Information Technology Management

Director of Operations

Leader...Innovative Problem Solver...Drives Profitability...Troubleshooter

Strong leader with proven success in directing complex projects and turnarounds. Demonstrated expertise in auditing, financial analysis, six-sigma, project management, contracts, risk, governance, IT security and technology initiatives. A focused professional ensuring goals and results are obtained through appropriate strategic recommendations for optimum performance and profitability.

Board/Senior Management Relations

IT Audit, Project Management, Agile Software Development

Operational Audit, Lean, Six Sigma, Trained Black Belt

Audit/Attestation, SSAE16, SEC Regulatory Compliance

SAP, Oracle, PeopleSoft ERP Systems/Implementations

NIST Cybersecurity Framework, FFIEC Handbook

COSO, CoBIT, GAAP, GAAS, SOX 404 Testing/Compliance

FAR, Government Contracting/Procurement

Information Technology Risk Examination (InTrex)

IT Governance, Portfolio Management, Big Data

SEI CMMI, ISO, ITIL, PCI, GLBA, HIPAA, FISAP

IT Security, Network Hardening, Disaster Recovery

CERTIFICATIONS

Certified Internal Auditor (CIA)

Certified Information System Auditor (CISA)

Information Technology Infrastructure Library (ITIL v3®)

EDUCATION

Master of Public Management

Carnegie Mellon University

Heinz School of Public Policy and Management, Management of Financial Information and Systems

Master of Science Degree in Business Administration

&

Bachelor of Science Degree in Business Administration

California University of Pennsylvania,

Accounting and Finance

PROFESSIONAL EXPERIENCE

American Express, Phoenix, AZ

Service Delivery Manager – IT Infrastructure, Audit Controls and Compliance 2013-Present

Responsible for audit and compliance initiatives for IT Service Management (ITSM), which includes Incident, Knowledge, Event and Problem Management. Coordinates Audit efforts with Internal Audit, CISO, and all other internal and external audit/ control organizations. Ensures that processes are meeting Compliance targets, passing Internal and external audits. Responsible for testing Operational, SOX and Basel controls for Risk Management. Engaged in proactive testing focused on reducing audit risk, recommending control enhancements, reducing the frequency of Severity 1 and 2 incidents and driving continuous service improvements through ITSM processes.

Meritage Homes Corporation, Scottsdale, AZ 2008-2013

IT Audit Manager

Coordinated SOX IT and Financial Audit testing for a $3.5B homebuilder. Contact point for all IT external audit engagements. Developed the IT Audit Risk Assessment and yearly IT Audit Plan. Evaluated general, change, security and application controls in PeopleSoft, JD Edwards environments running on NT, Unix, AS400 platform. Performed division audits, assisted in a SalesForce CRM implementation, provided audit support and oversight during system conversions and upgrades, evaluated and designed controls around SQL database changes.

eFunds Corporation/Fidelity National Information Services, Inc., Scottsdale, AZ 2005-2007

Senior Information Technology Auditor

Conducted SOX control testing for a software development company that processes 80% of US ATM transactions. Made recommendation to enhance controls, followed up on open audit findings, and perform special audits (fraud investigations, disaster recovery, SAP implementation, project management, problem tracking, GLBA). Reviewed

audit workpapers, developed review notes and provided feedback to Auditors.

James Santo **********@***.*** 1049 East Betsy Lane 480-***-**** Gilbert, AZ 85296

PROFESSIONAL EXPERIENCE (Continued)

Arizona Department of Transportation, Phoenix, AZ 2004-2005

Information Technology Audit Manager

Developed the information technology risk assessment and IT audit plan for the Arizona Department of Transportation, and coordinated general control, project management, application development, security, disaster recovery, e-business and infrastructure audits. Participated on teams focusing on employing technology to improve efficiency, reduce risk and provide value added services to the Citizens of Arizona.

