PAUL ENEJE

Phone: 4697406438| Email:[email protected] | Dallas, TX

EDUCATION:

University of Nigeria-Nsukka
BSc, Geology – June 2008

QUALIFICATION SUMMARY:
Experienced Senior Information Technology Auditor/Compliance Consultant with Interactive Brokers.
Knowledgeable in ensuring ITGC controls are accurate and complete, Risk mitigation, Suspicion activity
Reporting/filing and making sure deadlines are met in an efficient, effective and timely manner. Skilled at
critical thinking, problem solving, prioritizing task, professionalism and punctuality. Adept at handling
confidential and/or sensitive information with a wide range of experience in understanding the core components
on SOX and Compliance.

PROFESSIONAL SKILLS AND INTERESTS

SOC1 & 2, SOC1 TYPE 11, Vulnerability Assessment, • ITGCs, IT application and IT infrastructure Controls
testing, Systems Development Life Cycle, Corrective Action Plan, Agile/Scrum, SOX and PCI Compliance
audits,

WORK EXPERIENCE:

Wells Fargo (Remote) May 2022 _ Present

Senior IT Auditor/Senior Independent Testing Specialist and Validation

 Prioritize assigned audit tasks and ensure accurate and timely completion with best quality delivery that
meets management expectations deploying applicable frameworks and standards - COBIT, COSO, ISO,
FFIEC, GDPR, ITIL and NIST frameworks.
 Planned and Executed the Risk assessment of Technology Controls (ITGC) and Bossiness Controls.
 Testing of Sarbanes-Oxley (SOX) compliance KC in organizations, IT Applications controls (ITAC) to
verify design adequacy and operating effectiveness.
 Performed the assessment of various ERP systems, Applications, AD and LDAP.
 Develop common control procedures for different clients using various best practices frameworks
including GDPR, PSI DSS, SOX, COBIT, ISO 27001/2 and NIST.
 Coordinated SOX status reporting process within and outside the SOX team.
 Acted a second line of defense in evidence gathering, getting ready for external auditor
 Assist in the implementation of internal controls to ensure compliance with Sarbanes-Oxley
requirements.
 Championed work-throughs with clients in trying to understand the implementation of the control from
the SMEs or the said applications, Business owners,1st line of defense owner so as to gather evidence to
make sure they are in compliance with the policy and procedure and also to provide technical assurance
of the controls mapped out.
 Work with Financial Compliance and Internal Audit on enhancements to IT Compliance, SOX audit
and other areas related to compliance and controls to provide continuous improvement and value to
the business.
 PAUL ENEJE
Phone: 4697406438| Email:[email protected] | Dallas, TX

 I review QA Test samples includes the QA Verification and Client Information Cornerstone and
Blast system to ensure Compliance and necessary to capture screenshots and Verification others as
needed.
 Proactively participated during the RCSA Control Design Documentation projects and ensure all the
Data documentation is saved in EBTP and attached, uploaded to each Section and Recorded
appropriately.
 Proactively participated during the RCSA Control Design Documentation Assessment and ensure all
the Data documentation is uploaded in EBTP and Risk Accessible Unity (RAU) is accessed in Shared
drive (SHRP) and Recorded appropriately.
 Reviewed SOC 1 type II, and performed SOC 1, & 2, SOC1 type I control testing.
 Completed timely and accurate testing.
 Documented work papers in alignment with the Internal Audit policy and guidance
 Collaborated and consulted with peers, colleagues, and managers to resolve issues and achieve goals.

Interactive Brokers LLC, Chicago, IL (Remote) March 2019 – May 2022

Senior Information Technology Auditor/Compliance Consultant
 Ensure that key risks are Identified and assessed in the program of audit coverage.
 Assist in all aspect of Audits including risk assessments, audit planning, audit testing, control evaluation,
report drafting and follow-up verification of issue closure.
 Plans and conduct independent Internal audits and reviews in support of the company’s annual internal
audit plan, including leading and participating in a wide variety of IT Audit and IT SOX reviews.
 Ensuring accuracy and completeness of audit coverage.
 Ensuring user access are validated by appropriate management and changes made are approved by the
appropriate users.
 Ensured adequate Testing of accuracy and completeness of IPE’s on ITGC user access reviews
 Evaluating and validating evidence from PowerBI and Audit Board to ensure all controls being tested
are adequate and properly validated.
 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.
 Assisted in making appropriate recommendations for improvement in regards to ITGC controls.
 Preparing special audit and control reports by collecting, analyzing, and summarizing operating
information and trends
 Carried out Enhanced Due Diligence (EDD) on Vendors and Investors provided by IA validation.
 Maintaining financial security by following internal accounting controls.

HSBC MAR 2018 - AUG 2020

New York, NY
IT Risk Management Specialist

 Reviewing client vitals Deposits and withdrawals

 Reviewing AML check red flags and Negative domain/Offshore search on clients
 Identifying Suspicious Activities and Writing SAR for escalation.
 Escalating Client account to EDD and AML triage
 PAUL ENEJE
Phone: 4697406438| Email:[email protected] | Dallas, TX

