Internal Audit Risk Assessment

NINAD DATE C P A, CIS A, FCA

Stamford, CT *****

**********@*****.*** 203-***-**** https://www.linkedin.com/in/ninaddate/ INTERNAL/IT AUDIT, RISK ASSESSMENT, SOX, & COMPLIANCE Build a strong Controls and Compliance Environment Finance and Assurance strategic leader with experience in Accounting, Business Processes, IT & Internal Audit, Controls, Risks & Assurance, SOX & SOC Compliances, security, and enterprise risk assessment and management. Known for building highly engaged leadership teams that add immediate value. Lead high caliber, diverse, and highly productive teams. Transform global teams through standardization, organizational restructuring, and refinement of business-specific reporting. Experience in managing complexity and strategic resource planning. CORE COMPETENCIES

Internal & IT Auditing Finance & Accounting Cybersecurity & Access Management Sarbanes Oxley Compliance Data Analytics & Business Insights ESG Compliance Risk Assessment Fraud Detection and Prevention Data Privacy & Governance Business Processes & Controls Regulatory Compliance Team Building & Mentoring TECHNICAL SKILLS

Development of multi-year audit plan, strategy, direction, shape and manage audit and assurance program

Evaluation of Finance, Accounting, and Operations business processes, and Risk & Control Matrix (RCM)

Information Technology (IT) Audit and Advisory – infrastructure, applications, new technologies, and security

Auditing emerging technologies, RPA, Gen IA, and agile software development process (DevSecOps)

Cybersecurity controls, NIST Compliance, Information Security Management Systems (SMS) Implementation

Cloud Computing, Security, and Governance, Risk, and Compliance (GRC)

Bank Internal Audits, IT Risk Examination (InTREx) Procedures, FFIEC Compliance, FDIC Examinations

Third Party Vendor Risk Assessments

Compliance with Frameworks – COBIT, ISO, CIS, OWASP, COSO, SEC, PCAOB, and SOX

Compliances with Standards – FedRAMP, ISO, PCI DSS, SOC 1 & 2, and HIPAA

ERP (SAP R/3, ECC, S4/HANA, Oracle Leasing) and Other Systems pre & post Implementation reviews

Collaborate and maintain relationships with senior management, business partners, external auditors NOTABLE CAREER ACHIEVEMENTS

Transitioned and integrated SOX function with Internal Audit and controls rationalization

Successfully closed IT SOX significant deficiencies, ensuring strong controls environment and compliance

Increased revenue by identifying control weaknesses & areas for process improvements

Saved external audit fees, increasing reliance on audit capabilities, skills, work products

Developed onshore-offshore model, reducing operational cost of Audit function

Increased operating efficiency by right configurations in systems developments and implementations

Implemented AuditBoard audit management software

Completed four Internal Audit Quality Assessments by IIA with highest rating PROFESSIONAL EXPERIENCE

INSIGHTS ASSURANCE & ADVISORY LLC, Stamford, CT, Founder 2024 – Present Risk advisory, assessment & management consulting, streamline business & IT processes, internal & IT auditing, data privacy & protection, design and review operating effectiveness of internal controls, compliances. PITNEY BOWES, Stamford, CT

Director, Global Technology Audit 2006 –2023

I was the leader of the global IT audit and SOX teams of 12+, including onshore and offshore team members and outsources resources. Implemented agile auditing. Assisted management in Environmental, Social, and Governance (ESG) implementation.

Accountable for IT audit and SOX compliance; owned audit universe and auditable entities

Completed annual risk assessment

Prepared annual and multi-year internal audit plans for VP and Audit Committee review and approval

Supported VP and General Auditor in managing Internal Audit function and Audit Committee reporting

Facilitated FDIC and State of Utah bank audits, client audits, and external audits

Tested design and operating of cybersecurity controls and security architecture through multiple audits

Ensured effective data privacy controls, governance procedures, compliance with Privacy laws & NIST

Performed pre and post implementation audits, reviewed systems integration, control design, and operating effectiveness. Reviewed SAP S4 HANA Cloud implementation

Audited DevOps program and security at every phase of software implementation, and automation

Reviewed cloud security - technology, policies, controls to protect cloud applications, data, and infrastructure from threats. (Amazon Web Services, Google Cloud and Microsoft Azure) Previous roles at Pitney Bowes: Senior Manager Senior Manager ERNST & YOUNG, LLP, Los Angeles, CA

Senior IT Auditor (Risk Advisory Practice) 2005 –2006 I was the Internal Audit team member on Walt Disney and Health Net (health care and health insurance) clients.

Led internal audit and IT audit teams of senior and staff auditors

Conducted IT audits of active directory/LDAP, networks, infrastructure, VoIP)

Performed pre and post implementation audits of major system implementations

Participated in internal audits of revenue and payment business cycles

Participated in SAS 70 audits of a financial services client EDUCATION

Bachelor of Commerce (Accounting) (BCom), Mumbai University, India Bachelor of Law & Legislation (LLB), Mumbai University, India CERTIFICATIONS

Certified Public Accountant (CPA)

Certified Information Systems Auditor (CISA)

Chartered Accountant (CA), India

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