Bank of America, Phoenix, AZ 2002-2003

Vice President of Corporate Audit

Collaborated with Corporate Audit to develop approaches to evaluate the effectiveness of Six Sigma implementation across the Bank, provided Six Sigma training for auditors, led special project teams evaluating marketing channels, change management, and banking center site selection, Tested SOX controls.

Motorola/General Dynamics Decision Systems, Scottsdale, AZ 1999-2002

Sr. Information Technology Audit Manager

Provided EDP/IT audit support for a Business Unit developing communication hardware and software for the military and space program, assisted the group to reach a SEI CMMI level 5, reviewed system security, disaster recovery, project management, system architecture and system conversions. Trained as a Motorola Six Sigma Black Belt.

GE Capital Consumer Financial Services, Mason, OH 1997-1999

Internal Auditor/Regulatory Reporting Manager

Responsible for audit activity and financial/regulatory compliance and reporting for a $5.5B GE owned FDIC insured Bank, participated on due diligence team acquiring credit card portfolios, supported in large system conversions and Y2K preparations, assisted in the securitization of credit card loans. Trained as a GE Six Sigma Black Belt.

Mellon Bank, Pittsburgh, PA 1994-1997

Compliance Officer, Global Securities Lending

Accountable for $129B in credit transfers and $70B in loans and reinvested assets, monitored trading and investment activities for contractual/regulatory compliance, on point for a Mellon acquisition, seamlessly executed critical system conversions, coordinated contracts and underwriting for counter parities and trust customers, reported operational metrics to senior leadership, contact point for all audit activity.

Carnegie Mellon University, Pittsburgh, PA 1989-1994

Internal Auditor

Completed financial, operational, compliance and information technology audits in all areas of the University.

Defense Contract Audit Agency, Pittsburgh, PA, 1987-1989

Auditor

Performed contract audits for the Department of Defense, and provided accounting, and financial, advisory services.

TECHNOLOGY INITIATIVES

Responsible for documentation relating to Sarbanes SOX testing.

Identification and remediation of deficiencies/weaknesses in order to ensure an unqualified Audit opinion.

Supervised 3 to 15 auditors in carrying out IT, financial, operational and compliance audits.

Developed a risk assessment of the technology infrastructures focusing on improving controls, network architecture and network hardening.

Audited the following IT areas: UNIX, Windows, AS/400, IBM/Tandem Mainframes, Client Server, Web Services, Internet, Intranet, Firewalls, Routers, SAP, Oracle, PeopleSoft, LAN'S, WAN'S, Remote Access Systems, Systems Development, IT control frameworks, database management systems, SDLC, general IT controls, application controls, project management and information security.

Reviewed SAP architecture, basis, core/critical modules; used the Versa tool to indentify segregation of duties issues, made recommendation to improve database security.

Completed network perimeter testing of system firewalls, networks and servers protecting the business against virus attacks and system break-ins.

Preformed IT audits to CoBIT, ITIL, SEI CMMI, ISO, IEEE, GLBA, HIPAA, PCI, and FISAP standards.

Reported on IT project management initiatives assuring appropriate analysis, design, configuration, test, implementation, support, documentation and costing standards were employed in IT implementations.

Reviewed business impact analysis, disaster recovery and contingency planning for Global Data Centers.

James Santo **********@***.*** 1049 East Betsy Lane 480-***-**** Gilbert, AZ 85296

SIX-SIGMA/PROJECT MANAGEMENT

Trained as a Motorola and General Electric Quality Six Sigma Black Belt; taught, mentored and coached Facilitators, Black and Green Belts in the uses of Six Sigma tools and methodology.

Aligned Lean Six Sigma initiatives and project objectives to business strategy and prioritize projects.

Deployed cross-functional initiatives and teams; facilitated Workouts and Kaizen events.

