The manager of the IT department has decided that an internal IT audit needs to be conducted. She expresses concerns about not having a solidified plan of action to ensure business continuity and compliance, as the business grows. She believes an internal audit can help better secure the company’s infrastructure and help them identify and mitigate potential risks, threats, or vulnerabilities to critical assets. The manager is also interested in ensuring that they comply with regulations related to accepting online payments and conducting business in the European Union (E.U.).
The IT manager starts by implementing the National Institute of Standards and Technology Cybersecurity Framework (NIST CSF), establishing an audit scope and goals, and completing a risk assessment. The goal of the audit is to provide an overview of the risks the company might experience due to the current state of their security posture. The IT manager wants to use the audit findings as evidence to obtain approval to expand his department.
Your task is to review the IT manager’s scope, goals, and risk assessment. Then, perform an internal audit to complete a controls assessment and compliance checklist.
analyze the audit scope, goals, and risk assessment :
You receive the following email from your IT manager:
Hello!
I have completed the audit scope and goals, as well as a risk assessment. At a high level, the main goals and risks are as follows:
Goals:
Improve Botium Toys’ current security posture by aligning to industry best practices (e.g., adhere to the NIST CSF, implement concept of least permissions)
Provide mitigation recommendations (i.e., controls, policies, documentation), based on current risks
Identify compliance regulations Botium Toys must adhere to, primarily based on where we conduct business and how we accept payments
To review the full report, read the Botium Toys: Audit scope and goals document
Risks:
Inadequate management of assets
Proper controls are not in place
May not be compliant with U.S. and international regulations and guidelines
Current risk score is 8/10 (high), due to a lack of controls and adherence to compliance regulations and standards
To review the complete list of assets and risks, read the Botium Toys: Risk assessment document
Thank you, Botium Toys IT Manager
After you review the audit scope, goals, and risk assessment, consider the following questions: What are the biggest risks to the organization? Which controls are most essential to implement immediately versus in the future? Which compliance regulations does Botium Toys need to adhere to, to ensure the company keeps customer and vendor data safe, avoids fines, etc.? Then, move on to the next step.
conduct the audit: controls assessment & Compliance checklist
Here are the completed exemplars along with an explanation of how the exemplars fulfill the expectations for the activity. Links to exemplars:
- Controls assessment exemplar.
- Compliance checklist exemplar.
analyse the audit results
Review the controls assessment and compliance checklist you completed in “Conduct a security audit, part 1” and consider the following, before moving on to the next step:
What were the audit scope and goals? What were the critical findings of the audit that need to be addressed immediately (i.e., What controls and/or policies need to be implemented immediately)? What were the findings (i.e., What controls and/or policies that need to be addressed in the future)? How can you summarize your recommendations clearly and concisely to stakeholders?
Here is a completed exemplar along with an explanation of how the exemplar fulfills the expectations for the activity. Link to exemplar:
- Stakeholder memorandum exemplar
Date: May 12, 2028
Description: Conducted a comprehensive network security audit for ABC Corporation, a medium-sized financial services firm, to assess the overall security posture of their network infrastructure. Objectives: Identify vulnerabilities, assess network configurations, and recommend security enhancements to protect sensitive financial data.
Audit Scope:
- Reviewed network architecture and topology.
- Assessed firewall configurations, intrusion detection systems (IDS), and intrusion prevention systems (IPS).
- Conducted vulnerability scans using industry-standard tools.
- Analyzed network traffic logs for signs of unauthorized access.
Audit Findings:
- Identified misconfigured firewall rules that exposed internal systems.
- Detected outdated software versions with known vulnerabilities.
- Observed suspicious network traffic patterns indicating potential intrusion attempts.
- Highlighted weak password policies on critical network devices.
Recommendations:
- Reconfigure firewalls to restrict unnecessary inbound traffic.
- Implement a patch management process to keep software up-to-date.
- Strengthen password policies and enforce multi-factor authentication (MFA).
- Enhance network monitoring and incident response capabilities.
Description: Conducted a cloud security assessment for XYZ Tech, a fast-growing technology startup, to evaluate the security of their cloud infrastructure hosted on AWS (Amazon Web Services). Objectives: Identify cloud-specific security risks and provide recommendations for securing cloud resources and data.
Audit Scope:
- Reviewed AWS configurations, including Identity and Access Management (IAM) settings.
