HARDIK R. PATEL

*** ****** ***** **** **** Mill, SC 29708 803-***-**** adxobu@r.postjobfree.com

Candidate for Positions in…

Risk - Audit

Detail-oriented, highly organized professional with finely tuned analytical, research and problem-solving skills. Demonstrated success in risk based financial and information technology audit, and several finance related projects serving public and private clients.

CORE COMPETENCIES

Identity Management Business Continuity Cybersecurity Assessment Change Management Implementation

Computer Operations ITGC’s SOX Compliance Risk Analysis & Management Process Controls Governance

PROFESSIONAL EXPERIENCE

Signature Consultants LLC, Charlotte, NC May 2021 – Present

IT Manager (Contractor @ Bank of America)

Served as a member of the Global Technology – Risk and Compliance Group, providing IT audit, Targeted Assessments, Issue Management function to various line of business within the organization.

Supporting the execution of risk-based audits on behalf of the Corporate Audit Group including planning, execution, and reporting.

Ensured a team of 2-3 individuals are engaged with daily tasks in helping with audits inquiries, walkthrough meetings, evidence gathering, etc. from various regions – North America, South America and EMEA.

Provided consultation on first & second line of defense on all IT related internal control testing and support in gathering and tracking the remediation of all the findings identified as AIAI, SIAI; etc.

Conducted weekly status meetings with the junior staff and bi-weekly with the executive team providing audit status, challenges, and observation from all the audits executed by Global Technology Group.

Grant Thornton, LLP, Charlotte, NC May 2020 – Nov 2020

IT Assurance Senior (Contract)

Served as an integral member of the IT Assurance practice, providing external IT Audit service for large, mid-size public and private clients in Manufacturing and Life Sciences.

Executed audit for multiple clients simultaneously from planning, testing, and reporting along with remediation plan for any deviations.

Communicated audit status, any issue during fieldwork, any client conflict timely to reporting supervisor or management.

Facilitated new hire training on IT Audit area including security, change management and computer operations for 3-5 team members.

Worked closely with the finance team to determine financial critical reports, test the reports for completeness and accuracy for information provided by the entity (IPE).

Dixon Hughes Goodman, LLP, Charlotte, NC Jan 2019 – May 2020

Senior Consultant - Technology

Served as a member of the Risk Advisory Service, providing compliance and internal audit service for client in the media and financial service industry.

Led audit for various business units, responsible for planning, executing, and reporting of any findings to internal and external parties.

Onboard team members to projects, ensure they have access to all the tools, knowledge of the client technology landscape and deliverable expectations.

Help client enhance their process narrative document to align with the test step outlined in the risk assessment internal control (RAIC).

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Elliott Davis, PLLC, Charlotte, NC Oct 2017 – Jan 2019

Senior Consultant – Risk Advisory

Served as a member of the Risk Advisory Group, first point of contact for audit and advisory clients. Perform procedures for IT audit, manage engagement logistic, staff workload, performance, and timely reporting to senior leadership.

Participated in the integrated audit discussion to understand any changes to the client information technology environment and outline the audit test plan accordingly.

Communicated our observation and findings to the client in a timely manner to ensure the remediation process is outlined prior to regulatory examination.

Helped clients with system conversion to ensure data are correctly mapped to appropriate ledger accounts, testing and execution of all the test procedures are completed prior to system go live.

Looked for opportunities through a professional network to help grow the business in areas like cybersecurity, General Data Protection Regulation, vendor management, business continuity plan, and network security.

NTT Data Consulting, Charlotte, NC Jan 2016 – Oct 2017

Senior Consultant

Served as a member of the CFO group for the top US bank. Performing various tasks related to financial reporting and data maintenance.

Participated in-group discussions to gather business and technical requirements for ledger specific reporting for different geographic regions.

Communicated solution outlining specific requirements, critical path, and project timeline to the stakeholders.

Performed gap analysis on the reporting requirements for the current and targeted reporting system.

Recommended opening of new accounts and collapsing duplicate accounts to simplify the chart of accounts for broker dealer reporting.

Performed regression testing to ensure no additional issues have arisen change due to code or software update.

Ernst & Young, LLP, Charlotte, NC Jan 2014 – Jan 2016

Experience Auditor

Served as a member of the Assurance group and first point of contact for all audit engagements.

Perform procedures in complex areas; both business and technical. Direct fieldwork manages staff performance and inform engagement leaders of audit engagement status.

Develop strong, long-term relationships across EY service offerings while seeking opportunities to collaborate.

Instrumental in completing audit procedures and documentation of higher risk areas i.e., Investment, Retro Premium & Claims.

Communicate findings to Management & Regulators along with recommendation and timeline on the solution.

Develop processes and document internal control procedures followed by the business unit to ensure completeness and accuracy of the data flow for financial reporting.

Perform procedure for 10-Q and 10-K filings.

PricewaterhouseCoopers LLP, Columbia, SC Jul 2012 – Jan 2014

Business Analyst

Recruited by Big Four Auditor and world’s second-largest professional services firm as a business analyst, consulting major clients including Fortune 500 companies. Led project teams of 1-2 members in designing and implementing cost-effective, multi-disciplinary solutions to meet clients’ challenges and opportunities.

Identified as Subject Matter Expert (SME) for Qualtrics Survey Software; completed three-step approach that included aligning survey with business goals, setting parameters to capture data and testing.

Served as key contributor in the client decision-making process, provided solid documentation utilizing results derived from data mapping and running analytics.

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Projects

Performed tasks including compliance, implementation, testing, writing business requirements documents and data mapping for various clients.

US Bank – Title XIV Mortgage Reform and Anti-Predatory Lending Act

Led continuous testing for US Bank in response to Consumer Finance Protection Bureau (CFPB) compliance changes for the mortgage industry including - ability to repay (ATR), qualified mortgages (QM) and general QM for veterans.

Specific testing included: Pricing of different products, interface testing, negative/positive testing, and user access. In addition:

oPoint and fees calculation to not exceed 3% of a term-loan (TLA)

oDetermining ATR using monthly payment calculation for current and newly acquired loan for same dwelling.

oBehavior of system to be defaulted using ATR, points and fees, and monthly payment calculations prior to loan closing to ensure CFPB compliance with regulations taking effect Jan 10, 2014.

EDUCATION

Bachelor of Science: Business Administration; Concentration: Accounting & Finance 2011

Winthrop University, Rock Hill, SC

CERTIFICATION

Certified Information Systems Auditor – Active until 2024 (Number - 20163783)

APPLICATIONS / SYSTEMS / DATABASE

SAP Windows OneStream AWS Oracle DB Linux SQL Cisco AnyConnect Splunk

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