Summary
Overview
Work History
Education
Skills
Professional Development
Personal Information
Community Service
Certification
Interests
Timeline
Generic

ROBERT M. JAMES

Risk & Controls
Reynoldsburg,Ohio

Summary

Experienced IT and management leader with a strong background in IT risk management, IT security audits, data center operations, and business process audits. Skilled in human resources risk and controls across multiple lines of businesses. Proven track record in building successful IT teams and executing audit remediation, segregation of duties, access controls, and change management reviews. Recognized for establishing solid relationships with stakeholders and achieving high levels of customer satisfaction. Experienced in evaluating security needs, monitoring techniques, and ensuring compliance with regulatory requirements. Results-driven vice president with 15+ years of experience, passionate about aligning systems with business requirements and policies. Excels at leading and managing teams to drive results based on sound business judgment. Strengths lie in employee development, customer service, and analytics skills. Effective presenter with the ability to drive new business and establish a strong brand profile. Strong team builder and leader of initiatives.

Overview

24
24
years of professional experience
1
1

CRISC

1
1

ITIL

Work History

Vice President – Human Resources Control/Risk Manager

JPMorgan Chase
03.2021 - Current
  • Execution of Performing Referred Candidates Scenario Analysis for Line of Business on a quarterly basis
  • Managed Material Risk Inventory (MRI) Reviews with Legal, Risk, and Compliance
  • Human Resources ownership of over 100 Controls, Processes and Risks for Line of Business
  • Project Lead to implement Voice Recording controls for the entire Line of Business of over 2500 users
  • Cultivated strong relationships with key stakeholders, including customers, vendors, regulators, and community leaders to promote collaboration and long-term success.
  • Demonstrated proficient leadership skills to motivate employees and build competent teams.
  • Led cross-functional teams for the successful completion of major projects, resulting in increased efficiency and client satisfaction.

Vice President – ARA (Application Risk Assessments)

JPMorgan Chase
03.2019 - 02.2021
  • Leading/Performing Application Risk Classifications (ARC) and Application Control Assessments (ACA)
  • IT Control Domain Authority for Technology Operations and Incident & Event Management
  • Training Lead for Application Risk Assessment Program for all banking Lines of Business
  • Scheduling responsibilities for all banking Lines of Business
  • Point of Contact Authority for Investment Banking
  • Set risk assessment standards and review reports for assessing risks.
  • Manage team of 8 Assessors who perform risk classifications for applications and assess application controls.
  • Knowledge of workplace security procedures and policies.

Vice President – Technology Compliance Assessment Practices SOX and CCAR Program

JPMorgan Chase
01.2014 - 03.2019
  • IT Audit/Risk/Governance professional with 20+ years of experience in Financial Services and Retail industries
  • Significant auditing and risk management experience with consumer and mortgage banking systems and supporting infrastructures
  • Provide leadership for complex IT Compliance currently in Fortune 500 banking IT environment.
  • Current role includes Functional Assessment Lead for Change Management and Computer Operations (Job scheduling & data backups)
  • Set guidance and control testing approach for ITGC domain, ensure consistent testing approach across all Lines of business for the firm, functionality testing of central tools and processes, maintain relationships with relevant standard owners, tool owners, and firm-wide control owners.
  • Oversight of assessment execution for designated ITGC domain which includes conducting application walkthrough and QA final work papers.
  • Develop, document, and review goals and metrics for all IT operations and personnel
  • Establish, promote and influence individuals within the organization with coaching for successful careers
  • Oversee contingency planning and IT security and compliance
  • Responsible for the management and oversight of the day-to-day operations
  • Currently managing a team of 8 IT Risk Assessment to support approx
  • 250 applications in scope SOX, Risk Control Self Assessments, Application Control Assessments, and Audit Readiness efforts.
  • Business Assessment Lead role for Corporate Technology which includes maintaining a working relationship with the Corporate Technology business SOX team, partnering with the line of business for corporate technology on testing results, action plans, and reporting; interacting with the designated line of business owner on external audits and first line for escalation; provide oversight of assessment execution for automated controls and key reports.
  • Successfully executed SOX ITGC Controls for the past 8+ years and redeveloped the controls and monitoring efforts for support 10K filing report annually.
  • Conducting training for the team and subject matter expert for 6 Lines of Business in the firm, Mortgage Banking, Card Services, Consumer Business Banking, Paymentech, Firm-wide Technology Services, and Auto Loans.

Vice President - Information Risk Manager – SOX

JPMorgan Chase
01.2014 - 01.2017
  • Partnering with the Business Controllers Office, SOX Compliance Office, internal and external audit reviews.
  • Successful audits for 15+ years with no materiality issues
  • Streamlined operations for 6 lines of business to increase sustainability for shareholder confidence and stability.

Associate/ Information Risk Analyst – SOX

JPMorgan Chase
01.2010 - 01.2014
  • Successful execution of SOX Management testing in support of 18 ITGC controls relevant for over 50 applications.

