Human Asset Management

Manager IT Audit & Risk, CISA, CFE (Houston Only, Open To Travel) Accounting / Finance Resume


Resume of Candiate 333170. Very dedicated IT Audit Risk Management Manager/Consultant offering extensive results oriented international experience in major industries. SOX, IT Audit, Risk & Gap analysis, irregularity/fraud analysis, GCC/Application/OS systems, user awareness training, policy/regulatory compliance, FDICA/GLBA/SDLC, are areas of expertise. Managed, conducted and developed risk assessments, Visio flowcharts, narratives, questionnaires, IT audit programs for atypical, SOX and SAS70 audits. Project lead for Big 4 and client internal audit teams. Managed teams up to 36 auditors. Instituted global technology policy awareness for HR’s new employee orientation. Excellent communications skills – an Advanced Communicator Toastmasters International (ACS). He is open for both contract assignments and permanent employment.  Open to extensive travel if required.
 
 
IT audit-risk management - manager/ consultant offering extensive results-oriented international experience in major industries.   Strong background in IT audits, fraud, compliance, business resumption, third party reviews.  Excellent organizational, oral, written, presentation, and people skills.  Areas of expertise: Sarbanes-Oxley (SOX); IT Audit, Risk & Gap analysis;  Irregularity/ Fraud analysis;  GCC/ Application/ OS systems; User awareness training; Policy/ Regulatory compliance; FDICA/ GLBA/ SDLC;  Business resumption;  Change Management (Mgt); and Interview techniques/ Skills.
 
 
Experience
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CONSULTING FIRM, Houston, Tx  2004 to present
IT Audit-Fraud-Risk Mgt Consultant: 
 
  • Managed & conducted/ developed risk assessments, Visio flowcharts, narratives, questionnaires, IT audit programs for atypical, SOX, and SAS70 audits.  Supervised/ performed application/ GCC SOX and SAS70 testing.  Project lead for Big 4 and client internal audit teams.  Managed teams up to 36 auditors. 
  • Experienced in: financial, medical, energy, utilities, software development, and mfg industries; IT fraud; risk analysis/ assessments; change mgt; Oracle, PeopleSoft, SAP; disaster recovery; SW/ HW implementations via SDLC; MVS; AIX, AS400, UNIX, and HP Nonstop (Tandem) O/S reviews; PCI standards, Identity mgt, data integrity, and security administration controls.
 
 
MAJOR NATIONAL BANK, Houston, Tx                  1995 to 2004
Information Risk Manager – Assistant Vice President:  
 
  • Appointed to structure first IT risk mgt presence for Bank in southwest.  Instituted global technology policy awareness for HR’s new employee orientation.  Developed/ implemented automatic prompting of annual online technology policy employee training.  Conducted hundreds of annual technology policy awareness training presentations for over 1100 employees.  Coordinated business continuity activities for 17 lines of businesses.  Business process improvement relating to SOX 404 projects w/ COSO IT governance considerations.  Oracle/ PeopleSoft implementation via SDLC.  
  • IT Audit Officer – Introduced/ developed/ performed the initial: Identity mgt, data integrity, security admin; MVS integrity (CA-Examine); ACF2, Data/ Voice Communications, and PULSE switch via PCI standards reviews.  Conducted LAN operations & client-server, Network control, ERP, EDI reviews.  Member of SDLC committee.  Managed two auditors.
 
Hardware/ software: IBM3090 MVS/ XA, Tandem, ACF2, CICS, Novell Netware, Microsoft Office products, Lotus Notes, BindView, LtStat, Windows NT4.0/ 2000, Lotus Notes & Sametime, MyAnytimeAnywhere, Shiva, VPN, OneDesk, PeopleSoft, Oracle, Visio
 
 
 
TRUST CORPORATION, Dallas, Tx            1993 to 1995
Audit Manager:
 
  • Appointed to structure first audit function for Trust Corporation: bank, mortgage, A/P, auction accounting reconciliations, cash, payroll, inventory, tax assessments, SDLC, revenue, financial analysis.  Assisted w/ year-end GAO examinations. 
  • Conducted IS reviews:  GCC, contingency planning, data security, program mgt, SDLC planning, testing, & implementation, EDI, ERP, data communications, client server; Identity mgt, data integrity, security admin reviews.
  • Promoted from Accountant to Accountant Supervisor to Audit Manager. Formed & managed audit department: IT, operational, & financial staff - up to five employees. 
 
Hardware/ Software: IBM3090 MVS/XA, AS400, CICS, LOTUS123, PARADOX, BANYAN WAN/ LAN client-server, Novell NetWare. 
 
 
ENERGY CORPORATION, Addison, Tx      1989 to 1993
IT Senior Auditor 
 
  • Appointed to restructure IT audit function.  Developed/ performed the first technology reviews of data center, contingency planning, program change mgt, application (inventory control, A/P, G/L), data communications, LAN, ERP, data security, ADABAS, ALERT, SAP implementation via SDLC; Identity mgt, data integrity, security admin reviews. 
  • Developed and maintained over 50 programs.  Auditor-in-Charge of all IS reviews.
  • Performed financial/ operational audits:  A/P, payroll, cash, bank reconciliations, G/L, working fund, inventory reviews, year-end A/R confirmations, revenue, treasury, and tax assessments.
 
Hardware/ Software: IBM3090 VSE, IBM PS2, CICS, LOTUS123, ALERT, Cobol, PL1. Natural2, Easytrieve, Panaudit
 
 
SAVINGS & LOAN, Dallas, Tx                       1987 to 1989
Senior IS Auditor 
 
  • Entirely responsible for IS audit function, planning, and risk analysis.  Developed/ performed ADABAS, SDLC, LAN, data center, data security, cash, consumer loan, data integrity, systems administration, and contingency planning reviews.  Assisted w/ year-end A/R customer confirmations.   
  • Developed and maintained over 35 programs.  Supervised 2 auditors.
 
 
SOUTHWESTERN STATES BANKCARD ASSOCIATION, Addison, Tx   1984 to 1987
Senior IS Auditor 
 
  • Performed program change management, logical access, off-site, physical & data security, contingency planning reviews.  Analyzed COBOL source code structure, logic, and standards’ compliance.  Member of Programming Standards Committee.  Supervised 2 auditors.
 
Education
BBA – Information Systems/ Accounting – University of North Texas, Denton, TX
AAS – Electronics Technology – Monroe Community College, Henrietta, NY
 
 
Specialty Certifications
 
Certified Information Systems Auditor (CISA)
Certified Fraud Examiner (CFE)
Advanced Communicator - Toastmasters International (ACS)
 
Professional Organizations
 
Information Systems Audit and Control Association
Association of Certified Fraud Examiners
Toastmasters, International
Infragard – FBI
 
 
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