Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Uchechukwu Nzenwata

Rosharon,TX

Summary

Experienced Senior Cyber Security/Risk/Governance/Compliance Analyst, IT General Controls, AML controls, and manual/automatic controls specializing in ensuring accuracy and completeness in ITGC risk control assessments. Proven skill in Sarbanes-Oxley (SOX) compliance, IT controls management, and audit methodologies. Adept at identifying control deficiencies, developing solutions, and ensuring compliance with regulatory requirements. Strong analytical, organizational, and communication skills, with a track record of managing multiple audit projects and collaborating effectively with cross-functional teams.

Overview

14
14
years of professional experience
1
1
Certification

Work History

Senior IT Auditor

PayPal
08.2023 - Current
  • Led the execution of SOX compliance audits, including IT General Controls (ITGC) and application controls.
  • Conducted IT control assessments and ensured compliance with Sarbanes-Oxley (SOX) requirements.
  • Performed detailed risk assessments, identifying and prioritizing risks based on potential impacts.
  • Performed SOC 1 and SOC 2 risk review on new vendors and existing customers.
  • Reviewed tickets for policy update and incident management request via SNOW (Service Now)
  • Ensured effective Mapping of controls and testing of control design effectiveness.
  • Assisted in implementing processes such as governance, risk, and compliance to automate and continuously monitor IT controls, exceptions, testing and risk.
  • Assisted in gathering evidence for testing by integrating the gap between the control owner and external auditors.
  • Performed walk-through and test of controls to assess design effectiveness of SOX ITGC controls, document design gap analysis and provide recommendations on remediation to audit clients.
  • Report engagement status and results, both verbally and in writing, to management
  • Provide overall direction and strategy to the senior leadership team in the project management of overall responsibilities across multiple IT Global Risk Compliance (GRC) initiatives / Software Development Life Cycle with Agile frameworks and Third-Party Risk Management (TPRM) regulatory compliance requirements.
  • Demonstrate the ability to quickly grasp concepts and practice active listening.
  • Reviewed SailPoint and ServiceNow tickets for proper testing to ensure compliance and accuracy.
  • Capable of creating reports and dashboards in ServiceNow to visualize key metrics, track performance, and make data-driven decisions to enhance IT and business operations.
  • Worked on Single Sign-On (SSO) and Sailpoint Identity IQ custom and out-of-the-box workflows in Sailpoint.
  • Internal audit work with LOB risk delegates regarding security and remediation gaps, as well as collaborating with the 2nd Line of Defense.

IT Auditor / Risk Analyst

Comerica Bank
03.2022 - 08.2023
  • Collaborated with stakeholders to communicate audit findings and recommendations, facilitating prompt resolution of issues.
  • Managed multiple audit projects simultaneously, from planning and execution to reporting and follow-up.
  • Implemented continuous improvement initiatives to enhance audit processes and increase efficiency.
  • Performed SOX ITGC testing (Password configurations, UAR and Change Management) across various applications in scope within the organization and documented any identified deficiencies.
  • Lead a team and worked closely with External and Internal Auditors for risk validation, mitigation, and vendor management.
  • Tracked and Supervised team project performance.
  • Tested, reviewed, and documented internal controls related to the IT environment to ensure compliance with SOX requirements.
  • Conducted case review in guidance with compliance procedures.
  • Conducted investigations on Risk based criteria and wrote reports for management purposes.
  • Developed query strategies to ensure effective case review.
  • Ensured adequate assessment and analysis of Risk in identifying key components for risk mitigation.
  • Ensured adequate feedback to client and conducted team follow-up to meet review deadline.
  • Implemented COBIT framework to align IT strategies with business objectives and improve IT governance practices.
  • Skilled in extending ServiceNow capabilities beyond IT to other departments such as human resources, facilities, and finance, to streamline and automate various business processes.ai
  • Conducted assessments using COBIT maturity model to identify gaps and areas for improvement in IT governance and management processes.
  • Performing annual SOX IT Control scoping and risk assessment, walkthroughs, and testing of controls for SOX ITGC controls, and working on Tableau and SailPoint IQ for user access management.
  • Conducting fair risk assessments for business vendors, including risk identification, information gathering, severity assessment, risk prioritization, mitigation strategy development, and continuous risk monitoring.
  • Performing Internal Audit risk assessment, IPE testing, and SOX ITGC testing across various applications.
  • Strong attention to detail for thorough reviews of issues and control tests and providing support for Enterprise Risk Management's programs.
  • Established IT governance structures and committees based on COBIT guidelines to enhance decision- making and accountability.
  • Expertise in Operational Risk Management, Business Process Mapping, LOBs, Line of Defense (2LOD), and GRC tools such as Archer and ServiceNow.
  • Reviewed technology proposals and status reports, addressing company challenges.
  • Conducting issues management and providing 2nd Line defense on Issues Management and Control Testing Results.
  • Participating in global risk privacy compliance and IT security projects for implementing GRC requirements in Archer with scaled Agile project methodologies.
  • Reviewing information systems for compliance with the company's business strategy and developing standard operating procedures for IT systems for corporate governance compliance.

