Andrew Diaz
Kansas City
Summary
Experienced service auditor specializing in SOC 1 and SOC 2 examinations. Proven track record of leading engagements by developing and implementing tailored audit plans to meet client needs. Skilled in managing tight deadlines and heavy workloads to ensure exceptional client satisfaction. Delivers high-quality results in alignment with quality standards.
Overview
7
7
years of professional experience
Work History
Lead Consultant - SOC & HITRUST
FORVIS Mazars
10.2023 - 02.2025
- Developed engagement schedules and monitored milestones, managing engagement flow to guide engagements to correct and timely completion.
- Led staff, providing project management support, managing tasks, schedules, deliverables and customer relations for multiple ongoing engagements.
- Utilized various systems and tools to meet unique business requirements of individual clients.
Senior Consultant - IT Risk Services
BKD CPAs & Advisors
10.2021 - 10.2023
- Evaluated clients' control environments and assisted in developing control activity verbiage and identifying gaps in internal controls.
- Prioritized projects and project tasks depending upon key milestones and deadline dates.
- Assessed needs for engagements and made proposals to management.
Consultant - IT Risk Services
BKD CPAs & Advisors
07.2019 - 10.2021
- Performed testing for SOC 1 and SOC 2 engagements to ensure compliance with established control objectives and AICPA frameworks.
- Collaborated with project managers to meet tight deadlines and ensure a positive client experience.
Audit Intern
BKD CPAs & Advisors
01.2019 - 06.2019
- Proofread audit and tax reports and year-end financial statements to verify accuracy.
- Developed understanding of company audit methodology, approach and tools while working under supervision of licensed auditors.
- Reviewed clients' accounting systems and procedures for internal control to assess for compliance and signs of fraud.
- Assisted in office administration and client communication to help manage auditors' workload.
- Used Excel to create and manage audit leadsheets, balance sheets and other related financial statements.
Operations Analyst
State Street Corporation
04.2018 - 01.2019
- Processed federal wire payments for futures margin calls and option premiums
- Researched and ensured proper security procedures were followed for all payments
- Communicated with client account managers to facilitate proper transaction processing
- Reconciled and researched reconciliation breaks between in-house fund accounting system and broker statements
- Designed plans to improve operations and suggested changes to processes
- Developed custom macros and formula-driven spreadsheets to streamline operational processes
Education
Master of Science - Accounting
University of Missouri - Kansas City
05.2018
Bachelor of Science - Accounting
Park University
05.2017
Skills
- SOC 1 compliance
- SOC 2 compliance
- Issue resolution
- Client relationship management
- Resource allocation management
- Process assessment and enhancement
- Deficiency documentation
- Verbal and written communication
- Proficient in MS Office
- Third-Party Administrator Industry Expertise
- Finance and Banking Industry Expertise
Timeline
Lead Consultant - SOC & HITRUST
FORVIS Mazars
10.2023 - 02.2025
Senior Consultant - IT Risk Services
BKD CPAs & Advisors
10.2021 - 10.2023
Consultant - IT Risk Services
BKD CPAs & Advisors
07.2019 - 10.2021
Audit Intern
BKD CPAs & Advisors
01.2019 - 06.2019
Operations Analyst
State Street Corporation
04.2018 - 01.2019
Master of Science - Accounting
University of Missouri - Kansas City
Bachelor of Science - Accounting
Park University
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