Jonathan Romain Email & Phone Number

Beverly Hills, California, US

Beverly Hills, California, US

• Successfully lead various compliance efforts including SOX 404, SSAE 18 SOC 1 and SOC 2 reports, and SOX-readiness audits
• Prepare work papers and narratives to document processes and controls
• Perform testing of IT and financial controls to assess risk and impact of findings
• Make recommendations to senior management based on findings and monitor remediation using GRC software
• Review junior staff work papers and provide guidance while challenging their understanding of compliance requirements
• Liaise with external auditors throughout entire audit lifecycle

Beverly Hills, California, US

• Assist in/lead various compliance efforts and adherence to documented policies and procedures including SOX 404, SSAE 18 SOC 1 and SOC 2 reports, and operational audits
• Prepare audit programs, perform testing, and facilitate remediation of control findings
• Prepare narratives and reports to document processes and controls
• Responsible for IT controls and all aspects of the related documentation, walkthroughs, testing and issue resolution
• Identify opportunities for enhancing efficiency and effectiveness of operational, financial, and compliance processes
• Interface and interview management and operating personnel

Beverly Hills, California, US

• Prepared and performed operational, SSAE 18 SOC 1, and IT SOX 404 testing and facilitated remediation of control findings

Menlo Park, California, US

• Managed clients simultaneously across California to identify risks their company faced for IT SOX 302 and 404 compliance
• Assessed a wide array of systems, developed and tested IT general controls, and solved business problems for 9 different clients in the financial services, consumer products, and energy industries
• Evaluated disaster recovery plans and business continuity plans
• Analyzed data, identified control gaps, and presented findings to clients
• Drafted, edited, and finalized work papers and reports for management
• Trained new consultants to several engagements and served as a mentor during their on-boarding process

Menlo Park, California, US

• Collaborated with other interns to help organize a leadership conference for sophomores to communicate the culture, people and work of the firm
• Developed a foundation in IT SOX Compliance
• Assisted on a PCI (Payment Card Industry) Compliance engagement
• Supported management on miscellaneous audit projects, including an Internet Banking review and a Gramm-Leach-Bliley Act (GLBA) audit