- Analyzed cloud resource logs for unusual activities.
- Assessed data encryption practices and access controls.
- Evaluated compliance with AWS best practices and industry standards.
Audit Findings:
- Identified overly permissive IAM roles and policies.
- Observed unauthorized access attempts to sensitive cloud resources.
- Discovered unencrypted data storage buckets containing sensitive customer information.
- Found deviations from AWS Well-Architected Framework recommendations.
Recommendations:
- Revise IAM policies to follow the principle of least privilege.
- Implement stronger access controls and monitor access logs for anomalies.
- Encrypt data at rest and in transit using AWS encryption services.
- Align cloud architecture with AWS best practices for security and compliance.
Description: Conducted an application security assessment for a mobile banking app developed by a financial institution to ensure the security and privacy of customer data.
Objectives: Identify vulnerabilities in the mobile app that could lead to data breaches or unauthorized access.
Audit Scope:
- Conducted dynamic and static code analysis to identify vulnerabilities.
- Evaluated the security of data transmission and storage.
- Assessed authentication and authorization mechanisms.
- Tested the app against OWASP (Open Web Application Security Project) Top Ten vulnerabilities.
Audit Findings:
- Discovered a SQL injection vulnerability in the login process.
- Found that sensitive data was stored in plain text on the device.
- Identified weak session management practices.
- Detected insufficient input validation leading to potential code execution.
Recommendations:
-
Patch the SQL injection vulnerability and implement input validation.
-
Encrypt sensitive data stored on the mobile device.
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Enhance session management and implement secure coding practices.
-
Regularly test the app for security vulnerabilities and provide security training for developers.
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These examples demonstrate your ability to conduct security audits across various domains, including network security, cloud security, and application security. Customize them as - --needed to reflect your experiences and achievements as a cybersecurity analyst.
Description: Conducted a third-party vendor security assessment for DEF Healthcare, a healthcare provider that relies on multiple vendors for patient management systems and billing services.
Objectives: Evaluate the security controls and practices of third-party vendors to ensure the protection of patient data.
Audit Scope:
- Reviewed vendor contracts and agreements.
- Assessed vendor cybersecurity policies and practices.
- Conducted vulnerability assessments on vendor systems.
- Analyzed the handling of patient data by vendors.
Audit Findings:
- Discovered that a vendor stored patient data on unencrypted servers.
- Found that a vendor had inadequate incident response procedures.
- Identified weak access controls on a vendor's portal.
- Noted discrepancies in compliance with HIPAA (Health Insurance Portability and Accountability Act) requirements.
Recommendations:
- Require encryption of patient data at rest and in transit.
- Establish contractual obligations for incident response and data breach notification.
- Implement strong access controls and multifactor authentication (MFA).
- Conduct regular third-party security audits to ensure ongoing compliance.
Description: Conducted a social engineering awareness assessment for GHI Corporation, a large manufacturing company, to evaluate the susceptibility of employees to social engineering attacks.
Objectives: Assess employee awareness of social engineering threats and evaluate the effectiveness of security training programs.
Audit Scope:
- Conducted simulated phishing campaigns.
- Tested employees' response to unsolicited phone calls and emails.
- Analyzed the effectiveness of security awareness training.
- Assessed the reporting of suspicious activities.
Audit Findings:
- Found that 30% of employees clicked on simulated phishing links.
- Identified instances of employees sharing sensitive information during phone calls.
- Noted that security awareness training was outdated.
- Received low levels of reporting for suspicious emails and calls.
Recommendations:
- Enhance security awareness training with real-world scenarios.
- Conduct regular phishing simulations and provide feedback to employees.
- Encourage employees to report suspicious activities promptly.
- Implement stricter controls on sharing sensitive information.
Description: Conducted a physical security assessment for JKL Data Center, a facility hosting critical IT infrastructure for multiple clients.
Objectives: Evaluate the physical security measures in place to protect data center facilities and client assets.
Audit Scope:
- Reviewed access control systems, surveillance, and monitoring.
- Assessed security policies and procedures.
- Conducted penetration testing to assess vulnerabilities.
- Analyzed compliance with industry standards and regulations.
Audit Findings:
- Identified a blind spot in the surveillance camera coverage.
- Noted a lack of access control for a maintenance entrance.
- Discovered unauthorized personnel accessing the facility.
- Found non-compliance with ISO 27001 physical security standards.
