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.