TECHNICAL SKILLS:

Proficient in Microsoft Office Suite, Dodd Frank, Volcker rule MIP/Sage GL, Hyperion (Enterprise 5.1), Oracle PL/SQL 11g, Unix (Solaris 11), SAP, Cognos, CyberArk, SharePoint, IDEA, Teammate v.11, Data Analytics - ACL, COBIT 5, COSO, IFRS/US GAAP, Model Audit Rule (MAR), ITIL v.3, ITGC, SOX, NIST, ISO 27001:2013, FIPS 140-2, CCAR testing, System Compliance and Integrity (SCI), Archer GRC, Risk Assessment.

PROFESSIONAL EXPERIENCE:

Confidential, NYC, NY

Consultant (Functional Risk)

Responsibilities:

• Performed risk assessments and analyze risk trends at a macro level, identifying signs of changing risk levels and/or symptoms of process control breakdowns.
• Provided technology risk advice and consultation to line of businesses.
• Assisted line of businesses to effectively manage risk within their risk appetite and meet business objective.
• Performed security assessments or work with 3rd party provider who will be performing the review.
• Provided metrics on a regular basis on KPI and KRI.
• Periodically reached out to vendors hosting our data regarding current threats to ensure they are taking necessary steps to reduce exposure.
• Facilitated communication and execution of Enterprise-wide information security programs.
• Investigated allegations of irregularities, internal and external fraud, collusion, conflict of interest and improprieties on the part of employees, agents, contractors, and others.
• Conducted risk assessments on business applications, third parties and infrastructure.
• Validated that security and technology controls are implemented to support business requirement.
• Delivered relevant and concise technology risk and information security communication and awareness training to the Enterprise.
• Supported the implementation of risk-appropriate solutions that drive business growth.
• Evaluated the adequacy and effectiveness of the financial and IT reporting system Application in place (or in development) including system design, project management processes for new projects and user testing processes.
• Prepared the risk assessment profiles / business monitoring and the overall implementation of group audit methodology.
• Undertook audit assignments, drafted audit reports for review by management, facilitate issue tracking and validate closure of issues.

Confidential, NYC, NY

Consultant (Functional IT Risk)

Responsibilities:

• Provided risk identification, assessment, and consulting services to business and IT partners to ensure that key IT risks in the region are appropriately mitigated.
• Delivered IT risk and security assessments of applications and infrastructure, reviews of new and existing technologies, understanding and managing risk appetites and risk profiles, and managing the planning and assessment tools.
• Performed technical vendor risk assessments using excellent functional, technical and project management risk assessment knowledge and skills.
• Reviewed IHC Functional IT Risk Vendor contract SharePoint and prepare Risk Issue Statement and consolidated monthly vendor performance management report for review by IHC stakeholders in compliance with CCAR and SCI.
• Served as consultant during the due diligence and Third Party selection phase providing expertise as required.
• Provided facilitation support for Business Development/Requirements analysis and coordination of Request for Information (RFI) and Request for Proposal (RFP).
• Performed Vulnerability assessment on all IHC and CCAR related application based on their Criticality ratings.
• Assessed completed health check questionnaire and supporting field work materials to ensure they are complete and meet Confidential expectations.
• Identified control breaks and vulnerabilities with a third party.
• Documented findings and work with the LOB Delivery Manager to resolve those findings through Remediation Plans (RP) or seek Non-Compliance Acceptance (NCA) approvals.
• Validated evidence from third party, before Remediation Plans are closed.
• Escalated issues associated with third parties as needed.

Confidential, NYC, NY

Senior Audit Manager

Responsibilities:

• Designed and performed audit procedures, including assessment of process documentation, identification of key risks and key controls, as well as initial assessment of operating design effectiveness of key controls prior to the testing phase.
• Provided support to technology/business owners on key technology initiatives as well as expertise on Incident response management, vulnerability management and Reporting and managed security services using NIST, ISO 27001 and FIPS 140-2.
• Conducted IT risk analysis, evaluations and report assessment findings on IT assets and processes as it pertains to the Risk Management Program.
• Assembled the draft audit report with local management responses, seeing that all point sheets have a disposition, and determine those findings to be included in the report or those to be handled as minor findings.
• Liaised with business units and the IT department on their implementation and compliance initiatives and ensure resolution of control issues.
• Evaluate risk associated with the procurement of new IT products/systems and third party IT vendors.
• Assisted stakeholders in resolving technology based audit findings as well as consulting with IT teams to identify mitigation strategies to internal audit findings.

Confidential, NYC, NY

Senior Audit Manager

Responsibilities:

• Attained full understanding of the Product Development Life Cycle and assessed the risk points in the process.
• Prepared audit plans, work papers and risk assessments; became familiar with operations and activities of areas with greater risk. Defined the scope of audit assignments; and developed professional approach for examination.
• Planned and performed IT Audits including operating systems reviews, application reviews, general control reviews, infrastructure reviews, system development reviews, data center reviews, SOX IT reviews and contingency planning/disaster recovery reviews.
• Conducted start -up SOX process, SOX 404 controls, evaluation and testing, internal controls assessment; updated and executed (SOX) IT Program and identified control designs and operational deficiencies.
• Identified and reported clear, logical and concise findings generated by audit assignments and developed recommendations.
• Evaluated internal control environment and assessed the design, effectiveness and adequacy of key systems and processes based on walkthroughs and transaction compliance testing and presented results and recommendations to management using COSO, COBIT, ITIL and ITGC.
• Investigated large incidents of fraud cases if and when necessary.

Confidential, NYC, NY

Assistant Director

Responsibilities:

• Formulated, updated, and executed on the assigned annual audit plan areas based on an assessment of company goals and objectives.
• Performed risk assessment, planning, audit scope development and execution.
• Managed and assured completion of the annual audit plan through effective supervision and time/budget management, measured progress, and proposed revision to reflect changing priorities.
• Finalized audit reports and presented and/or oversaw the presentation of observations, recommendations, and management action plans.

Confidential, NYC, NY

Internal Audit Manager

Responsibilities:

• Performed and managed audit tasks, including planning, scheduling, coordinating, reviewing and reporting on work of auditors including carrying out risk assessments.
• Recommended internal control improvements that included operational enhancements or efficiencies, and the preparation of audit reports as well as documenting controls.
• Performed financial, operational, fraud, IT and process audits of the company’s business units.
• Generated value-added recommendations to enhance the firm’s overall internal controls of IT and financial operations.
• Provided independent and objective assurance through a systematic approach to evaluating and improving risk management effectiveness.
• Prepared persuasive, clear internal audit reports reflecting results of work performed.

Confidential, NYC, NY

Senior Investment Accountant

Responsibilities:

• Posted day-to-day journal entries to the general ledger accounting system and the preparation of month-end financial statements.
• Appropriately recorded all contributions, distributions, realized, unrealized gains and losses from each fund and reported to management on performances based on FAS 133.
• Analyzed the SWAP deal account by ensuring that monthly variable rates were paid and market values are recorded.