GERALD J. DENNIS

714-***-**** ac5gxx@r.postjobfree.com

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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