Joe Castillo Professional resume

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JOE CASTILLO San Gabriel, California 91776
joecastillo@aol.com  626.205.0017
SENIOR IT AUDIT, RISK MANAGEMENT & COMPLIANCE MANAGER
12+ years’ success leading auditing and risk management operations for the banking industry
Repeated success directing IT Audit, Risk Management, systems, security, and regulatory
compliance with leading financial institutions, as well as supporting organizations in financial
reporting, and writing foundational documents. Outstanding organizational, analytical, and
technical skills to manage complex technical audits; assess risks, controls, and business
operations; and to achieve maximum operational effectiveness. Facilitate problem solving, and
collaborative decision-making. Proficient in delivering written and verbal reports, able to forge
relationships with strategic partners and build consensus across multiple organizational levels.
HIGHLIGHTS OF EXPERTISE
 Comprehensive Audit Plans & Management
 Data Center Evaluation and Auditing
Infrastructure and System Reviews
 Risk Management Process Implementation
 Information Systems & Security Auditing
 Project Management Auditing
 GLBA, SOX, Privacy Compliance
 IT and Business Operations Controls
 Team Positive Leadership & Collaboration
 ATM, PIN/PCI Encryption Compliance
 Problem-solving & Troubleshooting
 Communication and Relationship Building
 Financial & Accounting Application Auditing
 FFIEC Control Assessment
 COBIT Framework Practice
 IT Process Auditing
CAREER EXPERIENCE
EAST WEST BANK, Pasadena, California
Spearheaded Enterprise and IT/IS risk management while leading FRB Exam Preparation.
IT & INFORMATION SECURITY RISK MANAGER (11/2015 to 7/2016)
Led 2nd
line defenses in challenging, identifying and evaluating 1st
line defenses against
IT/IS risks and control environments. Directed the bank’s FRB Examination Preparatory
program evaluating the control environment and implementing enhancements outlined in
11 FFIEC IT Booklets.
 Facilitated decision-making as IT, Information Security, and BCP Steering Committee
member; partnered with FRB/CDBO examiners to coordinate IT/IS regulatory
exams.
 Collaborated with colleagues to create risk assessment methods and a risk-scoring
tool that identified IT/IS risks. Also revamped IT Committee Charters and Strategies.
MUFG-UNION BANK, Monterey Park, California
Facilitated collaboration among audit and client members in directing IT Technical Audits, IT
infrastructure reviews, Project and System Reviews, as well as planning, and reporting.
AUDIT RELATIONSHIP MANAGER, VICE PRESIDENT (5/2006 to 11/2015)
Took on all audit management responsibilities including planning, documentation evaluation
and reporting. Directed Internal Audits including IT Technical Audits, IT Project and system
reviews, Application Audits, Data Center Evaluations, Mergers and Acquisitions.
 Took on critical role by contributing crucial subject matter and technical expertise that
made projects involving high-risk mainframe, servers, applications, databases, ATM
payment systems and IT technical audits achievable.

2. JOE CASTILLO Page 2
 Spearheaded organizational improvement by developing and championing value added
improvements to IT controls and business operations.
 Directed PCI compliance, ATM networks and units, PIN encryption devices, STAR PIN
Compliance (TG-3) reviews, encryption key management, ACI security reviews.
 Excelled in technical IT Infrastructure reviews for IBM z/OS (1.8, 1.10, 1.12, 2.1),
Computer Associates Top Secret, IBM RACF, TCP/IP, FTP protocols; Data Centers,
Computer Operations, Tandem NSP, AS/400, MS Windows, UNIX, Atalla NSP;
 Directed application, general controls and privacy reviews, Sarbanes-Oxley (SOX, SOC1,
SOC2), FFIEC, PCI/DSS, GLBA audits.
BANK OF THE WEST, Monterey Park, California
Directed team collaboration while coordinating audit execution and reporting for management.
SENIOR IT AUDITOR, ASSISTANT VICE PRESIDENT (6/2005 to 5/2006)
Organized IT General Controls, application, Sarbanes-Oxley (SOX), FFIEC, and GLBA audits
from initial planning to finally reporting; also directed IT Technical audits including MS
Windows, IBM Mainframe, Disaster Recovery/BCP, transmission and network technologies,
computer operations.
 As an outstanding communicator and organizer spearheaded success, leading audits at
every stage – planning, management, scheduling, documentation, and final reporting.
ADDITIONAL EXPERIENCE
Elementary & High School Teacher (2002-2005)  Holy Family High School, Glendale, CA
Author & Newspaper Journalist (2007-2017)  Freelance, San Gabriel Valley, CA
EDUCATION & CREDENTIALS
BACHELOR OF SCIENCE IN INFORMATION SYSTEMS RESEARCH, WITH MINOR IN HISTORY
California State University – Los Angeles, Los Angeles, California
CLEAR DESIGNATED SUBJECTS VOCATIONAL EDUCATION TEACHING CREDENTIAL, Full Time,
Courses: Computer Applications and Operations
California State Department Education
ASSOCIATE OF ARTS IN BUSINESS DATA PROCESSING AND MATHEMATICS SYSTEMS
East Los Angeles College – Los Angeles, Los Angeles, California
Certifications: Certified Information Systems Auditor (CISA); Certified Technical Guide Auditor
(CTGA); Grant Writing Certificate, Grant Writing USA;
Technical Proficiencies: MS Windows, IBM Mainframe technologies, General Controls Review/BCP,
SOX, GLBA, PCI-DSS controls, IBM z/OS (1.8, 1.10, 1.12, 2.1), Computer Associates Top
Secret, IBM RACF security software, TCP/IP, FTP protocols; Tandem, AS/400, UNIX platforms;
Atalla NSP.
Affiliations: Information Systems Audit and Control Association (ISACA) Member; Technical and
Audit Topic Conference Presenter; Native Sons of the Golden West Board Member; Historical
Preservation Foundation Vice-Chairman; Volunteer Financial and Accounting Reporting
Consultant.