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Thomas Danielle
SENIOR BUSINESS ANALYST – Business Information Security Officer (BISO)
Central Islip, NY, United States
Details
Experience:
Liaison between the Information Security Group and the Information Technology (IT) Teams to assist in the interpretation and nature of Clients Audit requests and Application Vulnerabilities.
Review IT Team’s Remediation Plans resulting from Audit findings to determine if the plans are fully complete, accurate and on target to be completed by the committed date.
Established Tracking, Metrics and Status reporting for Client Audit Requests and Application Vulnerabilities, which is used by Senior Management to forecast future staff allocations and business cases.
Collaborating with the Software Developing Teams to develop an automated Workflow tool to provide a more efficient way of managing the various Client Audit Engagements.
Working closely with the Archer Development Team to implement enhancements to the Remediating process within the application.
2022 : Present
Broadridge Financial Solutions
SENIOR BUSINESS ANALYST – Business Information Security Officer (BISO)
Managed a staff that ensures the department stakeholders are adhering to the company’s policies and procedures for both Global & Domestic Shareholder meetings.
Reviewed all documentation provided to the external auditors for the Agreed-Upon Procedures and Statement on Standards for Attestation No. 18 (SSAE 18) Engagements and Sarbanes-Oxley (SOX) Testing.
Responsible for the successful on boarding of the Shareholder Rights Directives II (SRD) initiative from an audit perspective and the implementation of new audit processes associated with it.
Tasked with certifying the department is in full compliance with the International Organization for Standardization (ISO) 27001 and interactions with the ISO Auditors.
Successfully oversaw the migration of multiple processes to our audit counterparts in India and U.K.
Prepared the Department’s Disaster Recovery plan and Business Continuity assessments.
Formulated the Risk Matrix & evaluation of Department’s Risk Assessment ratings.
Establishing the audits of the various clients 1099 tax forms and cost basis information.
Performed audits to ensure the Staffing Agencies are complying with Federal and State hiring guidelines.
2011 : 2022
Broadridge Financial Solutions
Senior Audit Manager
Performed high risk audits of the various departments within the company to ensure they are complying with its policies and procedures.
Crafted the company’s (SOX) write-ups to ensure that all key controls and risks were correctly identified and working as intended.
Assisted in the formulation of the company’s Enterprise Risk Management (ERM) program.
Performed walk-throughs with the External Auditors to ensure they fully understood the controls within each business area.
Assisted in the compiling of the Auditor’s Quarterly Report to the Board of Directors & Audit Committee.
Monitored the progress of significant issues that required remediation actions by Senior Management.
2009 : 2011
Flushing Bank
Senior Internal Auditor
Partnered with Internal Audit to develop and implement interim and permanent remediation actions for their audit findings.
Coordinated with the SOX Team to ensure all revisions and modifications that need to be made for the various business units were accurately depicted and up to date.
Appointed the Department’s representative in regarding Risk Assessments, Disaster Recovery and Business Continuity adherence.
Worked closely with the Controller to ensure successfully implementation of a new accounting operating system.
Composed new policies and procedures for the Accounting Department.
Responsible for the company's filing of the tax forms 1099 – MISC and 1099 – DIV.
2007 : 2009
New York Community Bancorp, Inc.
Accounting Project Manager - Second Vice President
Partnered with the Audit Director to establish, develop and streamline audit programs.
Composed Draft Reports and Final Audit Reports and assisted in the compiling of the Audit Committee Reports.
Assigned the staff’s audit assignments and met weekly to monitor their progress.
Responsible for reviewing audit staff’s work papers to determine if they adequately supported their audit findings.
Met with the various business areas stakeholders to discuss potential audit findings and establish remediation plans of action.
Oversaw highly sensitive audits, which included SOX testing outlined in the audit plan.
Key contributor regarding Risk Assessments, Disaster Recovery and Business Continuity planning for Bank.
2004 : 2007
New York Community Bancorp, Inc.
