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A. P., MA, CPA Candidate
Avenue, Milford, Connecticut h .. c ..
VICE PRESIDENT AUDITING / COMPLIANCE / RISK MANAGEMENT
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
Process Improvement Trading
Floor Environment Risk Controls
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
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.
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.
CAPITAL MARKETS New York, NY
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
trained a staff of on the use of the Risk Control Matrix RCM.
New York, NY
President – GWM CPB/ SB – Operational / Business Risk Management Feb’
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.
documentation in compliance with COSO, FSA, Swiss, FED and AUS regulatory
audit report findings and conclusions as part of annual SOX compliance
procedures and COB plans as well as AML, KYC, EUC and IT supporting
diligence on Legg Mason acquisition, fraud investigation, tax reporting
and other special projects.
Compliance and Audit regarding audits local and global London, Geneva,
Sydney and Zurich.
New York, NY; Jersey City, NJ; and Stamford, CT
Leader Mar’ to Dec’
Consulted with clients
on auditing and technology projects, ensuring on time, within budget
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.
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.
SOX implementation for client MemberWorks, performing testing
of controls and establishing procedures to ensure all financial functions
successfully completed audit.
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.
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.
Sherman & Sterling’s telecom equipment department and reduced
expenses %. Strengthen procedures to order equipmentkeeping costs
LYNCH & COMPANY New York, NY
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.
prices and currency changes in global equities to ensure proper mark
to market valuation.
models and projected EPS for covered companies, ensuring that research
was in line with Wall Street projections.
CAPITAL MARKETS, INC. New York, NY
Officer Jan’ to Nov’
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.
analytical financial systems and established all financial policies.
daily P& L. Generated general ledger, accounts payable and receivable
entities each month and generated financial statements. Created
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.
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
IFRS Key Concepts
Candidate, Certified Public
Member, American Institute
of Certified Public Accountants AICPA.
Member, Institute of Internal
Member, Regulatory Compliance
in SAP Accounting System, Oracle, Hyperion, Essbase, PeopleSoft, AllClear
Flowcharting, First Call, Bloomberg, Test Director, Excel, Word, PowerPoint,
Project, Visio and Access.