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Senior Associate Resume

Rochester, NY

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

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