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Sr. Business Analyst/it Auditor Resume

SUMMARY

  • An accomplished Technology consultant with experience in managing and executing global, multi - million projects; strong understanding of business processes within the Financial Services industry, including data analytics, automation, business models, and audit methodology.

PROFESSIONAL EXPERIENCE

Confidential

Sr. Business Analyst/IT Auditor

Responsibilities:

  • Played a pivotal role in working with the IA model validation team to identify the inputs to the various models, developed process workflows, audit plans for Surveillance projects in AGILE framework
  • Defined test procedures following a defined risk assessment process for CCAR submissions of Market Risk, and Credit Risk data sourcing for FRY14Q.
  • Perform audit of the surveillance design and effectiveness by reviewing the system code logic against the business requirements, and discuss with stakeholders as well as business auditors to verify any identified gaps
  • Work closely with IT stakeholders to review and document key controls of the Enhanced Due Diligence (EDD) procedures for client onboarding.
  • Worked closely with Compliance business to audit Fircosoft implementation of payment screening and transaction monitoring in anti-money laundering (AML) solutions
  • Work with IT stakeholders to validate Management Action Plans (MAP) that indicate findings during audit.
  • Establish data flow for sanction screening process, identify key controls, and establish appropriate validation approach to verify that the logic is implemented in line with the regulatory requirements

Confidential

Sr. System Analyst

Responsibilities:

  • Managed Financial application decentralization for subsidiaries including NetSuite, BlackLine, Concur and EchoVera
  • System/Application administration for DocuSign and BlackLine
  • Reviewed template requirements for Legal, Accounting, HR and Executives to sign documents and to convert AdobeSign templates into DocuSign
  • Led DocuSign training for all employees and the subsidiaries after migration of DocuSign templates
  • Reviewed products for Legal groups application selection like iCertis and SpringCM
  • Reviewed Risk Management Information System applications for the Head of Risk Management and Global Transactions
  • Worked on AWS IoT button to generate service tickets for infrastructure and facilities
  • Conducted daily standup meetings for AGILE implementation of projects with team

Confidential

Sr. IT Auditor

Responsibilities:

  • Worked closely with stakeholders to review IT Controls, evaluate operations effectiveness and determine remediation.
  • Ensured that key risks in CCAR (14-A) are identified and assessed in the program for technology audit coverage using AGILE framework and managed daily standup meetings
  • Prepared IT Audit work papers to document key IT controls and test the feasibility by reviewing code and change management policies, assessing data integrity and completeness.
  • Documented findings, posted IA management and followed up with IT stakeholders to identify management’s action plan (MAP) to remediate the issue.
  • Conducted code walkthrough with IT stake holders to review logic and compared against the policies and procedures to validate the appropriateness of the system implementation.
  • Created process flow diagrams to visualize the process flow and key controls and TOR (Top Operating Risks).

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