 Conducting outreach and reviewing client’s response on supporting document recommendations to

determine client’s transaction to either be rejected or approved.
 Creating Adhoc for client vitals and reviewing Adhoc’s and vitals created by team members.
 Reviewing clients cash reports, statements, Trade and AML ranking score to determine clients account
for closure or approval
 Led the development and implementation of IT risk management strategies and policies to identify and
mitigate potential risks to the organization’s IT systems and processes.
 Conducted comprehensive risk assessments and vulnerability analyses to identify potential security
threats and weaknesses and recommended control measures to mitigate risks.
 Collaborated with cross-functional teams to ensure compliance with regulatory standards and
frameworks, including SOX, GDPR, and ISO 27001.
 Managed internal and external IT audits, including planning, execution, and reporting phases, and
provided actionable recommendations to address identified issues and improve IT governance.
 Communicated risk assessments and recommendations to senior management and relevant stakeholders.
 Stayed current with industry best practices and emerging technologies in IT risk management.
 Identified and assessed IT-related risks including cyber security, data privacy, and regulatory
compliance.
Deloitte, Chicago, IL
IT SOX Auditor, May 2015 – April 2017
 Performed annual SOX IT Control scoping and risk assessment to determine applications, systems and
processes that are in scope for annual control testing.
 Performed walkthroughs and test of controls to assess design effectiveness of SOX ITGC controls,
document design gap and provide recommendations on remediation to audit clients.
 Performed 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.
 Performed SOX ITGC testing (Computer Operations, Logical Security and Change management) across
various applications in scope within the organization and document any identified deficiencies.
 Determine the impact of service organization control gaps on the companies SOX compliance and
mapping of user consideration controls (UCC) to the test of controls performed by the front line.
 Develop and execute comprehensive risk based global internal audit &compliance program
 Design internal control activities, maintain and update controls
 Review Technology Infrastructure and several controls aligned to each process.
 Use Archer to spool control reports and assign adequate risk.
 Assisted in the development of risk analyses, business impact analyses, business continuity plans, and
disaster recovery plans for financial institutions
 Tested, reviewed, and documented internal controls related to the IT environment to ensure compliance
with Sarbanes-Oxley
 Led teams responsible for the General Computer Control (security, operations, change management, and
IT-entity level) framework design, analysis, testing, and remediation for numerous Fortune 500 clients
to achieve Sarbanes Oxley compliance
 Identified segregation of duties issues and internal control weaknesses for numerous clients in various
industries including but not limited to: manufacturing, financial institutions, on-line brokerage, and retail
 Assisted with the administration of project setups, billing, reconciling job summaries, and recruiting
 Worked closely with clients to develop, maintain, and document a control framework utilizing COSO,
COBIT, and ITIL frameworks and methodologies.
 PAUL ENEJE
Phone: 4697406438| Email:[email protected] | Dallas, TX

 Collection and quality assurance of evidence, penetration testing and observations associated with the
annual PCI assessment for reporting.
 Partially worked with the PCI teams that evaluated systems and environments to assess security
exposures.
 Attended PCI DSS meetings.

Standard Alliance Insurance Group, Nigeria

IT service Desk Analyst/Internal Auditor – Team Lead, August 2013 – May 2015
 Audited daily activity around cycle counting
 Created internal audit trail reports for materials volume/location within plant
 Resolved surveillance items flagged as potentially suspicious transactions or exceptions
 Worked with Senior Managers, Lines of Businesses & other departments to ensure ongoing compliance
with AML Standards & regulatory requirements
 Contacted customers and senior managers in high risk branches to confirm that savings/checking
accounts balances and accounts payable balances are correct
 Physically matched fixed assets (cash and valuables in vault) to fixed asset records
 Maintained a high level of awareness and knowledge of regulatory compliance requirements and assist
in identifying significant compliance risks
 Supervised premium remittance of 5 marketing units daily Reviewed transactions processed in the
region to ensure accuracy, completeness and integrity of transaction processed
 Assessed accounts opened for proper documentation and ensured that accounts are not opened to
fraudsters
 Relationship management/issued premium invoice report for (Exxon mobile, Chevron, and Main-street
Insurance Brokers etc.)
 Carried out investigations on cases and wrote reports for management purposes
 Evaluated the branch's budgets to ensure that expenses are reasonable, necessary, wholly sand effective
 Assessed the company's procedure and policies to ensure that it is updated and in accordance with best
audit practices
 Created member account profiles on SA Group online Insurance program.
 Executed wire transfers, stop payments and account transfers.
 Effectively controlled the release of proprietary and confidential information for general client lists
 Promoted new banking products to clients
 Enhanced the operational risk application to capture regulatory findings from agencies such as SEC and
OCC.
 Advised clients on mortgage, educational and personal loans.
 Selected investments based on quantitative analysis of stock performance, financial ratios and financial
reports.
 Sold cashier's checks, traveler's checks and money orders.
 Gathered data and built financial models around key metrics.

SKILLS:
Analytical skills:
 Financial Software/AML: LexisNexis, Capital IQ, Ad Hoc Reporting, Oracle, IBweb, CAST,
CommTool’s,CIM, COBIT, NIST, Audit Board, PowerBI
 Audit: (Sarbanes–Oxley Act) - Experience with audit reporting plus demonstrated accuracy in internal
and external auditing
 PAUL ENEJE
Phone: 4697406438| Email:[email protected] | Dallas, TX

 Accounting: Turn Quest General Insurance Systems, Accounting Software (Super User Award Oct
2014) and Mapping (Revenue Report)
 Teamwork: Ability to operate effectively in a team setting or independently in a fast-paced and 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

Certificates & Honors

 Bachelor of Science Degree, Accounting, University of Nigeria Nsukka Campus 2003-2008 (BSc. GEL)
 Associate of Science Degree, Accounting, Osun State College of Technology (ASSOC ACC)
 Certified Information Systems Auditor (CISA)
 Financial Crimes Compliance
 Anti-bribery and Corruption
 Registered Pharmacy Technician Trainee (Registration No. 263250) 2016 – (Financed 50% of
educational expenses through continuous
 employment)