SUMMARY:

• Highly organized IT auditor entrusted with multi - system SOX, ICFR, and SAS70/SSAE16 projects, with a reputation for adept leadership of business-to-IT process and rapport with business executives. Certified Public Accountant (CPA-US) candidate and top-ranked IT audit consultant skilled in connecting business requirements to IT/audit needs.
• Executed SOX readiness audit within IT operations, Change management, Physical/Logical security and End User Computing System for Global corporations, financial institutions and big 4 audit firm by documenting, testing, remediating and reporting on Internal Control over financial reporting (ICFR).
• Optimized protective measures during SOX implementation and readiness projects, recommending additional processes and remediation controls.
• Provided thought leadership, cultivating trust among IT and business staff as go-to resource for audit questions and recommending testing alternatives to uncover areas of risk and vulnerability.
• Hands on with the financial accounting process including, GL, AR, AP, Income statement, Balance sheet, Fixed assets, Month-Quarter-YE closing process, Financial analysis, Budgeting, Planning and Reporting process, with top notch Business analysis skills.
• Supervised, guided, mentored and coached team members for excellence in efficiency, team effort and output.
• Retained corporate businesses through effective exit interview strategies, providing value added recommendations and suggestions for process improvements and positive client feedback from quality deliverables.

PROFESSIONAL EXPERIENCE:

Confidential, New Jersey

Corporate Internal Audit-SAP

Responsibilities:

• Executed audits in accordance with established Confidential & Confidential audit standards and related guidelines, and within prescribed time, budget and scope parameters.
• Leveraged deep IT and audit knowledge to assess complex operations and risks.
• Performed SAP security, Change management control assurance and advisory engagements consistent with enterprise policies and procedures, and industry standards and methods.
• Actively participated in risk assessments, scoping, and planning activities for internal audit projects and assurance activities.
• Assisted with the development of audit work programs and testing procedures relevant to risk and test objectives.
• Conducted IT operational and business process reviews within relevant SAP platforms under Confidential & Confidential global operations.

Confidential, New York

Wealth Management Technology Audit

Responsibilities:

• Executed audits in accordance with established Confidential standards and within prescribed time, budget and scope parameters.
• Consulted and engaged subject matter experts from other IT Audit groups and identified objectives for the process, system or department being evaluated.
• Worked with the Audit Manager/Senior Audit Manager and VP Technology audit to coordinate audit review, reporting and closure processes.
• Developed strong understanding of current business risks to adequately assess business impacts.
• Executed audit steps and ensured completion of documentation of audit work in a clear, concise, logical manner as required by Confidential methodology.
• Took ownership of audit findings follow-up and closure verification process, working with auditees to make sure finding resolutions milestones are met.

Confidential

Sr. IT Audit Specialist

Responsibilities:

• Provided consulting to Project team based on Ontario Government's Information and Information Technology Strategic Planning and Systems Development Methodology for WIN (Worker Information Network) PeopleSoft 9.0 upgrade to version 9.2 & Data migration
• Reviewed ministry’s Systems and Information Technology policies and procedures
• Reviewed and applied ministry’s risk-based approach to the phases of the project and evaluated effectiveness of risk management, communications, internal controls and project governance
• Provided independent assurance to management with regards to PeopleSoft upgrade over material risks to the project in terms of budget, timelines, quality, security and data integrity
• Represented Ontario Internal Audit Division (OIAD) and provided independent, objective and quality assurance to the Audit Committee for PeopleSoft upgrade and data migration with regards to data integrity, availability and security during migration and upgrade process as per Board-approved Enterprise Risk Management Policy

Confidential

IT Audit-Senior Associate

Responsibilities:

• Assess financial and operational risks and prioritize areas of focus based on the preliminary risk assessment.
• Apply top down, risk based approach to the review.
• Identify the need for and document policies, internal controls and procedures.
• Identify objectives for the process, system or department being evaluated.
• Evaluate internal controls from a design and operating effectiveness perspective and document test procedures and results.
• Identify causes and contributing factors relating to deficiencies in processes.
• Prepare audit reports detailing observations, risks and recommendations.

Confidential

Finance Internal Auditor

Responsibilities:

• Executed annual operational audits in accordance with established standards and prescribed time, budget and scope parameters.
• Evaluated the effectiveness of controls implemented within Finance and other Corporate groups.
• Contributed to the completion of the overall audit process, including identification of risks and controls, scoping, development and application of appropriate audit programs, on-going client communications, reporting, and post-audit procedures.
• Presented objective and independent conclusions regarding the adequacy of internal controls in accordance with audit standards.
• Executed the follow-up of findings arising from internal audits within established standards and timelines.
• Maintained open and transparent communications process with the business during and after audit fieldwork.

Confidential

Audit Specialist

Responsibilities:

• Evaluated internal controls from a design and operating effectiveness perspective and document test procedures and results.
• Assess financial and operational risks and prioritize areas of focus based on the preliminary risk assessment.
• Identify the need for and document policies, internal controls and procedures.
• Identify objectives for the process, system or department being evaluated.
• Identify causes and contributing factors relating to deficiencies in processes.
• Prepare audit reports detailing observations, risks and recommendations.

