Lou H

Governance, Risk, and Compliance Analyst Sr

Oct 2025 - Present • 8 mos

Performed control owner interviews and process walkthroughs across HR, revenue, inventory, and journal entry cycles to assess compliance with SOX and internal governance standards Partnered with control owners to remediate two key internal control deficiencies by developing actionable mitigation plans and strengthening supporting documentation Prepared formal remediation reports identifying control gaps, monitored corrective action progress, and recommended sustainable process improvements to reduce risk

Risk Management Analyst

Jan 2025 - Present • 1 yr 5 mos

Supported a regulatory-focused SOX engagement leveraging FRB, OCC, and CFPB guidance as the foundation for control design Mapped regulatory requirements to institutional policies across accounting, third-party risk, consumer lending, vendor management, and information security Performed applicability assessments based on asset size and business model to evaluate control impact Exercised professional judgment to identify policy and control enhancements aligned with evolving compliance expectations

Assurance Staff

Jun 2023 - Dec 2024 • 1 yr 6 mos

Conducted walkthroughs documenting core business processes and tracing transactions from vendor source documents through journal entries to the trial balance Prepared and tied out audit workpapers with appropriate cross-referencing and supporting evidence Designed a reusable audit tool allowing auditors to upload raw client data and apply predefined audit rules to standardize formatting, flag anomalies, and reduce manual data manipulation Executed user access reviews, journal entry approval testing, account reconciliation testing, and revenue cutoff procedures Performed control and substantive testing across key financial reporting cycles, including cash, procure-to-pay, order-to-cash, and fixed assets