SUMMARY:

• As Vice President of IT Audit for a leading Global Investment Confidential, he implemented Computer Aided Audited Techniques ( Confidential ) to test production applications. He managed the evaluation of the system of internal control; and worked special projects with Compliance Department to oversee and provide Quality Assurance reviews that helped win the Confidential the highest ratings on FED and State Banking Exams.
• At Confidential and Touche, he managed IT Audit projects, and Management Consulting projects, including building an Integrated Test Facilities. He developed Confidential programs using 4GL and Confidential software. He wrote SAS 70 Reports of Third Party Data Centres. He trained client Auditors and OIG Auditors at Social Security Administration in IT Audit techniques.
• As Project Director for a Global Telecommunications Company, provided Network Management Services and develop financial applications across all tiers of clients’ enterprise. Responsibilities included Business Development services to provide strategic business solutions that mitigated Business Risk and Audit Findings. He presented findings to Executive Management of clients.
• He started his Audit career with Fortune 50 Corporation, developing skills in Internal Audit techniques, as well as distributed and mainframe systems; developed his knowledge in GAAP; and developed his knowledge in System Development Life Cycle and systems of internal controls. He developed his Managerial skills in Auditing with a Fortune 30 corporation, developing staff resources; developing audit plans based on risk - assessment; coordinated audit plans and audits with internal and external auditors, as well as IT Executives. He developed a commitment to completing projects within budget and on time.

PROFESSIONAL EXPERIENCE:

Confidential

Vice President

Responsibilities:

• An Audit Professional with “in - depth” background in bridging the “gap” between enabling Technologies and Audit and Regulatory requirements to solve and interpret data, systems and control issues.
• His Audit experience includes a thorough understanding of Computer Assisted Audited Techniques, as well as industry knowledge of Financial Services from Front Office Sales, to Operations, and Technology functions.
• He holds NASD registration with Series 7 and 63.

Confidential, Stamford, CT

Financial Consultant and Registered Representative

Responsibilities:

• As a Registered Representative of Confidential, Confidential holds a series 7 and 63 with the National Association of Security Dealers.
• He is responsible for understanding client’s needs for group and individual benefits. He is responsible for generating sales leads and finding solutions to fulfil those needs with insurance and Equity-based products.
• He manages the pipeline for implementing and enrolling 401k and 457 Retirement Accounts using Mutual Funds and Annuities.
• He provides Group Health and Life programs for businesses, and helps individuals’ roll-over 401k accounts into individual annuities for their retirement.
• He draws from his Audit background to understand his client’s business and operating environment in which to identify and implement such solutions.
• He must be compliant with Corporate Procedures.

Confidential, Darien, CT

Owner

Responsibilities:

• As a licensed Producer in CT, Confidential consults in Risk Management and sells insurance products for individual and business needs.
• He is also licensed in NY and Illinois to sell Retirement products, Life, Health, Disability, Long Term Care and Accident benefits.
• He also uses his business to consult in Technology solutions, assessing business risk and developing solutions to mitigate those risks.
• He draws from his Audit background to provide Technology solutions, Risk Management, and Group Benefits.
• Confidential has worked on SOX (Sarbanes-Oxley) teams to document workflow for Cash Management, and Treasury Systems.
• He plans and manages projects, within assigned budgets and deadlines; establishes scope of work; and evaluates internal controls that help to mitigate business risks and facilitates regulatory issues with the use of technology - based tools.
• He uses MS/TCM SPIDER as Confidential to evaluate Compliance data reflecting business objective and regulatory needs.
• He documents the results of his work in written reports to client Executives and Management.

Confidential, New York, NY

Vice President Financial Services/Project Director

Responsibilities:

• As Vice President in Financial Services Vertical, Confidential is responsible for Global Banking and Insurance Account Management and Business Development.
• He provided clients with a single source solution across all tiers of the Enterprise Systems Architecture, leveraging Confidential 's Internet and Telecommunications offerings and integrating them into business solutions for Enterprise and Network Management in Confidential ’s outsourcing centers in US, Canada, UK, and India.
• His Business Development activities included transactional accounting software development as well as analytical software for forensic Accounting.
• He became proficient in JP Morgan’s Risk Management software Risk Metrics. He used Confidential Software to evaluate Enterprise Risk Management and used Confidential proprietary and commercial software and IBM’s TIVOLI for network Audit and Management techniques.
• He was responsible for a sales group of 12 business developers.
• Confidential started as a Project Director and managed several large government projects.
• He implemented Oracle Financials and Human Resources Systems, using Designer/Developer2000.
• He managed the development of global Derivative and global Commodity applications.
• He managed pipeline including SDLC and Sourcing, developed work plans, tracked and supervised staff of 90 developers, technical support, testers, trainers and tech writers.
• Some of the large projects he managed included NYT/MTA, City of Boston, Lehman Bros., Royal Confidential of Canada, Thomas Cook and Vancouver Stock Exchange.

Confidential, New York, NY

Vice President IT Audit

Responsibilities:

• He reported to the General Auditor.
• He planned and managed Audit Projects; developed Risk Assessment and perform and oversee IT Control Reviews of the Data Center, Applications Development & Maintenance, and represented IA on project teams for Global Commodities and Derivatives, middle office clearing applications
• He wrote his own Confidential programs using COBOL, PL1 and MARK IV (4GL) to test production applications, track software programs and hardware inventory.
• Performed security assessments and provided audit support in the implementation of RACF Security and in corporation of database access tables for authorized access to application data.
• He started as Project Manager, implementing Technology Control functions for Data Security, Quality Assurance, and Change Management functions; developed an electronic Library using Lotus Notes to document and publish Policies and Procedures; and worked with the Confidential 's Compliance Department to attain the highest ratings on FED and State Banking Exams. Technical Knowledge in C, C++, HTML, Novell, SUN/OS & Solaris, and IBM MVS, MS Office & MS Project, PVCS and RiskMetrics.

Confidential, New York, NY

Manager, IT Audit

Responsibilities:

• He reported to the Director of Corporate Audit ; coordinated IT Audits with Financial, Operational Audits and External Auditors; and performed Audits such applications as Materials Management and Financial Reporting Systems.
• He documented findings and recommended operational procedures and Systems Techniques to mitigate Control Weaknesses, and developed a collaborative work environment to cross-train Financial and Operational Auditors in Confidential and other Technology Tools for integrated Auditing. Knowledge in MARK IV for Confidential programming.

Confidential, Chicago, IL

Manager, IT Audit

Responsibilities:

• He managed IT Audits of Confidential, Confidential, Confidential, Confidential, Confidential, and Confidential .
• He provided Management Consulting services to the Social Security Administration (SSA); developed internal training for IT Auditing; and SAS 70 Third Party Reviews of Service Bureaus for Banks, Used Confidential using 4GL software for Computerized Audits in Futures and Commodity Trading. He had a “Security” level clearance for the SSA.