Anthony P. Ambeguia

Lead Business Risks & Controls (BRC) Risk Advisor

Keybank

Jan 2023 - Jan 2024 (1 year 1 month)

• Assisted in the completion of the quarterly risk profile including collecting of information, drafting content, identifying key risk topics and points of interest, facilitating review within line of business and corporate risk management, along with obtaining senior executive approval. • Provided guidance and assistance to develop and implement the risk and control self-assessments and related risk profiles, including risk, control, test and risk metric design in accordance with corporate standards. • Lead or supported enterprise risk mitigation projects, business continuity and other incident response and security related activities. • Assisted with quarterly assessments of testing, control effectiveness, residual risk, risk metrics a

Compliance & Operational Risk Testing Analyst Senior

USAA

Aug 2019 - Dec 2022 (3 years 5 months)

• Responsible for developing the steps needed to test and analyze compliance with complex policies and procedures and laws and regulations. • Prepared and conducted appropriate, independent control testing (i.e., test of design and operating effectiveness) to ensure operational risk and compliance requirements are adhered to. • Responsible for preparing detailed and objective workpapers to support conclusions. • Identify potential control weaknesses and makes recommendations to remediate the issues.

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IT Security & Compliance Analyst (Consultant)

ATT

Oct 2015 - Dec 2016 (1 year 3 months)

• Assisted with remediation planning by providing requirements and design input to technical and process improvements. • Responsible for educating affected teams on PCI and Privacy and how to be compliant; includes providing process improvement recommendations. • Responsible for the design and management of remediation activities identified by the external Qualified Security Assessor (QSA) or IT Risk & Compliance Management. • Collected, reviewed, and submitted technical evidence of compliance to the external auditor of our company. • Regularly assessed 3rd party vendors from a security perspective. Conducted audits of vulnerabilities. • Documented compensating controls in the event they are required and do not exist based on their ana

Senior Associate – IT Audit & Advisory Services

CNM LLP

Oct 2014 - Oct 2015 (1 year 1 month)

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Senior I.T. Auditor

Mar 2005 - Jan 2007 (1 year 11 months)

Internal Audit Services • Responsible for reviewing corporate entities to assess internal controls, operational practices and compliance with company policies and regulatory requirements with the focus on information technology. • Performed systems development life cycle reviews and participated with IT project teams in identifying effective control requirements. • Planned and conducted complex IT and integrated audit projects that include ERP post implementation evaluations. • Conducted general computer and application control assessments and other specialized technical reviews. • Acted as the Auditor-in-Charge on audit assignments providing guidance to lower-level auditors; In addition, responsible for reviewing work papers, audit pr

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Senior I.T. SOx Auditor

Beckman Coulter, Inc.

Mar 2005 - Sep 2011 (6 years 7 months)

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AVP, Information Technology Audit Supervisor

First Federal Bank of California

Jun 2001 - Feb 2005 (3 years 9 months)

• Planned and executed information technology audits for the Bank including retail offices, lending & finance divisions, the IT Department and other operating departments. • Performed risk assessments of functions and activities in assigned IT areas to determine the nature of the control environment. • Responsible for reviewing local and wide area networks, e-commerce areas such as telecommunications, Internet banking, gateways, routers, firewalls, servers, and other internet technologies. • Reviewed new information technology systems, as they are being developed to ensure that adequate controls are designed and implemented and that the project is properly managed. • Developed IT audit programs and reports as well as providing guidance

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AVP, Audit Supervisor

First Federal Bank of California

Feb 1997 - Mar 2015 (18 years 2 months)

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Senior Auditor

Jan 1997 - Sep 1999 (2 years 9 months)

• Duties include planning and conducting financial and operational audits of departmental areas of the Bank. Acted as the Auditor-in-Charge on audit assignments providing guidance to lower-level auditors • Responsible for reviewing work papers prepared by assisting auditors to assure the accuracy of the information recorded. • Responsible for drafting audit programs, execute written action plans and the audit report, with conclusions and recommendations. • Responsible for developing audit program and conducting test work to satisfy the Bank's reporting requirements various regulatory acts such as Bank Secrecy Act (BSA), RESPA, Reg Z, Reg. DD, Electronic Funds Transfer Act, etc. • Performed special and unscheduled projects of a non-opera

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Auditor II

Federal Reserve Bank of San Francisco

Jan 1994 - Feb 1997 (3 years 2 months)

Duties include planning and conducting audits of departmental areas of the Bank; identifying and evaluating internal controls and conditions in Federal Reserve Bank operations; evaluating records, systems, and controls; duties also included performing PC, LAN, and Data and Information security audits; Other responsibilities include performing post-audit examinations and preparing audit programs and reports.

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AVP, Sr. IT Auditor

Cathay Bank

Internal Audit Department • Responsible for conducting complex IT and integrated audits of central operations departments, administrative departments, Information Technology departments and other business activities of Cathay General Bancorp and its subsidiaries. • Collaborated with senior management to perform risk assessments over key and high-risk IT/Business areas. • Acted as the Auditor-in-Charge on audit assignments and was responsible for the planning, coordinating, and directing the activities of assisting auditors. Reviewed work papers prepared by assisting auditors for accuracy and completeness. • Responsible for reviewing systems for adequate management controls, efficiency, and compliance with policies, regulations, and acco

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AVP, Sr. IT Auditor

City National Bank

• Responsible for reviewing systems for adequate management controls, efficiency, and compliance with policies, regulations, and accounting principles. • Performed pre-audit analyses and risk assessment, design audit programs and leads moderate to complex IT audit reviews (such as Information Security, Network and other IT Infrastructure, Database, Change Management) to evaluate the adequacy and effectiveness of the company's technology control environment. • Responsible for identifying potential areas of risk exposure to evaluate their significance, improve system controls, reduce expenses and improve earnings. • Performed walkthroughs and produced process mapping while identifying risks, controls, control gaps and process improvements.

Anthony P. Ambeguia

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