Senior Internal Auditor - Assistant Vice President
Review IT Team’s Remediation Plans resulting from Audit findings to determine if the plans are fully complete, accurate and on target to be completed by the committed date.
Established Tracking, Metrics and Status reporting for Client Audit Requests and Application Vulnerabilities, which is used by Senior Management to forecast future staff allocations and business cases.
Collaborating with the Software Developing Teams to develop an automated Workflow tool to provide a more efficient way of managing the various Client Audit Engagements.
Working closely with the Archer Development Team to implement enhancements to the Remediating process within the application.
2022 : Present
Broadridge Financial Solutions
SENIOR BUSINESS ANALYST – Business Information Security Officer (BISO)
Managed a staff that ensures the department stakeholders are adhering to the company’s policies and procedures for both Global & Domestic Shareholder meetings.
Reviewed all documentation provided to the external auditors for the Agreed-Upon Procedures and Statement on Standards for Attestation No. 18 (SSAE 18) Engagements and Sarbanes-Oxley (SOX) Testing.
Responsible for the successful on boarding of the Shareholder Rights Directives II (SRD) initiative from an audit perspective and the implementation of new audit processes associated with it.
Tasked with certifying the department is in full compliance with the International Organization for Standardization (ISO) 27001 and interactions with the ISO Auditors.
Successfully oversaw the migration of multiple processes to our audit counterparts in India and U.K.
Prepared the Department’s Disaster Recovery plan and Business Continuity assessments.
Formulated the Risk Matrix & evaluation of Department’s Risk Assessment ratings.
Establishing the audits of the various clients 1099 tax forms and cost basis information.
Performed audits to ensure the Staffing Agencies are complying with Federal and State hiring guidelines.
2011 : 2022
Broadridge Financial Solutions
Senior Audit Manager
Performed high risk audits of the various departments within the company to ensure they are complying with its policies and procedures.
Crafted the company’s (SOX) write-ups to ensure that all key controls and risks were correctly identified and working as intended.
Assisted in the formulation of the company’s Enterprise Risk Management (ERM) program.
Performed walk-throughs with the External Auditors to ensure they fully understood the controls within each business area.
Assisted in the compiling of the Auditor’s Quarterly Report to the Board of Directors & Audit Committee.
Monitored the progress of significant issues that required remediation actions by Senior Management.
2009 : 2011
Flushing Bank
Senior Internal Auditor
Partnered with Internal Audit to develop and implement interim and permanent remediation actions for their audit findings.
Coordinated with the SOX Team to ensure all revisions and modifications that need to be made for the various business units were accurately depicted and up to date.
Appointed the Department’s representative in regarding Risk Assessments, Disaster Recovery and Business Continuity adherence.
Worked closely with the Controller to ensure successfully implementation of a new accounting operating system.
Composed new policies and procedures for the Accounting Department.
Responsible for the company's filing of the tax forms 1099 – MISC and 1099 – DIV.
2007 : 2009
New York Community Bancorp, Inc.
Accounting Project Manager - Second Vice President
Partnered with the Audit Director to establish, develop and streamline audit programs.
Composed Draft Reports and Final Audit Reports and assisted in the compiling of the Audit Committee Reports.
Assigned the staff’s audit assignments and met weekly to monitor their progress.
Responsible for reviewing audit staff’s work papers to determine if they adequately supported their audit findings.
Met with the various business areas stakeholders to discuss potential audit findings and establish remediation plans of action.
Oversaw highly sensitive audits, which included SOX testing outlined in the audit plan.
Key contributor regarding Risk Assessments, Disaster Recovery and Business Continuity planning for Bank.
2004 : 2007
New York Community Bancorp, Inc.
Senior Internal Auditor - Assistant Vice President
Company:
Broadridge Financial Solutions
About
Experienced Professional with a demonstrated history of working in the Financial Services Industry. Skilled in Operations Management, Audit, Compliance, ISO Standards, Financial Services, Influence Others, Business Information Security Officer (BISO), RSA Archer and SOX Testing.
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