IT Auditor / Risk Governance & Compliance

Texas Bank & Trust
02.2019 - 02.2022
  • Identified control deficiencies and provided control matter recommendations.
  • Ensured completeness and accuracy in design and performance of Internal controls and control users.
  • Reviewed composition of Password to ensure it consist of “Alpha numeric” to maintain Password strength regarding automation testing.
  • Ensured timely task completion and performed compliance reviews.
  • Conducted scoping and risk assessment to identify applications, systems, and processes for annual control testing.
  • Conducted walkthroughs and tested controls to evaluate the design effectiveness of SOX ITGC controls, documented design gaps, and provided remediation recommendations to audit clients.
  • Conducted IPE testing for various evidence relied on for executing SOX ITGC Controls to provide independent assurance on the completeness and accuracy of the evidence or population used in performing a control.
  • Proficient in creating interactive and visually appealing dashboards in Tableau to communicate complex data insights to stakeholders.
  • Engaged with Senior Managers, Lines of Businesses, and other departments to maintain AML Standards and regulatory compliance.
  • Enforced compliance with the code of Ethics, AML, BSA, information security, and suspicious activity reporting policies and protocols.
  • Established and managed Anti-Money Laundering (AML) controls, aligning with regulatory standards and best practices.
  • Worked on special projects addressing emerging AML risk typologies and provided input for SOP development.
  • Developed a reputation for dependability and a goal-oriented approach in handling AML investigations.
  • Collaborated across teams to improve AML monitoring systems and procedures.
  • Identified segregation of duties issues and internal control weaknesses for numerous clients in various industries, including manufacturing, financial institutions, online brokerage, and retail.
  • Analyzed and granted access rights for audits, risk and compliance assessments, and audit responses using Archer.
  • Reviewed Technology Infrastructure and several controls aligned with each process.
  • Used Archer to generate control reports and assign adequate risk.
  • Performed SOX ITGC testing (Computer Operations, Logical Security, and Change Management) across various applications in scope within the organization and documented any identified deficiencies.
  • Determined the impact of service organization control gaps on the company's SOX compliance and mapped user consideration controls (UCC) to the test of controls performed by the front line.
  • Ensuring accuracy and completeness of audit coverage.
  • Ensured adequate Testing of accuracy and completeness of IPE’s on ITGC user access reviews.
  • Evaluating and validating evidence from PowerBI, Service now and Audit Board to ensure all controls being tested are adequate and properly validated.
  • Engaging with IT department and external auditors during SOX testing.

