Quality & Compliance Senior Manager / Senior IT Auditor
Promoted to lead 25-member matrix team of indirect reports in full range of quality assurance and control processes and overall quality plan for Enterprise Business Services and Enterprise Operations for global security and aerospace company with 113,000 employees worldwide principally engaged in research, design, development, manufacture, integration, and sustainment of advanced technology systems, products, and services.
- $5 million estimated first year saving realized by leading deployment of leaner effective process.
- Developed process and documentation in support of changing technology including Agile Development, Blade Logic, Cloud Systems, as well as performance, agile, and automated testing.
- Created new SaaS and Operational Model that defines O&M as Service Program that standardized metrics and improved cost modeling by task.
- 18% average improvement gained in schedule performance on first six programs by leading Lean Problem Solving activity and process improvement team.
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Senior IT Auditor / Interim IT Audit Manager
Responsible for the management and delivery of IT and business process audits to ensure business risks were recognized and appropriately managed before the company was adversely affected. Activities included scoping, budgeting, meeting with process owners, developing testing procedures, audit testing, reviewing staff work, conducting meetings to present deficiencies, writing final report and work papers sign off. Served as liaison to external auditors regarding internal IT audit issues and procedures.
- Designed and conducted marketing spend reviews which resulted in the identification of over $1.3M in non-receivables.
- Performed contract compliance reviews to ensure adherence to payment terms, resulting in the identification and recovery of over $270K.
- Coordinated the quarterly SOX 302 Assessment used by executives to certify and assess the internal controls over financial reporting.
- Established application interface controls to ensure proper reconciliation as part of the SOX program.
- Designed requirements and controls for system development projects - online promotions, project initiation request system and customer billing system.
- Evaluated SAS 70 reports to identify compensating controls for third parties' deficiencies.
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IT Auditor, Data Analyst
Responsible for the day to day operational management of the department's data analytics program
- Developed and maintained the analytics application and the associated SQL Server infrastructure, and developed Tableau dashboards to help minimize decision time, saving a total of 2,000 man-hours
- Provided ad-hoc analytics support for IT and Financial audits, and SOX testing
- Created Audit Issue Metrics reports, and Travel and Expense (T&E) reports for senior management
- Performed IT and Financial audits, and assisted with forensic investigations on an as-needed basis
- Developed technical documentation for the infrastructure and Business Continuity Plan
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Perform A123 testing, reviews and remediation of associated POAMs (Plan Of Action and Milestones). Participated in Department meeting to present NRCS Status for deliverables and A123 testing.
- Perform Audit Coordination for OIG Yearly Financial Audits by providing PBC, setting up walkthrough meeting and helping NRCS POCs understand requirements
- Perform Audit Remediation of findings from OIG Yearly Financial Audit.
- Coordinated multiple projects, establishes rapport and maintained communication with stakeholders regarding objectives to perform business process mapping and analysis
- Assessed audit and test program and security controls using organization IT Security Policy Handbook and NIST Special Publications to provide information necessary to determine their overall effectiveness.
- Helped the POAM coordination Team with review of deficiencies, milestones reviews, discovery meetings and review of evidence provided for remediation.
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Performed IT Audits - Information security, change management, computer operations) for clients from various industries (Commercial and Federal)
- Prepared audit reports detailing results of audits and provided recommendations for remediation, as well as follow up review of corrective action plans CAP
- Developed audit plans and programs, following COBIT and FISCAM frameworks. Set up control matrix based on specific client application needs during planning phase of audits.
- Participated in integrated audits - carrying out ITGC testing in support of financial statements audits.
- Reviewed documentation of clients' internal controls (both IT controls and business cycle controls)
- Communicated with the company's external auditors on general computer control related matters and SOX test procedures.
- Reviewed SSAE16 / SOC 1 2 and 3 type II report for financial audit teams for reliance, and trust service purposes
- Experience carrying out Infrastructure testing in Windows, UNIX, and Mainframe environments.
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Senior Project Manager/it Auditor
Provided project management and audit services for clients of this large consulting firm. Planned and led complete project life cycles. Worked with clients to determine requirements. Supervised project teams as large as 15 persons. Conducted SOX compliance audits.
- Directed the assessment and remediation of the IT Department at CDC Software to enable successful achievement of SOX certification. Established IT and corporate-level policies and procedures, led remediation efforts, and conducted training.
- Oversaw the installation, configuration, and rollout of Changepoint at LeasePlan USA.
- Managed Oracle Financials development projects at NDCHealth/Per-Se. Supervised development team and improved efficiency by conducting training in project management techniques.
- Led a critical project to separate financial applications and data to support the divestiture of a business unit at NDCHealth.
- Spearheaded NDCHealth's successful SOX certification and compliance efforts. Conducted IT department assessments, carried out remediation efforts, and presented findings to auditors.
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Senior It Auditor
Contributed to team that protected assets of a $9.8B, publicly traded Fortune 500 Company. Worked closely with senior management throughout the company and performed audits that pertained to e-commerce, supply chain, infrastructure, network architecture, business systems, security, fraud, and compliance.
- Effectively managed all audits that included wireless security and infrastructure, e commerce security, payroll processing application, credit and debit card processing system, and penetration testing of network components.
- Communicated project status and results in both verbal and written settings to senior management.
- Identified and protected integrity of evidence during Loss Prevention fraud investigations.
- Developed and maintained strategic relationships between internal audit function and IT organization.
- Established and managed standard IT risk monitoring audit program for Sarbanes-Oxley, Section 302 compliance, and conducted assurance testing in compliance with Section 404.
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Insurance and Financial Services IT Auditor
Audited multi-platform IT infrastructure with input throughout entire lifecycle.
- Prepared audit risk matrices, in addition to handling change management, disaster recovery, IT security and asset management.
- Developed and administered risk assessments and reviews for audits, IT projects and applications utilizing COBIT, CI Security, in-house and external risk matrices.
- Produced and tested SOX-related controls, and coordinated federal agency reviews with external auditing groups.
- Analyzed applications, IT projects, BRD and SAS70 reports.
- Prepared comprehensive reports for senior management.
- Established QAR (Quality Assurance Review) program implementation; achieved uniform adherence to standards, and streamlined audit activities resulting in reduced redundancy and wider audit coverage.
- Developed and conducted (ASA - CAAT) Audit Survey Analysis; enabled customized and streamlined audits, resulting in wider coverage and shorter/targeted execution.
Vice President, SOX Lead IT Auditor
Lead IT auditor for all SOX IT Security Assessments and Testing of multiple applications, platforms and diverse infrastructure including Wintel, UNIX, AIX, ACF2, LDAP, Tandem, IBM, Client Server, Mainframe, VSAM, Oracle, Sybase and SQL.
- Trained and mentored a three person team to successfully perform the annual SOX cycle auditing that included a 100% increase in efficiency over the previous year.
- Performed in depth analysis on 5 new applications and 15 existing applications to determine testing specifications.
- Maintained all testing requirements, results, deficiencies and action plans in Phoenix tracking tool.
- Developed and maintained SOX testing project management documentation including timelines, due dates, dependencies and resource tracking.
- Performed critical reporting on timelines, expectations and issues as the lead interface to corporate control groups.
- Developed and implemented coordination meetings with internal and external audit teams to influence shared vision.
- Reviewed and advised on external vendor SAS70 reports for third party SOX applications.
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Private corporation with various divisions that also manages over 600 college bookstores.
- Performed detailed analysis of monthly inventory capitalization computation for $100 MM division.
- Established and continually updated disaster recovery and general security programs for all operating divisions.
- Built and oversaw fulfillment and bindery services agreements for $100 MM division.
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