IT Audit Manager
Developed the IT audit program including establishing key relationships, assessing risk, creating the audit plan, conducting audits, and reporting results. Assessed and reported PCX options exchange and Archipelago electronic stock exchange compliance with SEC regulations concerning security, penetration testing, capacity, stability, and IT general controls.
- Partnered with Exchange Operations and IT to establish operation controls for the new Java - SQL Server based PCX electronic options exchange and inter-market linkage systems.
- Established IT problem tracking, identified failure root causes, and recommended strengthened controls over software testing and change management to stabilize new systems.
- Provided control improvement recommendations during audits of market surveillance and enforcement, IT security, data centers, networks, and operating systems.
- Recommended changes in purchasing Microsoft licenses, leading to a savings of $300,000.