AML/EDI Analyst / IT Control Tester

Fast-Track BidFta
04.2016 - 01.2019
  • Implemented and maintained Anti-Money Laundering (AML) controls in accordance with regulatory requirements and industry best practices.
  • Collaborated with cross-functional teams to enhance AML monitoring systems and processes.
  • Assist in all aspects of Audits including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up of verification of issue closure.
  • Ensuring accuracy and completeness of audit coverage.
  • Ensured adequate Testing of accuracy and completeness of ITGC user access reviews.
  • Evaluating and validating evidence from PowerBI, Service now and Audit Board to ensure all controls being tested are adequate and properly validated.
  • Ensuring user access is validated by appropriate management and changes made are approved by the appropriate users.
  • Engaging with IT department and external auditors during SOX testing.
  • Managed IT Compliance Risk & controls matrix and reviews existing IT compliance controls for regulatory updates and perform the necessary gap analysis.
  • Reviewing various ITGC controls, ensuring proper documentation and assisted in retrieving evidence from SNOW for proper validation.
  • Conducted ITGC assessments in accordance with regulatory requirements (e.g., Sarbanes-Oxley Act) to ensure compliance and mitigate risks and assess client risk management to identify vulnerabilities in third- party vendors and mitigate associated risks. My responsibilities include collaborating with third parties to reduce open third-party assessment gaps.
  • Conducting ERM and security risk assessments on Azure cloud platforms and providing recommendations for gap areas.
  • Strong understanding of ITGC frameworks, including COBIT and NIST, to guide audit activities.
  • Demonstrated ability to communicate audit findings and recommendations to stakeholders.
  • Experience in collaborating with IT teams to implement control improvements and remediate issues.
  • Proven track record of ensuring the integrity, confidentiality, and availability of information systems through effective ITGC auditing.
  • Implemented and managed EDI systems, ensuring seamless data exchange between trading partners and internal business applications.
  • Developed and maintained EDI maps to translate business documents into EDI standard formats.
  • Established and maintained relationships with trading partners, managing EDI communications and troubleshooting issues.

IT Auditor and Risk Analyst

Guaranty Trust Bank
01.2011 - 03.2016
  • Conducting analysis of Suspicious Activity Reporting (SAR) and investigations involving high-risk customers.
  • Reviewing various ITGC controls, ensuring proper documentation and assisted in retrieving evidence from ServiceNow for proper validation.
  • Conducted ITGC assessments in accordance with regulatory requirements (e.g., Sarbanes-Oxley Act) to ensure compliance and mitigate risks.
  • Developed and maintained documentation for ITGC processes, controls, and testing procedures.
  • Lead the development and implementation of risk governance frameworks, ensuring alignment with national regulatory standards and industry best practices.
  • Conduct comprehensive risk assessments across the organization’s operations, identifying key vulnerabilities and recommending mitigation strategies to senior management.
  • Oversee the compliance program, ensuring adherence to SOX, GDPR.
  • Coordinate and execute internal audits, analyzing findings to develop corrective action plans and improve internal controls.
  • Collaborate with cross-functional teams to design and implement policies that enhance operational efficiency while mitigating potential risks.
  • Develop and deliver risk awareness training programs, fostering a culture of compliance and proactive risk management throughout the organization.
  • Lead the creation of business continuity plans to ensure the resilience of critical energy delivery operations in the event of disruptions.
  • Prepare and present detailed risk and compliance reports to executive leadership and regulatory bodies, ensuring transparency and accountability.
  • Prepared risk and compliance documentation, including audit reports, risk registers, and policy updates, for review by senior management.

Education

M.sc - Information Technology

University of Lagos
06.2014

B.sc - Public Administration

Ebonyi State University
09.2010

Skills

  • IT Auditing (Advanced), SQL Databases, Transaction Monitoring, IT General Controls (ITGC), Multitasking, Risk analyzing, AuditBoard, AZURE, Sarbanes-Oxley Act, Python, Audit Command Language (ACL), COBIT, NIST, SAP HANA, PowerBI, SNOW Manual and Automated Controls
  • Audit: (SOX Act) - Experience with audit reporting plus demonstrated accuracy in internal and external auditing
  • Teamwork: Ability to operate effectively in a team setting/independently in a fast-paced/rapidly changing environment
  • Critical Thinking: Strong organizational, problem-solving, multi-tasking, and time-management skills
  • Communication: Able to learn and teach others, strong interpersonal skills and excellent interaction with customers
  • Microsoft Office: Advanced user of MS Word, Excel and PowerPoint

Certification

  • Certified information system Auditor- (CISA) .5
  • Certified Scrum Master (CSM).5

Timeline

Senior IT Auditor

PayPal
08.2023 - Current

IT Auditor / Risk Analyst

Comerica Bank
03.2022 - 08.2023

IT Auditor / Risk Governance & Compliance

Texas Bank & Trust
02.2019 - 02.2022

AML/EDI Analyst / IT Control Tester

Fast-Track BidFta
04.2016 - 01.2019

IT Auditor and Risk Analyst

Guaranty Trust Bank
01.2011 - 03.2016

B.sc - Public Administration

Ebonyi State University

M.sc - Information Technology

University of Lagos

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Uchechukwu Nzenwata