TECHNICAL SKILLS:

• COSO
• COBIT
• ITIL
• SSAE16 (SOC1)
• GAAP
• IAS
• BASEL
• Oracle
• Hyperion
• PeopleSoft
• JDE
• SAP
• Lawson
• Kintana
• Vertex various Legacy applications
• AS/400
• UNIX
• Windows
• DB2
• SQL
• Visio

PROFESSIONAL EXPERIENCE:

Confidential, Rochester, NY

Senior Associate

Responsibilities:

• Led and coordinated Financial and IT Audits, including but not limited to, F/S, Security, Application Controls, SOX, PCI compliance, and SSAE16 engagements by promoting effective and efficient control testing for large SEC clients
• Identified opportunities and recommended cost - effective solutions for control improvements for $3B financial services company during post-merger audit
• Mentored associates development of methodologies; contributed to growth by conducting team-building meetings

Confidential, Rochester, NY

Experienced Staff II/Senior Associate

Responsibilities:

• Promoted quality of risk-based Financial and IT Audits through effective execution of F/S and General Computer Control testing across multiple industries focusing on IT Security
• Delivered Final Audit Reports on schedule in absence of IT SOX Manager thwarting gap in process for $2.3B company in medical equipment and supplies industry
• Accelerated Application testing for $15B company in automobile industry through creation and maintenance of status tracking report
• Improved IT Control (Security) environment by addressing unremediated item and providing guidance for timely compliance for $44M graphic arts company
• Produced IT Audit slide deck, which was utilized in on-boarding process

Confidential, Buffalo, NY

Senior IT Audit Manager

Responsibilities:

• Responsible for all Audit activities including, but not limited to, Creating Audit Schedule, Scoping of Systems, Developing Audit Program, Performing Test Procedures, Review of SOC1, 2, and 3 reports
• Ensured effective internal controls, provided transparency through meetings with CIO, IS&T Director, SMEs, and external auditors
• Coordinated efficient on-boarding of permanent manager, expediting Internal Audit process

Confidential, Rochester, NY

Senior IT Auditor

Responsibilities:

• Plan and perform audit of SOX ITGCs, including, but not limited to, Privileged User Access as well as Manager Access Recertification testing at application, operating system, and database layers
• Counseled Business Process Owners and Compliance Group regarding mitigating risk and appropriate internal controls framework

Confidential, Buffalo, NY

Senior Vendor Risk Analyst

Responsibilities:

• Assess risk associated with 3rd party relationships as required by the OCC (FFIEC)
• Ensure SOX compliance through analysis of Financial Statements, SSAE16s (including IT Security), GLBA, BCPs, etc.
• Remedied issues through communication with Risk Managers; Educated VRMs regarding regulation compliance and proper oversight

Confidential, St. Louis, MO

Information Systems Auditor

Responsibilities:

• Developed and executed risk-based audit strategy with Confidential discovered significant control deficiency during Network Security testing, supported management with improvement of internal control system
• Facilitated Fraud Review through effective collaboration with Certified Fraud Examiner

Confidential, Elmira, NY

Auditor (IT), SOX 404 Testing

Responsibilities:

• Readied Internal Control environment for external audit by establishing sustainable risk-based process to support compliance efforts and assessment of internal controls over financial reporting
• Identified significant security issue and assisted in providing effective resolution in timely manner
• Counseled management and business process owners regarding process improvements and strengthening of related key controls

Confidential, Fairport, NY

Information Systems Auditor, SOX 404 Testing

Responsibilities:

• Designed and implemented appropriate testing format measurably reducing labor costs; identified process failures and initiated alternative testing; reported anomalies and suggested improvements
• Worked closely with management in communicating with business units
• Educated management and staff regarding process continuation

Confidential, Syracuse, NY

Information Systems Auditor, SOX 404 Testing

Responsibilities:

• Coordinated planning and implementation of Sarbanes-Oxley, section 404 risk assessment/testing with PricewaterhouseCoopers
• Accomplished internal control assessments and corresponding documentation

Confidential, Rochester, NY

Internal Auditor (IT)

Responsibilities:

• Collaborated with cross-functional implementation team on systems conversion of several diverse databases into one central program
• Identified major systems flaw in new database, which eliminated exposure to high cost repairs and aided management with process improvement
• Ensured regulatory compliance of vendor information; designed and implemented internal controls, and participated in periodic risk assessment

Confidential, Rochester, NY

Senior Assistant

Responsibilities:

• Performed audits, reviews, and compilations in variety of industries with revenues ranging from $300,000 to $5,000,000; prepared final reports
• Uncovered and resolved $1.2M in inventory discrepancies between diverse client locations; recommended system enhancements to provide improved control
• Prepared complex corporate, partnership, and individual tax returns; developed and managed client relationships, verified returns prepared by associates
• Supervised 4 staff accountants; conducted training, provided feedback and mentored employees as appropriate

Confidential, Rochester, NY

Staff Accountant

Responsibilities:

• Assisted supervisors with audits, reviews, and compilations for diverse clients
• Expedited complex individual tax returns; assisted clients with records retrieval, and educated client about future tax opportunities and consequences