Six Sigma training included the following: Lean Application, Root Cause Analysis, Cycle Time Reduction, Comparative Methods, Sources of Variation, Process Control, Design of Experiment, Project Management, M-Gates, DMAIC, DMADV, DFSS, Business Process Management and Change Acceleration Process.

Achieved breakthrough results by challenging conventional thinking delivering the successful completion of high impact projects. A sample of projects include: Problem Resolutions, Pricing, Cardholder Run-off, Incomplete Billings, Problem Management, Suspense Crisis Team, and Call Center Effectiveness.

Evaluated Hoshin planning efforts strengthening effectiveness by recommending the inclusions of additional metrics for measurement and tying performance to business processes.

Reviewed and evaluated VOC data and made recommendation to change processes enabling functions to exceeded customer expectations.

Directed use of statistical tools and techniques for generating, organizing and processing data through the use of Minitab, JMP, Excel, Access, and other database software programs.

Recognized for strong organizational, coordination and project management skills, including the ability to define scope, objectives, opportunities, benefits, needs, gaps and identify stakeholder interests.

FINANCIAL ANALYSIS

Developed analytic support for a pitch to the Ohio Divisions of Financial Institutions receiving special permission to issue a $620M dividend above regulatory limits based on a $3.5B asset sale (Dividend saved $2.725M in taxes).

Reviewed and evaluated the soundness, adequacy and effectiveness for a $5.5B GE owned, Ohio chartered, FDIC insured, Financial Institution, issuing consumer credit cards.

Provided support in the securitization of $2.5B in credit card loans. Coordinated underwriting efforts for all Broker Dealers and Letter of Credit issuing Banks.

Assumed responsibility for regulatory reporting to the FDIC, Ohio Division of Financial Institutions and the Federal Reserve Bank (Call Report, Annual Financial Statements, Dividend Declaration, Capital Adequacy and Board of Directors presentations). Assured regulatory reporting mandates were maintained as portfolios were sold while adherence to the highest standards of business ethics and integrity.

Prepared detailed analysis of the Bank’s financial statements evaluating ratios, reserve coverage, interest rate sensitivity and financial movements for the Board of Directors monthly meetings.

Completed the Risk Based Capital Report (Reserve Requirement) for Securities Lending Clients indemnified by Mellon, The Boston Company and Boston Safe Deposit & Trust.

LEADERSHIP

Provided reports, presentations, metrics and financial statements exceeding expectations of Department Heads, Audit Committee Members, Vice Chairmen, Directors, Trustees, Federal and State Regulators.

Compliance responsibilities included a $70B liability for security loans and reinvested assets, $129B in credit lines, letter of credit totaling $60B. Trading was conducted with 70 Brokers, from 140 Custody Trust relationships consisting of 15,000 Manager account’s, traded in 22 foreign currencies.

Developed a regression model that prioritized the selection of locations for 550 Banking Centers in 25 national markets. Cost of new centers will be $1.5B.

Monitored trading, underwriting, wires, settlements, investments, and operations for contractual/regulatory compliance, asset quality and duration. Assets included structured notes and derivative products.

Provided EDP/IT audit support for a Business Unit developing communication hardware and software for the military and space program. Assisted the group in certifying for a SEI CMMI Level 5 for software development. Ascertained the reliability of systems using Motorola's 5Nines criteria.

Submitted an application to change an existing Ohio Bank charter to a Federal Savings Bank requiring the submission of complicated legal documents and pro-forma statement to the Office of Thrift Supervision.

Performed reviews assuring compliance with Sarbanes Oxley legislation section 404.

Consolidated the Boston Company’s Securities Lending Compliance Department to Pittsburgh after the Mellon acquisition.

Managed external audit and supervisory authority relationship with Internal Audit, Credit Review, KPMG, FDIC, FRB, SEC, DOL, and DoD. Facilitated SSAE16 reviews and year-end financial statement attestation.

James Santo **********@***.*** 1049 East Betsy Lane 480-***-**** Gilbert, AZ 85296

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