Recommendations:
- Enhance surveillance coverage to eliminate blind spots.
- Implement access controls for all entrances, including maintenance points.
- Conduct regular security training for staff.
- Achieve ISO 27001 physical security certification.
These additional examples showcase your expertise in assessing various aspects of cybersecurity, including third-party vendor security, social engineering awareness, and physical security. Customize them to fit your experiences and achievements as a cybersecurity analyst.
Date: August 22, 2029Description: Conducted a network security assessment for ABC Corporation, a medium-sized financial institution, to evaluate the resilience of their network infrastructure against cyber threats.
Objectives: Assess the effectiveness of network security controls and identify vulnerabilities.
Audit Scope:
- Reviewed network architecture and diagrams.
- Conducted vulnerability scanning and penetration testing.
- Analyzed firewall configurations and access control lists.
- Assessed network monitoring and incident response procedures.
Audit Findings:
- Identified outdated firewall rules that posed a security risk.
- Discovered unpatched network devices with known vulnerabilities.
- Found that network traffic was not adequately monitored in real-time.
- Noted that incident response procedures lacked specific guidance for network-related incidents.
Recommendations:
- Regularly review and update firewall rules.
- Implement a robust patch management process.
- Enhance network monitoring with intrusion detection systems.
- Develop and document detailed incident response procedures for network incidents.
Description: Conducted a cloud security review for XYZ SaaS Provider, a company offering cloud-based software services to clients in various industries. Objectives: Evaluate the security posture of their cloud infrastructure and services.
Audit Scope:
- Assessed cloud architecture, configurations, and identity and access management.
- Reviewed data encryption practices and data retention policies.
- Analyzed compliance with cloud security best practices.
- Conducted threat modeling for potential cloud-specific threats.
Audit Findings:
- Identified misconfigured security groups allowing unauthorized access.
- Discovered unencrypted data storage in certain buckets.
- Found that access keys were not rotated regularly.
- Noted non-compliance with CIS (Center for Internet Security) cloud security benchmarks.
Recommendations:
- Remediate misconfigurations promptly.
- Implement encryption for data at rest and in transit.
- Establish a key rotation policy and monitor access keys.
- Align cloud security practices with CIS benchmarks for continuous compliance.
Description: Conducted a mobile device security assessment for LMN Enterprises, a global corporation with a mobile workforce.
Objectives: Evaluate the security of mobile devices used by employees and contractors.
Audit Scope:
- Assessed mobile device management (MDM) solutions.
- Conducted mobile app security testing.
- Reviewed mobile device encryption and authentication settings.
- Analyzed policies for lost or stolen devices.
Audit Findings:
- Identified devices with outdated operating systems lacking security patches.
- Discovered mobile apps with excessive permissions.
- Found that device encryption was not enforced on all devices.
- Noted a lack of specific procedures for reporting lost or stolen devices.
Recommendations:
- Implement a robust MDM solution for device management.
- Enforce regular OS updates and security patches.
- Review and restrict app permissions.
- Develop and communicate clear procedures for lost or stolen devices.
These examples further demonstrate your skills in assessing diverse aspects of cybersecurity, including network security, cloud security, and mobile device security. Customize them to showcase your expertise in these areas.
Date: February 12, 2030Description: Conducted a web application security assessment for EFG Online Banking, a financial institution with a web-based banking portal.
Objectives: Evaluate the security of their online banking application and identify vulnerabilities.
Audit Scope:
- Conducted dynamic application security testing (DAST) on the banking portal.
- Performed source code review for critical components.
- Assessed authentication and authorization mechanisms.
- Reviewed session management and input validation processes.
Audit Findings:
- Identified multiple SQL injection vulnerabilities in the login and transaction processing functions.
- Discovered insecure direct object references allowing unauthorized access to account data.
- Found that password policies did not enforce strong password requirements.
- Noted that session cookies lacked secure attributes
Recommendations:
- Immediately patch and remediate SQL injection vulnerabilities.
- Implement robust input validation to prevent injection attacks.
- Enhance password policies to enforce strong password requirements.
- Apply secure attributes to session cookies for better protection.
Description: Conducted a physical security assessment for PQR Data Center, a critical infrastructure facility hosting sensitive data for multiple clients.
Objectives: Evaluate the physical security controls in place to protect data center assets.
