Financial Management
Resume:
GERALD J. DENNIS
714-***-**** ********@*******.***
INTERNAL AUDITOR
Financial professional skilled in conducting internal audits and evaluating financial, operational and key processes to ensure appropriate controls. Possesses diversified experience in Sarbanes-Oxley Act 302/404, tax and auditing. Utilizes superior communication ability to gain acceptance for implementation of actions to positively effect change in workplace processes.
Sarbanes-Oxley Act 302/404
Tax preparation, reviewing and auditing
Documentation, Testing, Remediation
Flowcharting Processes
Operational Auditing and IT Auditing
Effective Communication/ Problem Solving
Team Building, Training, Mentoring
ITGCs
Planning and Management
EXPERIENCE
Sr. IT SOX Auditor, CIT Bank, Pasadena, CA 11/2015 - 8/2017
Conducted SOX IT audits of general ITGC processes.
Performed Internal IT audit projects including internal audits of policies & procedures, security, network, system configuration, database, and application, and operating system specific audits as well as SOX and other regulatory compliance audits.
Identified opportunities for process improvement; develop and execute project plans to enhance operational effectiveness, including deployment of new controls or configuration changes
Developed and reviewed audit programs tailored to IT systems and infrastructure supporting financial/operational/distributor audits being conducted
Presented verbal and written reports on audit results and recommends corrective actions or improvement as required
Tracked, monitored, and validated completion of audit observations
Performed IT privileged user access reviews and segregation of duties analysis for various systems
Performed audit of backups, automated controls, password policies and disaster recovery
Performed audit of user access reviews, service accounts, terminations, new hires and transfers
Examined documentation and verifies controls in accordance with stated policies
Appraised adequacy of management responses and corrective actions implemented
IT SOX Auditor, PennyMac, Moorpark, CA 9/2015 - 10/2015
Experis Manpower Management, Costa Mesa, CA
As a contractor conducted SOX IT audits of general ITGC processes.
Performed Internal IT audit projects including internal audits of policies & procedures, security, network, system configuration, database, and application, and operating system specific audits as well as SOX and other regulatory compliance audits.
Identified opportunities for process improvement; develop and execute project plans to enhance operational effectiveness, including deployment of new controls or configuration changes
Developed and reviewed audit programs tailored to IT systems and infrastructure supporting financial/operational/distributor audits being conducted
Presented verbal and written reports on audit results and recommends corrective actions or improvement as required
Tracked, monitored, and validated completion of audit observations
Performed IT privileged user access reviews and segregation of duties analysis for various systems
Performed audit of backups, automated controls, password policies and disaster recovery
Performed audit of user access reviews, service accounts, terminations, new hires and transfers
Examined documentation and verifies controls in accordance with stated policies
Appraised adequacy of management responses and corrective actions implemented
Sr. IT SOX Auditor, Aecom International, Los Angeles, CA 6/2015 – 9/2015
Experis Manpower Management, Costa Mesa, CA
As a contractor conducted SOX IT audits of general ITGC processes.
Performed Internal IT audit projects including internal audits of policies & procedures, security, network, system configuration, database, and application, and operating system specific audits as well as SOX and other regulatory compliance audits.
Identified opportunities for process improvement; develop and execute project plans to enhance operational effectiveness, including deployment of new controls or configuration changes
Developed and reviewed audit programs tailored to IT systems and infrastructure supporting financial/operational/distributor audits being conducted
Presented verbal and written reports on audit results and recommends corrective actions or improvement as required
Tracked, monitored, and validated completion of audit observations
Performed IT privileged user access reviews and segregation of duties analysis for various systems
Performed audit of backups, automated controls, password policies and disaster recovery
Performed audit of user access reviews, service accounts, terminations, new hires and transfers
Examined documentation and verifies controls in accordance with stated policies
Appraised adequacy of management responses and corrective actions implemented
Sr. IT SOX Auditor, Federal Home Loans Bank of San Francisco 10/2014-1/2015
UltimumIT, Torrance, CA
As a contractor conducted SOX IT audits of general ITGC processes.
Performed Internal IT audit projects including internal audits of policies & procedures, security, network, system configuration, database, and application, and operating system specific audits as well as SOX and other regulatory compliance audits.
Identified opportunities for process improvement; develop and execute project plans to enhance operational effectiveness, including deployment of new controls or configuration changes
Developed and reviewed audit programs tailored to IT systems and infrastructure supporting financial/operational/distributor audits being conducted
Presented verbal and written reports on audit results and recommends corrective actions or improvement as required
Tracked, monitored, and validated completion of audit observations
Performed IT privileged user access reviews and segregation of duties analysis for various systems
Performed audit of backups, automated controls, password policies and disaster recovery
Performed audit of user access reviews, service accounts, terminations, new hires and transfers
Examined documentation and verifies controls in accordance with stated policies
Appraised adequacy of management responses and corrective actions implemented
Performed traditional operational/compliance audits (non-IT related) occasionally when required to and ensure thorough coverage of areas reviewed, proper evaluation of internal controls, and policy compliance within budgeted and scheduled timeframes
Veteran Outreach Specialist, Goodwill Southern California (GSC) 1/2013-9/2014
As a volunteer conducted one on one interviews with displaced/disabled veterans.
Developed participant outreach and marketing/recruitment strategies that target
veterans and military families.
Assisted and facilitates job-readiness workshops, orientation sessions, and
recruitment of participants.
Screened and identified participants for all funding opportunities.
Communicated with all partner staff and requested needed information.
Developed employer contacts in the business community.
Met with Continuous Quality Improvement team and assisted with strategy
implementation.
Solved practical problems and dealt with a variety of situations where only limited standardization existed.
