Throughout my career in financial firms, as part of my function, I have done procedural, policy and transactional testing to ensure the maintenance of operating efficiencies and to mitigate risk. I have accomplished this through the thorough examination of the firm’s environment and the regulations that apply to its daily operations. Then, I determine those areas that have the highest risk factor in unison with the management of the areas and increase the sampling appropriately to give management a clear understanding of where their risks lie. This is made possible by delivering management clear and concise reports on a monthly and quarterly basis and when necessary recommending solutions for deficiencies identified.I am an individual who prides himself on dedication and perseverance in accomplishing the tasks I am assigned. I am an independent problem solver who is able to identify operational and procedural deficiencies. Wherever I have worked I have been able to communicate with management of the business units I have audited and design a thorough testing program to address the concerns and potential risks of the area. Then I report my findings in a clear and concise manner to better aid management.Part of my approach to auditing has always been not to present myself as a police officer to the area I am assigned to but as a partner who helps to improve the functions and keep these areas conforming to their regulatory requirements. It is this attitude which enables me to maintain a good working relationship with my peers and management.I have extensive background in transactional, policy and procedural testing as well as compliance with regulatory requirements, such as the Bank Secrecy Act, Know Your Customer data and Anti Money Laundering requirements.
Oct 2009 - Dec 2009
The Downtown Alliance presents a wide array of events throughout the year, including walking tours, public art and musical performances to enhance Lower Manhattan and supports the businesses in the area.
- Provided information to visitors promoting local businesses and the World Trade Center site in downtown Manhattan.
Apr 2009 - Jun 2009
MediaMorph Manages the Business of Digital Entertainment - Making it More Measurable, Transparent and Predictable. Providing the firm with guidance in preparing for a SAS 70 Type I audit.
Apr 2009 - Jun 2009
Jump Start NYC Fellow
The Levin Institute
Specifically designed for people with at least 3+ years experience in financial services firms who have recently lost their jobs, JumpStart NYC is a three-month educational program to help you apply your knowledge, skills, and abilities in opportunities beyond financial services. One of Mayor Bloomberg’s recent initiatives to boost the New York City economy, JumpStart NYC is designed to help people explore opportunities in New York’s start-up economy, or in other service firms.
Feb 2007 - Nov 2008
Bank of New York Mellon
Developed and reported on procedural and transactional tests performed, providing management with operational and regulatory controls to minimize and avoid risks and achieve “Satisfactory and above” audits.
Aug 2005 - Feb 2007
LOMTO Federal Credit Union
Performed compliance and operations tasks for the Credit Union and ensured BSA compliance by the Credit Union.
Oct 1996 - Oct 2004
Operations Risk Manager
Managed staff and oversaw audits covering all aspects of regulatory rule 17A-13 involving issues of possession and control of the firm’s books and records.
Jun 1987 - Oct 1996
Audit and Escheatment Specialist
Tracked differences and responses from 17A-13 audits and items suspended for 15C3-3, Customer Reserve calculation. Reported and remitted unclaimed property to include reconciliation of accounts, review of state escheatment laws/procedures and reviewed accounting entries.