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<pre>Array ( [var] => cut_url ) </pre> Resume for Pamela P. for Executive Manager / Financial Services in Milford, Connecticut. Search More Resumes for Executive Manager on #SFZL3V9RF

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Resume for Pamela P. for Executive Manager / Financial Services in Milford, Connecticut

Occupation: Executive Manager Industry: Financial Services
Country: United States City: Milford
State: Connecticut ZIP: 06460

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PAMELA A. P., MA, CPA Candidate

Orange Avenue, Milford, Connecticut h .. c ..

Additional information at


Summary of Skills

Accomplished professional with underlying skills in operations and IT that make for strong auditing, risk, and regulatory compliance.   Skilled in general accounting and the understanding of endtoend business processes. Knowledge of Capital Markets, Equities and Fixed Income products.  A leader with proven success at managing multiple projects across global and fastpaced, challenging environments. Possess superior people management skills and the ability to inspire staff.  


Enterprise Risk Management Fraud Investigations Audit Methodologies

GAAP Information Technology    Business Analysis

Process Improvement Trading Floor Environment Risk Controls 

Selected Accomplishments

Performed SOX audit preparation for Mizuho Capital, reducing compliance expenses $K. Recruited to replace Big accounting firm. Led companywide review of prior year audit and responses. Gained buyin for process by workforce. Successfully completed annual audit groundwork on time.

Reengineered business processes at Citigroup, ensuring tight controls. Assigned to complete preparation for departments. Led team with business unit owners, revising processes and documentation and preparing for internal audit. Completed reviews ahead of assigned schedule, enabling all departments to successfully pass audits with no comments from examiners.



Owner/Principal   Jan’ to Present                                                               

Consulted with clients on financial projects including SOX audit, credit review, factoring, and company reorganization and tax preparation.  Working with Fortune clients on preventing fraud based risks with fraud prevention software.  Contributing author to various risk and compliance publications.


Assistant Vice President – Finance and Compliance Jan’ to Dec’

Led all SOX activities including IT controls and performed annual testing of internal controls to identify control problems and to ensure proper recording of trades in accordance with FASB, FED, GAAP and NYS Banking laws, COSO, and related expenses for tax purposes.  Business processes reviewed included Front, Back, Middle office, Market Risk, Capital Reporting Basel II, Finance and Collateral Margin. Coordinated with Internal Audit, external auditors and senior Japanese audit management to ensure accuracy of control information.

  • Mentored and trained a staff of on the use of the Risk Control Matrix RCM.

    CITIGROUP    New York, NY

    Vice President – GWM CPB/ SB – Operational / Business Risk Management Feb’ to Aug’

    Ensured Sarbanes Oxley and audit compliance for multiple divisions, creating internal control tests to identify control problems and weakness, performed tests and suggested corrective action plans. Analyzed businesses for potential risks and created process flow diagrams. Assisted business owners to think outside their departments and to partner with strategic businesses. Business process reviewed included: Front Office, Finance, FA Compensation, Legal, Stock Plans, Trading, Treasury, Margin Lending, Mutual Funds, Marketing, Human Resources and Alternative Investments. 

  • Prepared SOX documentation in compliance with COSO, FSA, Swiss, FED and AUS regulatory authorities.
  • Reviewed SAS audit report findings and conclusions as part of annual SOX compliance audit.
  • Reviewed department procedures and COB plans as well as AML, KYC, EUC and IT supporting controls.
  • Performed due diligence on Legg Mason acquisition, fraud investigation, tax reporting and other special projects.
  • Coled with Compliance and Audit regarding audits local and global London, Geneva, Sydney and Zurich.

    CONSULTING PROJECTS                                                                            New York, NY; Jersey City, NJ; and Stamford, CT

    Project Leader Mar’ to Dec’

    Consulted with clients on auditing and technology projects, ensuring on time, within budget project completion.

  • Coled the merger of financial and activitybased information between JPMorgan Chase and Bank One by reconciling the general ledgers into and testing all information to ensure accuracy. Coordinated project updates and tracked project to ensure on time completion. Data mined to ensure correctness of underlying financial figures.
  • Implemented a webbased P&L system from an Access database for client Deutsche Bank in the Equity Derivatives Dept., performing UAT testing and training staff/auditors throughout the project. Worked with technology department to correct system issues.
  • Oversaw initial SOX implementation for client MemberWorks, performing testing of controls and establishing procedures to ensure all financial functions successfully completed audit.
  • Partnered with Unilever’s IT department and British Telecom to compile a database of companies to calculate a dollar value of all telecom expenditures and assets. Maintained project schedule to ensure timely completion.
  • Closed books and created new budget accounts when GE Capital split into distinct entities. Synchronized with business units and GEIndia to ensure that accounts were set up.  Transitioned financial information to new entities.
  • Streamlined Sherman & Sterling’s telecom equipment department and reduced expenses %. Strengthen procedures to order equipmentkeeping costs under control. 


    Equity Research Apr’ to Feb’

    Researched stocks when companies made quarterly earning announcements and reviewed analysts’ buy recommendations to ensure they met compliance and regulatory rules.

  • Updated daily prices and currency changes in global equities to ensure proper mark to market valuation.
  • Created financial models and projected EPS for covered companies, ensuring that research was in line with Wall Street projections.


    Accounting Officer Jan’ to Nov’

    Oversaw financial aspect of corporate launch. Established/maintained client and company bank accounts, reviewed daily bank balances, performed financial operations and supported auditing. Tracked all deal related and billable expenses to ensure proper booking for tax reporting and reflect true deal cost.  Also worked in London and Dublin offices.

  • Implemented analytical financial systems and established all financial policies.
  • Calculated daily P& L. Generated general ledger, accounts payable and receivable entries.
  • Closed company entities each month and generated financial statements.  Created yearly budgets.
  • Liaised with banks, investors, third parties and custodians on wire transfers, as well as outside accounting firms on expatriate and foreign employee taxes and annual audits.  Coordinated issuance of commercial paper.
  • Produced quarterly SEC FOCUS reports and executed procedural and functional audits in anticipation of the NASD.

    Master of Arts in Organizational Management University of Phoenix Phoenix, Arizona

    Bachelor of Science in Accounting University of Phoenix Phoenix, Arizona


    AICPA Learning IFRS Key Concepts 

    Candidate, Certified Public Accountant Exam

    Member, American Institute of Certified Public Accountants AICPA.

    Member, Institute of Internal Auditors IIA

    Member, Regulatory Compliance Association 


    Technically proficient in SAP Accounting System, Oracle, Hyperion, Essbase, PeopleSoft, AllClear Flowcharting, First Call, Bloomberg, Test Director, Excel, Word, PowerPoint, Project, Visio and Access.

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