senior compliance analyst resume example with 6+ years of experience

Jessica Claire
  • , , 609 Johnson Ave., 49204, Tulsa, OK 100 Montgomery St. 10th Floor
  • Home: (555) 432-1000
  • Cell:
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Professional Summary

Experienced IT Auditor with over 5 years experience in IT Audits with strong strategic planning and project management capabilities. I am skilled at performing IT General Controls (ITGC) and IT Applications control testing. A result-driven individual with excellent interpersonal and communication skills, committed to exercising COSO and COBIT frameworks as required for SOX compliance.

  • IT General Controls
  • Risk Assessments
  • SOX 404 (SOX)
  • SOC reports (SOC 2, Type II)
  • Third-Party Risk
  • Application Controls Testing
  • Change Management
  • Segregation of Duty (SOD) Controls
  • Work Papers
  • SDLC
  • Microsoft Office, SAP, Oracle, SharePoint
  • Fieldwork
  • Internal Controls Testing
Work History
Senior Compliance Analyst, 08/2021 to Current
Colfax CorporationAsheboro, NC,

  • Worked with the internal audit and assurance team to plan engagement strategy, define objectives, and address IT controls risks and issues.
  • Performed audit responsibilities including: scheduling and participation in audit meetings; participating in scoping discussions; drafting of audit work; design and execution of testing; and completion and review of work papers.
  • Participated in all phases of internal audits from planning and research, risk assessment, work-paper, to report development and follow-up.
  • Conducted testing- perform walk-throughs for test of control design, review evidence obtained to test for operating effectiveness of controls, prepare work papers and report audit findings.
  • Developed audit manual for IT operations which incorporate company policies and standards.
  • Applied current knowledge of IT trends and systems processes to identify security and risk management issues and other opportunities for improvement
  • Reviewed IT General Controls (ITGC) for infrastructures - applications, databases,operating systems and network
  • Reported audit findings to SMEs, managers, and partners and make recommendations for correction of weaknesses
  • Documented tests performed and results to ensure evidences support noted observations, conclusions, and recommendations.
  • Managed practical action plans to respond to audit discoveries and compliance violations.
IT (SOX) Auditor, 11/2018 to 07/2021
American Axle & ManufacturingNorth Vernon, IN,

  • Performed application security assessment on both internal and external applications.
  • Designed and tested IT controls for new and existing systems, including logical access, change management, computer operations, system development life cycle (SDLC), and general IT security
  • Documented risks associated with internal and external applications.
  • Worked with other departments within IT to obtain required evidence, develop test plans, testing procedure for SOX testing and document test results and exceptions.
  • Performed analysis on SOC 2 control evidence to ensure all controls have been performed according to requirements.
  • Met with process owners and other point of contacts to remediate audit findings/exceptions and as follow up to ensure system and process security.
  • Wrote mock audit reports for distribution to management and senior management documenting results of audits.
  • Communicated the results of IT audit, systems development projects, and consulting projects via written reports and oral presentations to management, using a risk-based approach
  • Performed ITGC Audit to include key controls like Access control (Logical and Physical access control), Change Management control and IT Operation control(job scheduling, backup and recovery), network and Asset management and Documentation.
  • Followed up on remediation activities to ensure identified risks are mitigated.
  • Participated in system implementation projects as an IT control subject matter expert (SME) and provided guidance to ensure proper IT controls are designed and implemented.
Internal Auditor, 10/2017 to 10/2018
Management Decisions, Inc.North Hollywood, CA,
  • Performed information systems acquisition and implementation reviews to ensure services provided possess efficient internal controls in relation to organizational policies, regulatory requirements and information systems best practices.
  • Conducted SOX testing using COSO and COBIT frameworks.
  • Performed assessment of internal controls as part of financial statement audits, internal and operational audits, and audit readiness.
  • Utilized knowledge of ERP systems (particularly SAP) to access required evidence as stated in audit plan.
  • Participated in all stages of audit process from planning and field work, to reporting and follow-up.
  • Performed risk analysis and documented risks associated with controls.
  • Tested design and operational effectiveness of internal controls by collecting and evaluating evidence and participating in walk-throughs of business processes.
  • Discovered inadequate implementation of segregation of duties controls that resulted in mitigation of fraud.
  • Performed testing procedures on financial trading systems to determine Segregation of Duties meets industry standards and security procedures.
  • Created work papers using completed work.
  • Identified and documented control weaknesses and related testing exceptions.
  • Prepared and delivered presentations of audit reports, including findings, recommendations as well as remediation plans.
Linux System Administrator, 08/2016 to 10/2017
IQorCity, STATE,
  • Supported deployment of Red Hat Enterprise Linux 6 servers for corporate clients
  • Managed permissions on files and directories using Access Control Lists
  • Configured and provisioned Servers for package Management functions
  • Built and configured 120 Virtual Linux Machines using ESXi and vSphere 6 Client
  • Managed users and groups in RHEL 6 and 7 enterprise network
  • Used Remote Desktop and Virtual Private Network Applications for Server Configuration
  • Configured Linux guests in Oracle VirtualBox Manager environment
  • Engaged in performance monitoring and capacity planning on Linux Servers
  • Managed backup and disaster recovery through strict data control and retention policies, personally handling recovery tasks when issues arose.
  • Created and serviced administrator and user accounts on Linux-based systems, managing about 230 deployments.
  • Coordinated with project team members to prepare and implement schedules, project plans, and status reports
  • Interacted directly with users to diagnose and correct major system issues and address concerns.
Bachelor of Science: Computer & Information Systems Cybersecurity, Expected in 2018 to Dakota State University - Madison, SD
Associate of Applied Science: Computer And Information Systems Security, Expected in 2016 to Collin College - Plano, TX,


Certified Information Systems Auditor (CISA)-Active 2023


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Resume Overview

School Attended

  • Dakota State University
  • Collin College

Job Titles Held:

  • Senior Compliance Analyst
  • IT (SOX) Auditor
  • Internal Auditor
  • Linux System Administrator


  • Bachelor of Science
  • Associate of Applied Science

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