Suresh N. Bharadwaj, CIA, CISA

*** ********* **** § Bridgewater, NJ 08807 § C: 908-***-**** § ac8mzt@r.postjobfree.com

Internal Audit – SOX Compliance –Business & IT Processes

Professional with business acumen and demonstrated ability to perform and manage Operational, Financial, IT and Compliance audits.

American Stock Transfer & Trust Co Brooklyn, NY

Senior Internal Auditor Sept 2014 to Feb 2019

(Worked at AST as Protiviti Consultant from Sept 2014 thru May 2015)

Performed and led Operational, IT and Financial Audits across the enterprise.

Develop the audit program, scope and objectives for the operational and information technology audits of the company, its subsidiaries and external business partners.

Participate in annual risk assessment process.

Prepare internal audit report, including conducting closing meeting with auditee management and providing practical recommendations to ensure risks are appropriately managed.

Special projects as assigned.

Scope determination, development of audit planning memorandums, performance of test work and creation of final audit report.

Perform reviews of working papers to ensure accuracy and completion and assist in clearing any review points audit management.

Document work performed in work papers in a timely manner.

Develop detailed working papers to provide sufficient evidence of work completed in the execution of the audit program including testing and analyzing results

Communicate with operating and financial management, establish and maintain strong working relationships with all levels of management

Plan and manage to internal audit best practices, including documentation of work performed, and management of budget.

IT General Controls and IT operational controls. IT Audit approach based on COBIT, NIST framework. Operational audits based on SOX, SSAE 18 control model guidance.

Compliance reviews included all regulatory requirements related to the financial services industry.

Computershare Jersey City, NJ

Senior Internal Auditor June 2013 to July 2014

Global Share Registrars and Transfer Agents with approx. $2b in revenues.

Integrated IT and Business Process Operational Reviews

Execute audits end to end; Planning, Risk analysis, Process Documentation, Scoping, Audit Programs, Audit Reports.

Multiple application and operating systems. Applications reviewed included the Transfer agency system; SCRIP, the Tax Reporting system (TRFS), the Dividend Reporting system (DRFS) and the Print Systems Aardvark & RADAR.

Use Accelus for audit documentation.

Suresh Bharadwaj, CIA, CISA Page 2

Loral Space and Communications New York, NY

Manager, Internal Audit May 2004-Mar 2013

Manufacturer of Communication Satellites (Space Systems/Loral) and provider of Satellite Communication Services (Loral Skynet/Telesat). Approx $1.5b in revenues

Participated in the creation of the enterprise-wide framework for management of operational risks to ensure adherence to legal, regulatory and internal requirements, collaborating with Audit Director.

Contributed significantly in building, updating and maintaining the SOX Control Framework according to COSO and COBIT, enabling managers to bridge the gap between control requirements, technical issues and business rishttp://www.isaca.org/Knowledge-Center/cobit/PublishingImages/cobit_circle_lg.gifks.

Planning, management, oversight and execution of SOX 302 and 404 test work. Responsible for SOX Testing and reporting for Financial Accounting and IT cycles. Analyze the reliability and integrity of internal controls; identify gaps/deficiencies and recommend opportunities for improvement through system and procedural changes.

IT Application systems review included; Operating and Application systems access controls, System Migration Reviews, Disaster Recovery Reviews, Business Application controls, Change Management, Network Security.

Reviewed IT controls over cloud environment – Software, and Infrastructure as a service sourced from IBM.

IT applications worked with included; Oracle 11i, SAP, Industrial and Financial Systems (IFS), Hyperion, Solomon.

Operating systems included Windows. and Unix.

Perform Financial Audits for compliance with GAAP and SEC reporting requirements. Identified process weaknesses in accounting for cost of sales, accruals, amortizations. Improved monitoring controls over use of spreadsheets in financial accounting.

Examined infrastructure requirements and identified the need for redundancies as a disaster recovery strategy in ground control stations to protect against loss of control over satellites during an outage.

Delivered value-added recommendations and process improvement suggestions, which strengthened internal controls for disaster recovery and led to the initiation of an off-site data center.

Direct audit engagements from concept to execution including drafting detailed scope memos, creating work papers, and producing audit reports and action plans supported by business unit input.

AT&T Bridgewater, NJ

Senior Internal Auditor May 2003-May 2004

Telecommunications - with $30b in revenues (in 2003)

Instituted audit policies, concepts, and process controls that enabled transparency and clearer risks/rewards in compliance with SOX guidelines and management of operational exposures.

Instrumental in SOX compliance testing for Purchasing, Accounts Payable, Contracting, Restricted Access, Internal Use Software and Oversees Operations (EMEA).

Through strategic partnering with management, conducted gap analysis that uncovered cost-saving opportunities; assisted in implementing risk treatments to minimize roadblocks in achieving strategic goals.

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L3 Communications New York, NY

Senior Internal Auditor May 2001-May 2003

Diversified Defense Contractor with $4b (2002) in revenues. L3 Corp. has 50 business units in the US and Canada. Activities include manufacturing, services and consulting.

Investigated and uncovered appropriate interventions to reduce risk, costs, and liability to the organization via Financial Statement reviews that revealed over/understatements relating to Revenue Recognition and Accrual of Expenses.

Designed an annual audit test plan and drove identification, assessment and management of risk exposures in accordance with business objectives.

Provided recommendations for strengthening compliance and bolstering corporate governance in IT areas of System Migration, Network Security, Disaster Recovery, Access Controls and Change Management.

Loral Space and Communications New York, NY

Senior Internal Auditor June 1999 – May 2001

Performed operational and financial audits under the supervision of the Audit Manager.

Made significant findings and process improvements in the areas of inventory control, sales compensation payments, ground station infrastructure, revenue recognition, duplicate payments and program management.

Bachelor of Science (India) - Physics

Certified Public Accountant (CPA-Inactive), Certified Information Systems Auditor (CISA), Certified Internal Auditor (CIA),

Certified Management Accountant (CMA), Chartered Accountant (India), Certified SAP Consultant (FI/CO Module).

Linkedin: https://www.linkedin.com/in/suresh-bharadwaj-7605958

Professional Experience

Education

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