Union Bank, Internal Auditor, 8/2012-12/2012
Experis Consulting Resources, Costa Mesa, CA
Conducted SOX related testing of Item Processing and Commercial Loan Operations departments.
Conducted and managed the tests of SOX 302/404 documentation of the Commercial Loan Operations and Item Processing departments.
Documented findings and interfaced with line management.
Wrote clear, concise risk evaluation reports and other documents summarizing level of risk, scope, and finding recommendations.
Participated in audits and project reviews.
Prepared preliminary reviews and interviews with process owners to indentify client’s business objectives.
Analyzed and evaluated the adequacy of client’s controls.
Kaiser Permanente, Internal Auditor 6/2011-6/2012
ATR Resource Management, Sunnyvale, CA
Conducted quarterly SOX 302/404 related audit work including, but not limited to Sarbanes-Oxley (SOX)
Reviewed SOX documentation of Research Grants including narratives, flowcharts, control matrices, segregation of duties and end-user computing schedules
Conducted audits of charitable contributions submitted by regional departments
Conducted audits of 501(r) tax-exempt hospitals
Reviewed year-end financial reporting schedules from various regional offices
Assisted Project Managers in performing analysis and summarizing findings on various projects within the Community Benefit department
Created checklists of control processes, narratives, flowcharts and control matrices
Performs Internal IT audit projects including internal audits of policies & procedures, security, network, system configuration, database, and application, and operating system specific audits as well as SOX and other regulatory compliance audits.
Develops and reviews audit programs tailored to IT systems and infrastructure supporting financial/operational/distributor audits being conducted
First Mortgage Home Loans, Diamond Bar, CA 6/2009-5/2011
Mortgage Funding Auditor
Review procedures ensuring mortgage loans are met according to company guidelines and policies as well as compliance with Federal and State regulations.
Analyzed applicants' financial status, credit, and property evaluations to determine feasibility of granting loans.
Obtained and compiled copies of loan applicants' credit histories, corporate financial statements, and other financial information.
Met with applicants to obtain information for loan applications and answered questions about the process.
Explained to customers the different types of loans and credit options that are available, as well as the terms of those services.
Review loan agreements to ensure that they are complete and accurate according to policy.
Handle customer complaints and take appropriate action to resolve them.
Stayed abreast of banking regulations.
Reviewed credit and loan files.
Countrywide Home Loans, Irvine, CA (Acquired by Bank of America) 12/2007-4/2009
Accounting Governance Auditor Sr., Balboa Insurance Group
Conducted Quarterly SOX and ITGCs control testing of insurance systems, claim processing provider services for both lenders placed and voluntary insurance products. Assisted in preparation of annual premium tax returns.
Conducted audits and testing of annual, semi-annual, monthly and daily key financial control processes per SOX 404
Reviewed end-user applications to ensure compliance with Corporate standards; developed internal control narratives to document SOX processes
Created and utilized test plans for internal controls used in SOX testing; provided feedback to control owners and collaborated to develop and track remediation plans where necessary
Developed and managed a reference data base for a Document Retention Project enabling multiple business units to more efficiently access one point of information
Analyzed requirements, completed forms, organized and submitted filings in a timely accurate manner for Annual Compliance Statutory State filings
Point of contact in Escheat project; investigated outstanding payments, sent letters, and fielded customer calls; saved the company over $3m in penalties and fines
Performed Internal IT audit projects including internal audits of policies & procedures, security, network, system configuration, database, and application, and operating system specific audits as well as SOX and other regulatory compliance audits.
Developed and reviews audit programs tailored to IT systems and infrastructure supporting financial/operational/distributor audits being conducted
Inland USA Mortgage & Refinance, Huntington Beach, CA 6/2005-6/2008
Mortgage Funding Auditor
Review procedures ensuring mortgage loans are met according to company guidelines and policies as well as compliance with Federal and State regulations.
Analyzed applicants' financial status, credit, and property evaluations to determine feasibility of granting loans.
Obtained and compiled copies of loan applicants' credit histories, corporate financial statements, and other financial information.
Met with applicants to obtain information for loan applications and answered questions about the process.
Explained to customers the different types of loans and credit options that are available, as well as the terms of those services.
Review loan agreements to ensure that they are complete and accurate according to policy.
Handled customer complaints and take appropriate action to resolve them.
Stayed abreast of banking regulations.
Reviewed credit and loan files.
Ernst & Young, LLP Irvine, CA 7/2004-6/2005
Sr. Tax Auditor, Real Estate Consulting Group
Prepared tax returns of real estate corporations, s-corporations and individuals; interacted with internal auditors and staff members
Conducted audits and testing of annual, semi-annual, monthly and daily key control processes per SOX 404
Conducted SOX 404 internal control audits of Fortune 1000 corporations listed on the NASDAQ; consulted with company executives on the implementation of SOX 404
Collaborated with team members to develop and implement key control matrixes for clients
Franchise Tax Board, Santa Ana, CA 7/1999-6/2004
Tax Auditor, Personal Income Tax Program (PIT)
Conducted audits of taxpayer’s personal income tax return and records; analyzed a variety of complex tax issues and interpret tax laws
Collected over $13M of unpaid taxes due to the State of California and held tax protest hearings.
EDUCATION
Bachelor of Arts, Business Administration, Emphasis in Accountancy - 2004
California State University, Fullerton, CA
Certified Information System Auditor (CISA) – Projected completion 6/2018
SYSTEMS SKILLS
Certus, Peoplesoft, Access, BNA, CCH, Lexis Nexis, Visio, Change Auditor, Active Directory, Service Now, Enterprise One, Hyperion, Oracle Audit Vault, TeamMate and Share Point
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