IT COMPLIANCE AUDITOR

Limited Brands
01.2007 - 01.2009
  • Partnered with business process owners to identify and remediate internal control weaknesses
  • Tested, developed, implemented and sustained preventative, detective and monitoring controls for all core business processes.
  • Successfully achieved 96% or above in maintaining compliance for access control deficiencies in AS400 systems, Mainframe, Windows, Oracle, UNIX, SAP and Teradata Datawarehouse through the development of audit and remediation tracking document for short- and long-term findings.
  • Facilitated remediation efforts to mitigate risks and exposures identified by internal and external auditors for the Information Technology organization
  • Independently guided the audit and remediation process with LTS management that achieved successful compliance to the requirements of the Sarbanes-Oxley Act (SOX) to save the business thousands in cutting annual audit costs.
  • Supported information integrity and enterprise risk management objectives by assessing the financial servers that were being impacted by low priority hardware devices
  • This assessment resulted increased the necessary security requirements that contributed to raise compliance standards
  • The result of this effort decreased security risks to all financial environments.

MANAGER, IT COMPLIANCE

Limited Brands
01.2005 - 01.2007
  • Managed team of 8 individuals to support 4 processes in IT Compliance
  • This entailed interpreting business processes and identifying control points to ensure SOX 404 compliance, administering the company's internal control testing program, identifying and applying best and leading practices to core business processes, and acting as business advisor to functional leaders in SOX matters.
  • Led effort in selection for an automated compliance tool to reduce manual auditing for monitoring compliance and verification audits for various system applications which included databases and operating systems
  • Established communication effort with 8 vendors on a scoping project that reduced weekly reviews by 10-15 hours.
  • Interface with senior leadership to provide updates on internal controls testing.
  • Built the control framework/guidance for the SOX testing team.
  • Identified and documented General IT Controls for Change Management and IT Security Risks for the SAP application environment
  • Tasks outlined with completion dates were met ahead of schedule through focusing on critical control updates
  • As a result, internal customers were given a consistent interface through the BizRights tool product to review segregation of duties violations.
  • Assisted external audit team resources in defining compliant audit processes for SAP despite the given time and resource restraints
  • Managed through these obstacles to ensure the IT Risk Assessment documentation was reviewed and completed on time
  • Received praise from management for the ability to get results from other individuals through planning and ensured team members followed a plan towards getting results.

Quality Assurance Analyst

Limited Brands
01.2003 - 01.2005
  • IT Compliance – Change Management & Configuration – SOX testing and remediation activities; Partnered with the business and internal/external audit teams

Data Security Analyst

Limited Brands
01.2002 - 01.2003
  • Developed Sarbanes Oxley Audit/Review Program, Process & Logging Procedures Implementation, Vulnerability security activities

Service Assurance Analyst

Limited Brands
01.2001 - 01.2002
  • Service Planning (Operations Dashboard owner, Call Management, Owner of the LTS Paging & HP Service Center (Peregrine)

Education

Bachelor of Science in Mathematics - Mathematics

Ohio Dominican University
Columbus, OH
12.2004

Skills

  • Knowledge of JCL; Java, COBOL; PL/SQL; CL; C
  • IBM Mainframe OS/390; AS/400 I Series; Auditing of UNIX-Keon, Oracle, SQL, DBA, DB2, Web Services, Data warehouse systems and Windows log reviews
  • Oracle App Server, SQL Server 2000, Oracle Database
  • Client Access for AS/400; TSO for Mainframe, CICS, Brews monitoring for backups, CORE ID Certification, RSAM, ITRC, ALM, EURC, Beeline, Clarity, GAT, ID Owner, MyCompute, MyDatabase
  • Team Leadership
  • Relationship Building
  • Decision-Making
  • Critical Thinking
  • Coaching and Mentoring
  • Risk Management
  • Training and mentoring
  • Presentations
  • Process Improvement

Professional Development

CRISC Certification (Certified in Risk and Information System Controls), Foundation Certification in IT Service Management with ITIL, Business Ethics & Compliance Program Certification, Member of Information Systems Audit and Control Association (ISACA), Sarbanes Oxley Compliance: The Next Step for IT Audit, A Practical Guide to Controls for IT Professionals

Personal Information

Hobbies: Bowling, Playing Tennis, Attending Sporting Events for Football, Hockey, Baseball, Soccer, etc., Church Praise Team & Pastoral Chorale singing team, Math Tutor

Community Service

United Way, American Red Cross, School Project & Community Mentor, 2011, 2019 Ambassador for Big Brothers Big Sisters of Central Ohio

Certification

  • CRISC - Certified in Risk and Information Systems Control (JPMorgan Chase in 2012)
  • ITIL (Information Technology Infrastructure Library) Foundations (Limited Brands)


Interests

Mentoring students

Community Service - Big Brothers Big Sisters Central Ohio

Timeline

Vice President – Human Resources Control/Risk Manager

JPMorgan Chase
03.2021 - Current

Vice President – ARA (Application Risk Assessments)

JPMorgan Chase
03.2019 - 02.2021

Vice President – Technology Compliance Assessment Practices SOX and CCAR Program

JPMorgan Chase
01.2014 - 03.2019

Vice President - Information Risk Manager – SOX

JPMorgan Chase
01.2014 - 01.2017

Associate/ Information Risk Analyst – SOX

JPMorgan Chase
01.2010 - 01.2014

IT COMPLIANCE AUDITOR

Limited Brands
01.2007 - 01.2009

MANAGER, IT COMPLIANCE

Limited Brands
01.2005 - 01.2007

Quality Assurance Analyst

Limited Brands
01.2003 - 01.2005

Data Security Analyst

Limited Brands
01.2002 - 01.2003

Service Assurance Analyst

Limited Brands
01.2001 - 01.2002

Bachelor of Science in Mathematics - Mathematics

Ohio Dominican University

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ROBERT M. JAMESRisk & Controls