Phone: 999-999-9999
Fax: 999-999-9999
Cell: 999-999-9999
Email: EMAIL@GMAIL.COM
JAMES HARRIS
SUMMARY
IT governance, risk, & compliance expertise in managing, innovating, and implementing IT audit, SOX, and Model Audit Rule operating methodology, information security and risk management strategies. Extensive experience in dealing with insurance, investment banking, and retail brokerage business units to assure compliance with regulatory information security issues.
- Areas of expertise include information security self assessment processes.
- Solution oriented project manager with consensus oriented skills working with diverse management personalities and providing out-of-the-box innovations.
- Exacting and hands-on project manager with significant experience in meeting the needs of multiple stakeholders.
- Strong corporate governance, internal control, regulatory, technology, and team building skill set:
- Risk Assessment Methodologies (COBIT, Model Audit Rule, ITIL, key management indicators and alerts)
- Data Analytics (SQL, ACL, COBOL, Easytrieve, IDEA, Perl, Unix Scripting)
- Best practice implementations (Criticality reporting, QARs)
- Automating monitoring and scripting practices (inactive user database reporting)
- Multiple-platform technology expertise (MVS, Unix,, Series, Linux, Windows, Tandem, RACF, ISS)
- High-availability transaction systems (Trading & Post trade)
- Specialty Applications (MHS, SAP, COPICS, MAPICS, People Soft)
Experience
7/2009 to current ABC Inc.
IT Auditor
- Interviewed client IT staff for resolution of previously identified audit violations or weaknesses.
- Designed and performed IT general controls testing for Sarbanes-Oxley 404 compliance.
- Concluded findings and recommendations for risk reduction and policy compliance.
- On site in-charge project manager with staff for SOX 404 compliance projects.
- Systems audited: Top Secret for mainframe, AS-400 (iSeries), Windows OS, UNIX, and Windows based software.
- Examined mainframe, AS-400, LAN and financial software for risk potential and Sarbanes-Oxley compliance.
- Cob IT tests: AI6 Changes, DS5 Access and Security, DS10 Problems, DS11 Data, DS12 Business Continuity.
- Controls Tested: SOD of testing and installation, proof of testing, approval for promotion, etc. for AI6.
- Controls Tested: user provisioning, password configuration, logical access, logging, SOD, etc. for DS5.
- Referred to SAS 70 reports for evidence gathering.
- Software programmer (data mining and data query tool) of financial data.
3/2009 to 7/20009 XYZ Corp.
IT Auditor
- Managed engagements to scope, facilitate, and perform procedures to prepare clients for external financial audits and compliance with the Sarbanes-Oxley Act (SOX) by overseeing the performance of risk analyses, documenting control gaps, developing action plans to address control gaps, and designing and executing test procedures based on the COBIT framework.
- Managed multiple associates over the testing of IT General and Application controls in support of external financial audit engagements. Clients include those requiring compliance with SOX utilizing UNIX, AS-400, SAP, Oracle, JD Edwards, and People Soft environments.
- Managed SAS70 engagements by overseeing the identification of control objectives, the assessment of risk, planning, supervising, and executing control testing and documentation of IT General, Application, and Process controls.
- Participated in SAP Transaction Code testing to perform security testing of segregation of duties to assist the client in improving their user management, authentication management, authorization management, access management, and provisioning capabilities.
- Executed Computer Assisted Audit Techniques through the use of software tools such as Monarch Pro, Microsoft Access, and IDEA to analyze data.
- Participated in the assimilation of security information for a large Data Privacy and Protection project to assess the processes and procedures for safeguarding the integrity of confidential, proprietary, restricted, and highly sensitive identifiable information.
3/2008 to 3/2009 BCD Inc.
IT Auditor
- Provided consulting for Sarbanes-Oxley compliance with respect to the development and testing of SOX 404 IT controls.
- Performed internal and external IT risk assessments, conducted gap analysis against industry standards, and provided recommendations on mitigation options.
- Performed consulting for business in establishing IT compliance solutions based on company policies and standards, industry best practices, industry standards, and regulatory requirements.
- Defined and implemented IT operational practices and procedures and provided the practical background needed to successfully adopt the control environment that is required to comply with government regulations.
- Responsibilities included assessment of information technology internal controls based upon the CobiT framework: IT general and application controls, information security, systems development, change management, business continuity, disaster recovery, computer operations, risk management, SAS 70 assessments and regulatory compliance.
EDUCATION & TRAINING
Systems Administration & Network Security Conference (SANS)
New York University: Diploma in System Analysis & Design
Rice University, MBA, Computer Science
University of Iowa, BS, Accounting
Professional certifications
Click to download the IT Auditor Resume Sample One in PDF.
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