Information Technology Manager

Anthony P. Ambeguia, CISA

**********@*****.***

**** ****** ***

Duarte, CA 91010

626-***-**** - Res.

714-***-**** - Work

EDUCATION: California State University, Northridge

Bachelor of Science Degree, Business Administration,

Major: Accounting, June 1985

Professional

Certification: Certified Information Systems Auditor (CISA)

SUMMARY OF QUALIFICATIONS:

. 8 years of experience in IT audits for banking and manufacturing (medical

device) industries. Also, 15 plus years of experience in financial and

operational audits;

. In-depth knowledge of Sarbanes-Oxley Act (SOX) and business processes;

. Proven track record of assessing system/network availability, security,

and data integrity to identify, manage, and reduce risks and ensure

general compliance; and

. Extensive background in all stages of audits, including planning; study,

evaluation, and testing of controls; reporting; and follow-up;

Technical Skills

. Exposure to Oracle Application, JD Edwards, Hyperion Essbase &

Enterprise, Data3, and OutlookSoft

. Working knowledge of UNIX/LINUX, Oracle Database, Active Directory,

RACF, AS/400, HP3000 and ACF2

Work

Experience:

Beckman Coulter, Inc., Brea, CA

Senior I.T. SOx Auditor (January 2007 to Present)

IT SOx Compliance Group

. Developed appropriate testing plans and ensured those plans are executed

in compliance with the provisions of Section 404 of the Sarbanes-Oxley

Act.

. Responsible for identifying best practices in control design and

operational effectiveness, and developing cost-effective recommendations

/ solutions.

. Assisted process owners to prepare/update process narratives and identify

design deficiencies;

. Coordinated with process owners for the remediation of the

design/operating deficiencies;

. Performed remediation reviews to determine whether deficiencies have been

corrected;

. Assisted the IT SOx Compliance Manager the progress of the projects to

ensure timely completion.

Senior I.T. Auditor (March 2005 to January 2007)

Internal Audit Services

. Responsible for reviewing corporate entities to assess internal controls,

operational practices and compliance with company policies and regulatory

requirements with the focus on information technology;

. Performed systems development life cycle reviews and participated with IT

project teams in identifying effective control requirements;

. Planned and conducted complex IT and integrated audit projects that

include ERP post implementation evaluations;

. Conducted general computer and application control assessments and other

specialized technical reviews;

. Acted as the Auditor-in-Charge on audit assignments providing guidance to

lower level auditors; In addition, responsible for reviewing work

papers, audit programs and audit reports related to the audit work

performed; and

. Provided assistance to external auditors.

First Federal Bank of California, Santa Monica, CA

AVP, Information Technology Auditor (June 2001 to February 2005)

. Planned and executed information technology audits for the Bank including

retail offices, lending & finance divisions, the IT Department and other

operating departments;

. Responsible for reviewing local and wide area networks, e-commerce areas

such as telecommunications, Internet banking, gateways, routers,

firewalls, servers, and other internet technologies;

. Reviewed new information technology systems as they are being developed

to ensure that adequate controls are designed and implemented and that

the particular project is properly managed;

. Developed IT audit programs and reports as well as providing guidance to

IT audit staff; Also assisted the Audit Director in developing the

annual IT audit schedule and risk assessments;

. Provided consultation to management in the life cycle development of new

business applications to ensure that proper controls are designed and

implemented in the new system; and

. Responsible for developing audit programs and conducting test work to

satisfy the Bank's reporting requirements under Sarbanes-Oxley and the

Bank's compliance with the Gramm-Leach-Bliley (GLB) Act.

AVP, Audit Supervisor (September 1999 to June 2001)

. Duties include the planning and execution of operational and financial

audits at the retail offices, lending divisions, accounting, and other

departments as directed by the Audit Director;

. Responsible for drafting new audit programs, and/or other related

subjects to meet changes and new requirements of regulations, policies,

and procedures;

. Managed 6 audit staff members. Provided training and guidance to audit

staff.

. Responsible for reviewing all work papers and reports related to audit

work performed to assure that the theory, direction and scope outlined in

the audit program have been accomplished;

. Assisted the Audit Director in developing the annual finance /

operational audit schedule and risk assessments; and

Senior Auditor (February 1997 to September 1999)

. Duties include planning and conducting financial and operational audits

of departmental areas of the Bank. Acted as the Auditor-in-Charge on

audit assignments providing guidance to lower level auditors;

. Responsible for reviewing work papers prepared by assisting auditors to

assure the accuracy of the information recorded;

. Responsible for drafting audit programs, execute written action plans and

the audit report, with conclusions and recommendations;

. Responsible for developing audit program and conducting test work to

satisfy the Bank's reporting requirements various regulatory acts such as

Bank Secrecy Act (BSA), RESPA, Reg Z, Reg. DD, Electronic Funds Transfer

Act, etc.; and

. Performed special and unscheduled projects of a non-operating or other

nature as directed by the Audit Director.

Federal Reserve Bank of San Francisco, Los Angeles Branch

Auditor II (January 1994 to February 1997)

Duties include planning and conducting audits of departmental areas of the

Bank; identifying and evaluating internal controls and conditions in

Federal Reserve Bank operations; evaluating records, systems, and controls;

duties also included performing PC, LAN, and Data and Information security

audits; Other responsibilities include performing post-audit examinations

and preparing audit programs and reports.

Coast Federal Bank, Granada Hills, CA

Senior Financial Auditor (March 1988 to December 1993)

Duties include audits of departmental and financial areas of the

Association verifying accuracy of records, compliance with policies and

procedures and accountability of physical and financial assets; Other

responsibilities include evaluating internal controls, preparing audit

reports and audit programs, performing analysis of loans and lending

policies; Investigate and resolve transactions of an irregular or

fraudulent nature; Provided guidance and direction to lower level auditors

on various projects; Developed strong leadership and communication skills

while working with all aspect of management; Provided assistance to

external auditors.

References: Will be furnished upon request.

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