Audit Scope:
- Inspected access control systems, including biometrics and card readers.
- Reviewed surveillance camera placements and monitoring.
- Assessed visitor logs and badge issuance procedures.
- Analyzed physical access restrictions and perimeter security.
Audit Findings:
- Identified a malfunctioning biometric reader at a critical access point.
- Discovered blind spots in surveillance camera coverage.
- Found incomplete visitor logs and inadequate badge issuance controls.
- Noted that some exterior doors lacked proper access controls.
Recommendations:
- Repair or replace the malfunctioning biometric reader.
- Extend camera coverage to eliminate blind spots.
- Enhance visitor log completeness and badge issuance controls.
- Implement access controls for all exterior doors.
Description: Conducted an insider threat assessment for UVW Technologies, a technology company with a history of sensitive data leaks.
Objectives: Evaluate the organization's susceptibility to insider threats and assess existing monitoring and prevention measures.
Audit Scope:
- Reviewed user access privileges and monitoring.
- Analyzed data access patterns and file transfer logs.
- Assessed employee training and awareness programs.
- Conducted interviews with IT staff and management.
Audit Findings:
- Identified several employees with excessive access privileges.
- Discovered unusual data access patterns by a group of employees.
- Found that employee training on insider threats was limited.
- Noted a lack of clear procedures for reporting suspicious activity.
Recommendations:
- Implement the principle of least privilege to restrict user access.
- Enhance monitoring of data access and file transfers.
- Develop comprehensive insider threat training for employees.
- Establish clear reporting procedures for suspicious activity.
These examples illustrate your expertise in various cybersecurity domains, including web application security, physical security, and insider threat assessment. Customize them to highlight your specific skills and accomplishments in these areas.
Date: September 5, 2030Description: Conducted a comprehensive network security assessment for XYZ Corporation, a global manufacturing company with multiple office locations.
Objectives: Evaluate the overall security posture of the corporate network and identify vulnerabilities.
Audit Scope:
- Performed a vulnerability scan on all network devices.
- Reviewed firewall configurations and rules.
- Assessed the security of remote access and VPN solutions.
- Conducted a network traffic analysis to detect anomalies.
Audit Findings:
- Identified outdated firmware on network routers and switches.
- Discovered overly permissive firewall rules that posed a security risk.
- Found weak encryption protocols in use for remote access.
- Noted unusual patterns of network traffic suggesting potential intrusions.
Recommendations:
- Update firmware on all network devices to the latest versions.
- Review and tighten firewall rules to follow the principle of least privilege.
- Upgrade remote access solutions to use stronger encryption.
- Implement a network intrusion detection system (NIDS) to monitor for suspicious activity.
Description: Conducted a cloud security assessment for ABC Software as a Service (SaaS) provider, a company offering cloud-based applications to customers. Objectives: Evaluate the security of their cloud infrastructure and data handling practices.
Audit Scope:
- Reviewed AWS and Azure configurations for compliance.
- Assessed data encryption at rest and in transit.
- Analyzed identity and access management (IAM) policies.
- Examined incident response and data breach notification procedures.
Audit Findings:
- Identified publicly exposed cloud storage buckets with sensitive data.
- Discovered inadequate encryption for data at rest.
- Found overly permissive IAM policies allowing excessive access.
- Noted incomplete incident response procedures.
Recommendations:
- Securely configure cloud storage buckets and restrict public access.
- Implement strong encryption for data at rest.
- Review and refine IAM policies to follow least privilege principles.
- Enhance incident response procedures and practice data breach notifications.
Objectives: Evaluate the security of their IoT devices and ecosystem.
Audit Scope:
- Assessed the security of device firmware and software.
- Reviewed device authentication and access controls.
- Analyzed data transmission and encryption practices.
- Tested the resilience of devices to physical tampering.
Audit Findings:
- Identified outdated firmware in some devices.
- Discovered hardcoded credentials in device software.
- Found weak encryption practices for data transmission.
- Noted physical vulnerabilities in device housing.
Recommendations:
- Establish a regular firmware update process for IoT devices.
- Remove hardcoded credentials and implement strong authentication.
- Enhance data encryption for device-to-cloud communication.
- Improve physical security mechanisms for device housing.
These examples cover a range of cybersecurity assessments, including network security, cloud security, and IoT device security. Customize them to showcase your expertise and contributions as a cybersecurity analyst in different domains.