
and analysis” identified duplicate payments, and initiated recovery
claims in excess of $,,.
• Performed reviews in the
areas of Cash Management, Accounts Receivable, Billing, Mainframe Security,
Tariff Audit, Expense Management, Mailroom; that resulted in very consequential
improvements in internal control and customer service.
• Identified and improvements
that resulted in over $, in mail room service benefits and paper
supply waste reduction.
• Managed AML, IST and SAR
training completion requirements for corporate associates, interns and
formerly Cotter & Company, Chicago, IL. Wholesale Distribution
Organization, $ Billion annual sales
Internal Audit Manager also:
Internal Audit Project Leader, Senior Internal Auditor
• Assisted in assembling
a “risk assessment” based audit plan to best efficiently deploy
• Developed a comprehensive
“ step” audit program for the examination of distribution center
• Introduced in the mid’s,
computer assisted audit techniques CAATs that greatly enhanced audit
• Performed comprehensive
audits of regional distribution centers, manufacturing facilities, corporate
• Devised a formula that
identified a “fuel leak” that could have resulted in a very significant
regulatory fine if not quickly discovered.
• Collaborated with application
programmers on the design and implementation of “continuous audit”
• Investigated a number of
cases of internal fraud / embezzlement / theft that lead to prosecutions,
convictions, and restitution.
• Targeted audits and continuous
auditing identified cash recoveries totaling $. million in areas of:
A/P, Inventory, Purchasing,
and Home Care Centers, Chicago, IL. Retail Home Improvement Stores
Internal Audit Manager
• Instituted the Internal
Audit Department from the “ground up.”
• Identified cash theft activity
via refund circularizations, that resulted in arrest, conviction, and
• Collaborated with Corporate
Security in the training of store personnel on how to identify illicit
• Through cash activity analysis
identified that excess funds were used to support registers. Monies
• Participated in the introduction
configuration, training, reporting of a new POS system.
THOMAS M. K. PG.
– Wickes Corporation
Furniture Division, Wheeling, IL. Retail Furniture Stores
• Performed audit examinations
of retail furniture store operations throughout the USA.
• Participated in the audit
of company owned grain elevators
• Was involved in the “due
diligence” examination of a retail hardware chain acquisition.
• Discovered evidence of
a significant inventory shrinkage issue that lead to an associate’s
• Assisted in the annual
audit, and thus provided a material reduction in external audit fees.
– Goldblatt Bros.,
Chicago, IL. Retail Department Stores
Staff Internal Auditor
• Conducted numerous retail
department store audits.
• Recreated sales activity
data used to support the conviction of store burglars who stole over
$, in holiday receipts from a cash room safe.
• Identified deliberate manipulation
of commission sales data that allowed floor sales people to be overpaid.
– W. E. Long Corporation,
Chicago, IL. Wholesale Baking Cooperative
• Involved in the accumulation
and dissemination of production data to participating bakeries.
Master of Business Administration
MBA Roosevelt University, Chicago, IL,
Bachelor of Business BB;
Finance, Western Illinois University, Macomb, IL.
St. Rita of Cascia High School,
Toyota Corporation Lean Manufacturing
/ Lean Office :
Pull / Kanban
PMP / CAPM Training
Attended numerous seminars
over the years related to internal auditing
THOMAS M. K. PG.
I have employed the following
types of software to help produce the recoveries delineated above.
I am particularly adept at applying computer assisted audit techniques
CAAT’s to financial systems / data.
MVS/TSO/ISPF, and CICS, FileAid,
Computer Associates VISION:RESULTS
formerly DYL and VISION:EXCEL, and DB INTERFACE.
IDEA, WIZRULE, MONARCH, ACTIVE
DATA for EXCEL, and ACL.
MSWord, MSAccess, Lotus Notes
Institute of Internal Auditors
Association of Certified Fraud
Information Systems and Audit