Management Quality Assurance

VIDHI AGARWAL

* ****** ***, ************, ** ****5 ● 484-***-**** ● *************@*****.***

OBJECTIVE

A challenging position in the field of Information Technology Audit that will enable me to utilize my technical,

analytical and interpersonal skills, while offering an opportunity for growth and advancement.

SUMMARY OF QUALIFICATIONS

• Possess 6.5 years of Information Technology experience including 4.5 years of IT audit in retail,

financial services, technology, insurance and pharmaceutical industries.

• Strong knowledge of Internal Auditing standards, and the concepts related to information security,

general IT controls, application controls, and technology risks.

• Familiar with COBIT and SOX 404 requirements with respect to IT systems and processes.

• Strong customer focus and good listening, negotiation and problem-solving skills.

• Demonstrated ability to write reports and develop presentations to communicate audit findings to all

levels of management.

• Possess ability to decipher technical documentation, assess potential risks in a dynamic and fast-paced

environment, and communicate relevant information to management.

EDUCATION

Masters in Business Administration, December 2006.

Widener University, PA.

Bachelor of Science in Computer Science, May 2002.

Villanova University, PA.

TECHNICAL AUDIT SKILLS

Operating Systems: Windows, UNIX, LINUX, QNX, DG/UX, AS/400, HP3000, Mainframe

Applications: PeopleSoft, JD Edwards, SAP, EV3, Ceridian, Quick Books 99, STOX, MS Access, Dump Sec,

ACL, Island Pacific, Ecometry

Databases: SQL Server, Oracle

Change Management/SDLC

General Computer Controls

Segregation of Duties

PROFESSIONAL EXPERIENCE

Nikon, Inc. Jan 2009 – Present

Compliance Specialist

Responsibilities

• Act as liaison to the Company's Internal and External Auditors as well as control owners to ensure test

execution and remediate any issues in a timely manner. Remediation includes identification of

appropriate corrective actions, meeting agreed upon timelines, and performing QA over the remediated

control to ensure successful closure.

• Assist in the periodic review of IT-related control frameworks and policies and procedures.

• Involved in execution and management of the change control system. This includes identification and

execution of system improvements and ensuring that proper signoffs and procedures are in place for the

SAP, Network, Internet and CMS (internet deployment).

• Review and approval of High Risk Change Requests and produce monthly metrics for reporting

purposes.

VIDHI AGARWAL

9 Saddle Way, Chesterfield, NJ 08515 ● 484-***-**** ● *************@*****.***

• Review system logs and ensure proper paperwork is signed. This process includes but is not limited to

Nikon Internet Usage, SAP Hosting SLA’s, Internet hosting companies and Intrusion detection.

• Work in conjunction with Human Resources and other Departments to confirm receipt of

Acknowledgements pertaining to Email, VPN and Network.

• Determine proper certification requirements for third party vendors and ensure their compliance (i.e.

PCI, JSOX, ISO9000).

• Verify all contracts with external vendors are in place with proper certification language including

Privacy Policy and Non-disclosure agreements.

Banco Popular North America July 2008 – Jan 2009

Sr. IT Audit Consultant

Responsibilities

• Involved in conducting an application audit of Ceridian Human Resource administration and Payroll

processing online web application in accordance with audit objectives and audit programs. This audit

included testing input/output/process controls, interfaces, change management, data security and

business continuity planning.

• Responsible for preparing scope definition, risk assessment, process documentation, controls evaluation

and audit program as it relates to the Ceridian application.

• Involved in developing formal written reports to communicate audit results to management, and make

recommendations as appropriate.

AmerisourceBergen Aug. 2007 – June 2008

IT Auditor

Responsibilities

• Performed application audits that included input/output/process controls, computer operations, change

management, logical security, physical security and backup recovery processes.

• Documented internal controls and communicated the system risk and recommendations to IT

management.

• Evaluated Management Action Plans submitted in response to findings to determine reasonableness and

suggested follow up audits.ine

• Performed follow up procedures necessary to determine if Management Action Plans were implemented

in a timely manner.

• Developed department work programs, methods, practices and standards.

• Coordinated IT audit efforts with those of the external auditors.

• Met with various management groups to facilitate efficient and effective internal control audits and

services.

SMART and Associates, LLP. Nov. 2004 – Aug. 2007

IT Audit Consultant

Clients

Urban Outfitters, Burlington Coat Factory, Mothers Work Inc, Savient Pharmaceuticals, Buckeye Partners,

World Gate, Dollar Financial Group, Cephalon Inc, Employers Insurance Group.

Responsibilities

• Evaluated complex business and technology risks, made recommendations to address control

weaknesses and consulted with Technology management in addressing control risks. Partnered with the

VIDHI AGARWAL

9 Saddle Way, Chesterfield, NJ 08515 ● 484-***-**** ● *************@*****.***

financial internal audit team in order to properly integrate technology, operations and finance into each

audit.

• As determined by audit scope, reviewed and assessed information technology controls / procedures and

ensure compliance with SOX 404 requirements.

• Responsible for maintaining process documentation as well as developing and executing IT testing

activities for wide range of information system functions including Change control management

procedures, Physical and logical security access, Firewall and network security reviews, Computer and

datacenter operations and System development life cycle methodologies.

• Thoroughly documented audit work and compiled audit work papers to support SOX audit results and

conclusions.

• Performed data extracts using ACL, Microsoft Access, and Dump Sec to analyze data to support

informed objective opinions.

• Analyzed exceptions found during testing and worked closely with client management to develop action

plans to address these exceptions.

Joyce & Associates P.C. Nov. 2003 – Nov. 2004

Information Systems Consultant

Responsibilities

• Verified accounts by reconciling statements and transactions on a monthly basis using FATE, FAS and

QuickBooks accounting softwares.

• Developed an access database to keep track of incoming K-1s from various client partnerships. Built

numerous complicated queries and reports used for various purposes throughout the firm. Generated

forms utilized by the administrative staff for inputting incoming information from different sources.

• Transferred accounting database of more than 200 clients from DOS based FATE software to windows

based FAS. This involved heavy audit and quality assurance to ensure accurate conversion with no data

loss.

• Prepared, reconciled and maintained weekly cash position schedules for several client trusts. Also

involved in a special cash analysis project that consisted of investigating cash inflow and outflow trends

from past 10 years.

• Maintained financial security by following internal accounting controls.

• Performed tax research using RIA checkpoint for various complicated trusts as well as individual tax

returns.

• Provided technical support and performed day-to-day computer maintenance.

QVC, Inc. June 2002 – Nov. 2003

Website Developer Consultant

Responsibilities

• Interacted with Merchandising, Content and Technical departments to convert design and concepts into

web templates.

• Coded pages using Java Script, HTML and Dream Weaver following usability standards &

methodologies.

• Performed Audit and QA on web pages and migrated them from development to the production

environment.

• Translated designer’s preferences into style sheets for site-wide control of appearance as well as code

reuse; Performed daily updates to the website including adding new products and advertisements.

VIDHI AGARWAL

9 Saddle Way, Chesterfield, NJ 08515 ● 484-***-**** ● *************@*****.***

• Created an ASP-based application to catalogue company research materials, such as contact

information, industry profiles, and interview documentation. The application communicated with an MS

Access database using ADO.

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