Mona Lu, MAcc, CPA, CIA, CISA, CHIAP

Establish an Internal Audit function that is tailored to serve and support CHOC Children's, it's unique mission, strategy, and growth initiatives. Provide leadership, direction, management, technical expertise in all aspects of internal audit, process evaluation, controls assessment. Communicate and drive internal control and risk mitigation mindset and discipline throughout organization. Develop strong collaborative working relationships with all levels of staff, management, executive leadership, and the board. Oversee the Internal Audit department and ensure it's ability to independently assess the adequacy and effectiveness of internal controls over operations, finance, and IT. Drive enterprise-wide risk assessment and creation of annual audit work plan. Ensure audits are risk-based, relevant, and deliver value. Implement current and leading audit methodologies and practices. Lead special projects and investigations.

Oversaw the Internal Audit function and ensured it's ability to independently assess the adequacy and effectiveness of internal controls over all functional areas, regulatory compliance, IT, SOX Compliance. Drove audits that are risk-based, relevant, and deliver value. Built strong and responsive third-line capable to support company strategy and initiatives. Represented the Internal Audit Department internally and externally. Fostered and developed strong working relationships with the board of directors, executive management, external audit, regulatory examiners.

Directed company-wide internal controls and SOX compliance effort. Responsible for establishing policy, methodology, assessing and evaluating risk, project planning and execution, issue aggregation/analysis/management, and oversight. Lead SOX/Internal Audit team in SOX 404 ICFR and ITGC design and operational effectiveness testing. Provided reporting to executive officers, audit committee, and board of directors. Served as SME for SOX Compliance and ICFR related issues. Managed operational and compliance audits. Completed special projects, due diligence, and other analytical and value-added assignments. Fostered collaborative and productive relationships with all levels within the Finance/Accounting/Financial Reporting teams, business units, senior management, external auditors, and regulatory examiners. Guided and mentored team members.

Specialized in banking and financial services engagements in Big 4 public accounting firm with extensive project/engagement/team management and auditor-in-charge experience. Managed teams of 3 to 12. Clients included both privately held and publicly traded companies. Experienced in risk assessing, planning and executing integrated audits, applying audit guidance and methodology, US GAAP requirements, technical accounting, financial reporting, financial statement analysis, and SOX internal controls design and operating effectiveness evaluation. Also worked in the tax and advisory/consulting practice.