Confidential

Audit Consultant

Responsibilities:

• Reviewed the process narratives for Change Management, Logical Access, and IT Operations.
• Evaluated the design and operating effectiveness of key controls.
• Identified redundant processes and controls with a view to increase speed and operating efficiency.
• Evaluated open gaps and deficiencies and suggested recommendations to address through existing (mitigating/compensating) controls.

Confidential

Internal Controls Specialist

Responsibilities:

• Reviewed the process documentation and related Financial/IT controls matrix and mapped to COSO 2013 framework.
• Evaluated the controls for compliance with COSO 2013, identified gaps/deficiencies and recommended remediation measures to mitigate risk and ensure compliance with COSO 2013 framework.
• Documented the process narratives based on the recommendations formally approved by Chieftan and modified the controls matrix to reflect the updated process.
• Reviewed and validated the Budget Management process narrative, identified and documented the key control, control objective and designed a uniform controls matrix.

Confidential

IT Audit

Responsibilities:

• Lead IT controls testing in time for external audit readiness for SOX-404 compliance and certification.
• Tested and validated ITGC controls, Application controls and Access controls.
• Documented testing results and updated the control governance templates.
• Opened GAPs for control weaknesses and failed test results and suggested remediation and improvement measures.
• Identified opportunities to mitigate the risks to the Business and suggested improvements in processes and controls.
• Facilitated external audit and assisted with the timely completion of annual audit and SOX certification testing.

Confidential

Position: Financial Analyst

Responsibilities:

• Assisted with Budget/Forecast planning and revisions.
• Conducted monthly meetings with Managers for variance explanation in their respective score cards.
• Allocated monthly salaries to cost centers based on Headcount/FTE ratio.
• Provided month end accruals to GL accountant for entry in the system.
• Assisted with LE update and reasons for deviation from budget.
• Used Vlookups, Pivots and advanced logical formulas to generate reports in excel for managerial decision making and cost center performance evaluations.

Confidential

Financial/Audit Analyst

Responsibilities:

• Ensured compliance with Confidential policies and procedures.
• Tested and validated internal controls and general computing controls.
• Identified gaps and control weaknesses and suggested remediation.
• Assisted internal and external auditors with periodic testing of key financial systems and process.
• Evaluated internal controls design adequacy to address the risk arising from changes in the system, process and applications.

Confidential

inventory control Analyst

Responsibilities:

• Handled key inventory tasks and monitored for inventory discrepancies.
• Entered parts information into SAP.
• Maintained and updated SAP based inventory tracking system.
• Ensured parts and materials are stowed in proper locations.
• Generated inventory reports for various plants in SAP.
• Reported materials and pricing to accounting and ensured current costs are used in billing.
• Reported on any required materials delays and expedited deliveries as per acceptable standards and procedure.
• Scheduled production orders for the plants in the system.
• Prepared POA (Purchase Order Approval) in SAP system. Submitted the POA for approval based on SAP configuration for stock turnover & ROI
• Provided support to Sales & Customer Service team by making available stock in SAP.
• Liaised with the Product Coordinators for procurement and stock transfers Analyzed inventories and calculated ROPs (Reorder Points) taking into account seasonality and other strategic requirements.
• Worked closely with Product Group to establish contingency plans for hard to manage products, material shortages, slow moving and/overstocking and in conjunction with other identified roles.

Confidential

IT BUSINESS PROCESS ANALYST

Responsibilities:

• Reviewed Confidential ’s IT & Bill 198 (NI 52-109) documentation for Confidential ’s Revenue & Billing process.
• Reviewed Confidential ’s current process documentation and practice for:
• Revenue generation process from various revenue streams
• Revenue recognition process in Oracle Financials
• Accounts receivable & application of customer credit
• Resolution of disputed billing process
• Confirmed through Subject Matter Expert (SME) interviews, the above process in practice.
• Assessed the adequacy of existing controls vs risk.
• Identified and documented both manual and automated key controls that addressed the inherent risks.
• Modified the relevant areas that had the gaps and deficiencies within Confidential ’s Revenue & Billing Process documentation.
• Conducted and exit interview with the Controller & Accounting Manager and apprised them of scope for further improvement in addressing the risk to Controllership objectives in particular.

Confidential

IT RISK & COMPLIANCE Manager

Responsibilities:

• Reviewed the overall IT SOX scoping documentation and standard set by Aviva UK.
• Reviewed the current process documentation and practice for:
• Change Management
• Incident & Problem Management
• Services Management (IT operations and SLA)
• SDLC Process for development & implementation
• Confirmed and documented through Subject Matter Expert (SME) interviews the process followed for above.
• Identified the minimum key controls required by Aviva UK from the process documentations.
• Developed Risk & Control Matrix (RCM) for the above processes.
• Identified and documented gaps and deficiencies through operating effectiveness testing.