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Click here or scroll down to respond to this candidate Candidate's Name , Jr., CAMS Street Address ( PHONE NUMBER AVAILABLE Home ( (631) 901-8878 Cell (EMAIL AVAILABLE___________________________________________________________________________________________________Internal Audit Professional known for innovative and best practiceapproaches to planning and executing audits from inception to completion.Well disciplined with proven ability to mange multiple assignmentsefficiently under tight deadline schedules. Strong team builder fostersatmosphere that encourages talented professional to balance high-levelskills with maximum production.CompetenciesEquities Private Equity FRB Rules & RegulationsAML Rules & RegulationsFutures Private Banking CFTC Rules & RegulationsOFAC Rules & RegulationsOptions Capital Markets NYSE Rules & RegulationsSecurities Act of 1933Derivatives Asset Management OFAC Rules & RegulationsSecurities Exchange Act of 1934Commodities Investment Banking FINRA Rules & RegulationsInvestment Advisory Act of 1940Fixed Income Investment Advisory AB&C Rules & RegulationsInvestment Company Act of 1940ExperienceCitigroupSenior Vice President, Senior Control OfficerGlobal Anti-Money Laundering/Sanctions Compliance Testing Team 04/14 - Present . Contribute to strategic direction of Citi's Global AML/Sanctions Compliance Testing function in the establishment of risk based reviews, which include methodologies, organizational design, as well as effective positioning of function to ensure provision of independent assurance. . Use communication, leadership, and management skills to influence wide range of internal audiences including respective product, function, or regional executive management partners as well as external audiences including regulators and external auditors. . Direct complex review activities for component of product line, function, or legal entity at regional/country level, including a portion of Global AML/Sanctions Compliance Testing's annual plan. Responsible for providing valued and timely independent assurance on design as well as operating effectiveness of sub set of product, function, or legal entity at a global/regional level. . Responsible for delivery of value-added multiple concurrent reviews on time and to specification. . Ensure delivery of review reports that are complete, insightful, timely, error free and concise. . Ensure timely delivery of regulatory and Global AML/Sanctions Compliance Testing review issue validation as well as issue validation on other remediation actions, including issues arising from external auditors, consultants, and other parties. . Contribute towards delivery of high impact reports of Global AML/Sanctions Compliance Testing's contributions to executive management as well as regulators, including development of trend analysis and thematic reporting. . Deliver learning and development programs. Develop approaches to promote knowledge sharing as well as promulgate management best practices across Global AML/Sanctions Compliance Testing. . Collaborate across business and functions to improve Global AML/Sanctions Compliance Testing's coverage and reporting on common high risk areas such as KYC, AML, Fraud, Technology, Sanctions, Consent Order, as well as other enforcement action compliance.Capital One BankVice President, Senior Audit ManagerAnti-Money Laundering/Sanctions Compliance Audit Team11/12 - 04/14 . Managed and performed AML/Sanctions audits. Responsible for risk assessment, audit planning, audit testing, control evaluations, report drafting, as well as follow-up and verification of issue closure. . Established strong working relationships with AML Compliance management. . Worked closely with AML/Sanctions Compliance audit colleagues in the early identification of emerging control issues and reporting them to Audit management and business stakeholders. . Developed recommendations to strengthen internal controls and improve operational efficiency. . Drove plan creation, execution and changes based on changing business risk profile. . Performed ongoing analysis of risk trends through the development and implementation of audit coverage. . Stayed up-to-date with evolving regulatory changes and market events impacting the business.eDelta ConsultingSenior Manager, Core Assurance Services11/08 - 11/12 . Managed and performed financial, operational, and compliance audits for Banks, Broker-Dealers, Asset Managers, Hedge Funds, as well as Private Equity Firms in Asia, Europe, and the United States. Responsible for scoping and planning of audits, completing audit programs, evaluating test results as well as communicating audit results to senior management. . Coordinated various strategic initiatives for the internal audit function of a major financial services institution to transform its core activities such as internal audit methodology, audit universe, risk assessment, audit execution framework, issues management framework, management reporting, as well as audit committee reporting. . Managed implementation and subsequent beta testing of a $5 Million portfolio accounting system for a global property and casualty insurance company's asset management division. . Coordinated Rule 15c3-3 (Possession or Control) review for the global clearing operations of a leading money center bank. Scope of review included: (i) Rules & Regulations; (ii) Policies & Procedures; (iii) Processes & Controls; (iv) Securities Under Control; and (v) Excess Margin Securities. . Directed firm wide compliance review of account opening policy and procedures for the global wealth management division of a leading money center bank. . Implemented reviews of front office, back office, and control processes for cash, rate, credit, securitized, equity derivative, and credit derivative trading desks for the investment banking division of a major global bank. . Coordinated global review of funds settlement, cash reconciliation, collateral operations, market risk management, credit risk management, and risk accounting areas for the capital markets division of a major international trading company. . Performed $100 Billion multi-currency AUM reconciliation for a global asset management firm.Crawford & CompanyDirector, Internal Audit08/07 - 11/08Managed and performed financial, operational, and compliance audits ofproducts, business areas, and subsidiaries. Audit exposure included RetailBanking, Commercial Banking, Private Equity, Capital Markets, StructuredFinance, Investment Management, Asset Management, as well as Hedge FundManagement.American International GroupSenior Manager, Internal Audit09/04 - 08/07Managed and performed financial, operational, and compliance audits ofproducts, business areas, and subsidiaries. Audit exposure included RetailBanking, Commercial Banking, Private Equity, Capital Markets, StructuredFinance, Investment Management, Asset Management, as well as Hedge FundManagement.Morgan Taylor & AssociatesManager, Core Assurance Services12/90 - 09/04Managed and performed financial, operational and compliance audits forBanks, Broker-Dealers, Asset Managers, Hedge Funds, as well as PrivateEquity Firms.PricewaterhouseCoopersSenior Associate, Core Assurance Services12/88 - 12/90Supervised and performed financial, operational, and compliance audits forBanks, Broker-Dealers, Asset Managers, Hedge Funds, as well as PrivateEquity Firms.EducationBaruch College, CUNYBachelors of Business Administration, Accounting12/88MembershipsInstitute of Internal Auditors, NYC ChapterAssociation of Certified Anti-Money Laundering Specialists, NYC ChapterReferenceshttp://LINKEDIN LINK AVAILABLE?id=11191101&trk=tab_pro |
