Management Accounting

STEVEN LIBERTUCCI, CPA, CISA

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

New Providence, NJ 07974

Tel: Days 212-***-****

Eves 908-***-****

E-mail: ***************@***.***

OBJECTIVE Seasoned individual with extensive Financial and IT audit and

control experience in financial services seeking a

management position in Internal Audit or other control

function.

PROFESSIONAL Oppenheimer and Co. Inc.

EXPERIENCE Deputy Auditor/Executive Director IT Audit November 2004 -

Present

Established and managed Oppenheimer's IT Audit Function

with responsibilities for mainframe and open systems

infrastructure reviews, Sarbanes-Oxley reviews and

Financial/IT Audit integration, recognized by management

through two promotions.

. Communicated significant IT Audit findings and major

control issues to the Audit Committee of the firm's

Board of Directors.

. Established and implemented the department's risk

assessment methodology.

. Develop and executed the department's annual IT Audit

plan, in conjunction with the overall departmental audit

plan.

. Active member of the firm's Service and Technology

Committee, contributing updates for technology related

regulatory initiatives.

. Established and implemented audit procedures for

examinations of the firm's IT Infrastructure, including

IBM mainframe systems, mainframe data security (Top

Secret), network security, Windows and Unix Security and

Business Continuity.

. Established and implemented audit procedures for

integrated audits of the firm's Trading, Back-office and

Compliance application systems, including evaluations of

financial and IT controls.

. Established and implemented the usage of computer

assisted audit techniques for tests of data security and

program change control.

. Revamped the department's Sarbanes-Oxley testing program

to ensure conformity with the firm's management

objectives and application of effective testing

procedures.

Resources Global Professionals, Inc.

(Formerly a division of Deloitte & Touche)

Consultant February 2004-November 2004

Engaged by a major manufacturer and public utility to

assess and test management controls for compliance with

Sarbanes-Oxley requirements.

. Evaluated IT controls in both IBM mainframe and

distributed processing environments.

STEVEN LIBERTUCCI, CPA, CISA

Resources Global Professionals, Inc. (continued)

. Designed audit programs to test key internal controls

identified by management, including controls over IT,

financial accounting, fixed assets, manufacturing

logistics and payroll.

. Assessed the impact of IT and Financial controls on

financial statements and recommended improvements to

strengthen internal controls.

JPMorgan Chase

(Formerly Manufacturers Hanover, Chemical and Chase

Manhattan Bank)

Global Emerging Markets

Vice President/Senior Financial Manager (1991 - 2004)

Assigned progressively responsible functions, overseeing

Fixed Income Accounting and Control deal flows, from the

Front Office to the general ledger and providing quality

assurance of accounting systems.

. Developed and implemented the department's Business

Continuity Plan.

. Established the Proof and Control function, to ensure

that all financial statement accounts were properly

reconciled from the source systems to the general

ledger.

. Established and implemented forensic accounting

techniques to clear un-reconciled accounts on a $ 1

billion balance sheet.

. Controlled the integrity and continuity of trading data

in systems for merger related system conversions, new

systems implementations and debt restructurings.

. Devised automated accounting solutions and facilitated

quality control over accounting systems for Fixed Income

trading, including P&L, capitalizing and amortizing

bonds, repurchase/reverse repurchase agreements, short

sales and discounted notes.

Deputy EDP Auditor 1984 - 1991

Used risk based approach to manage, budget, plan, execute

and report the results of IT and Financial Audits,

progressing through successively responsible positions.

. Organized and conducted periodic meetings with senior

management to discuss current business issues and assess

their impact on the control environment.

. Focused audit resources on areas with significant

exposure through usage of a risk assessment methodology

and comparative analysis of financial statements.

. Planned, executed and reported the results of IT and

Financial reviews of accounting and operations functions

for Capital Markets, Retail, International, Credit and

Mortgage units.

STEVEN LIBERTUCCI, CPA, CISA

JPMorgan Chase (continued)

. Member of the management team responsible for teaching

the department's audit methodology to new staff members

and cross-training IT and Financial Audit professionals

to support financial/ application level reviews

including pre-implementation reviews of new systems.

. Contributed to establishment of uniform internal audit

standards through participation on department wide

committees.

. Developed and implemented techniques for performing

audits of IT Infrastructure components including audits

of IBM's MVS Operating System, ACF2 Security software

and CICS transaction processing systems. Evaluated and

tested data center general controls.

. Developed and implemented procedures to assess the

impact of integrity control weaknesses on financial

applications, incorporating the results into financial

audit reviews.

. Applied computer assisted audit techniques to support

audit testing of business applications.

Goldome Bank for Savings, IT Audit Supervisor,

1981 - 1983

Atlantic Bank of New York, IT Auditor, 1981

Franklin Savings Bank, Staff Auditor, 1977-1981

Education

Bachelor of Arts, Lehman College - City University of New York (June 1976)

Majors: Accounting and Economics

Certificate in Computer Science, Mercy College (August 1982)

Certifications/Exams

CPA Licensed in the State of New York

Certified Information Systems Auditor

NASD Series 7, 24, 27 and 63

Speaker at the 2009 SIFMA Annual Internal Audit Division Conference

Contact this candidate