Vice President - Regional SOX Manager
Key member of the one-year U.S. Regional Organization, solely responsible for implementing SOX at the consolidated U.S. Operations level. Primary ownership and full responsibility for Consolidated US SOX Testing
Bank of America
, Vice President, Senior Audit Supervisor
- ♦ Worked on the MRA Validation audit team tasked with reconciling Operational Risk and Anti-Money Laundering (AML) regulator identified issues.
- Validated SPF / PEP MRA issues to ensure the bank implemented an effective risk-based due diligence, monitoring and reporting system.
- ♦ Executed independent review of accounts and customer details to validate proper SPF / PEP designations and to ensure timely monitoring aligned to designated risk levels.
- ♦ Reviewed AML policies and procedures to ascertain deficiency gaps and elevate to regulatory compliance.
Ernst & Young LLP
- ♦ Managed, supervised and executed various engagements within the Advisory Services practice.
- ♦ Key Engagement experiences included: ♦ Fraud: Multi-year role (Staff through Manager) on a risk based financial / compliance audit engagement team with a focus on AML, Fraud, Waste and Mismanagement.
- ♦ Internal Audit: Risk Assessment, Operational and Third-Party Vendor Audits for multiple clients.
- ♦ SOX: Oversaw multiple engagements responsible for implementing, assessing and performing detailed testing for clients US and Global SOX client programs.
- ♦ Member of the Enterprise Risk & Assurance Services (ERAS) group tasked with annual audits for the consumer, corporate card and travel business services.
- ♦ Participated on the High-Net Worth special AML investigative audit project related to account pre-authorization requests and customer due diligence through: ♦ Review and analysis of Customer Identification Program (CIP) tracking documentation.
- ♦ Research and due diligence procedures to validate customer details and flexible spending accounts.
- ♦ KYC (Know Your Customer) identity risk mitigation, per section 326 of USA Patriot Act. ♦ AML special investigative audit review of the Money Services Business (Franchise Travel Office) through: ♦ Review and analysis of the Customer Due Diligence process and controls for owners.
- ♦ Examination and analysis of AMEX transactional activity to trace potential money laundering activities.
- ♦ Suspicious Activity Reports (SARs) scrutiny and reconciliation.
- ♦ Aided clients in the preparation and filing of financial statements & disclosures per annual audits for various regulatory agencies.
- ♦ Performed integrated audit (SOX "404") testing of controls and detailed testing of multiple areas for interim and year-end audits by executing a developed audit plan to identify and resolving exceptions.
- ♦ Compiled financial statement analytics by addressing expectations and providing detailed explanations of variances.
Utica College, Certificate - Financial Crime Investigation
Utica College, Master of Business Administration - Economic Crime & Fraud Management
- SARBANES OXLEY
- SARBANES-OXLEY (SOX)
- INTERNAL AUDIT
- RISK ASSESSMENT
- VENDOR AUDITS
- DUE DILIGENCE
- FINANCIAL STATEMENTS
- REGULATORY COMPLIANCE
- BUSINESS SERVICES
- FRAUD INVESTIGATION
- OPERATIONAL AUDITS
- FINANCIAL AUDIT
- PROCESS DOCUMENTATION
- REGULATORY REPORTING
- TEST SCRIPTS