Financial services auditor with over 18 years of experience covering key processes within the Markets Business including reviews over the full spectrum of products and asset classes (Equities, Fixed Income, Rates and Commodities)
Effectively managed Market Business audits from planning to reporting. Audit coverage included Equites Cash, Equities Volatility, Equities Exotics/Structured Products, Mortgage-Backed Securities, Municipal Bonds and Commodities.
Supervised complex and global reviews across a wide range of emerging risks and topics. Coverage included thematic reviews of counterparty risk management, Dodd Frank, outsourcing, algorithmic trading, independent pricing verification, and P&L reporting.
Acted as subject matter expert support on special investigations to assess rogue trading controls and identify abnormal patterns.
Managed annual audit program planning and risk assessment of regional equity trading audit entities.
Actively promoted knowledge sharing across the InternalAudit Department by offering presentations to team members and audit management on different topics including rogue trading, data analytics, special investigations, front office reviews, audit methodologies, etc.
Acted as regional lead of data analytics project identifying data sources and implementing a sustainable process for the use of data analytics in audit methodologies.
Managed, tracked, and contributed to the closure of Matters Requiring Attention (MRAs) issued by Federal Reserve Bank.
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