SUMMARY:

• Knowledge: Experienced auditor across multi - disciplinary areas including financial, operational, compliance, capital project & IT audits. Experienced in SOX 404 testing, Contract Management, General Ledger Accounting, Budget Analysis and Financial Statement preparation.
• Experienced in AML/ATF transaction monitoring & investigations. BRD and FSD of BSA regulatory compliance matters for financial institutions; including required documentation for client onboarding & screening.

TECHNICAL SKILLS:

• Expert with MS Excel spreadsheets, graphs, charts, pivot tables
• Software: Microsoft Office (Excel/Access/Word/Outlook/ Power Point),
• SQL and Visio flowcharting program. PeopleSoft
• QuickBooks, SAP,HP-ALM, QTP/UFT MAS, Hyperion, J.D
• Edwards, & Peachtree Accounting Systems.
• Paychex & ADP Payroll Systems. SharePoint, Mantis, Actimize
• WorldCheck, LexisNexis & Thomson Reuters Clear for financial services required screening.

PROFESSIONAL EXPERIENCE:

Confidential, Mooresville, NC

Quality Analyst / Business Data Analyst

Responsibilities:

• Assist in the conversion of store planning system by evaluating of quality results of store planning system prior to conversion to ensure all planograms are accurate and executable at store level.
• Obtain and document business requirements by working with Planogram Specialist / Visual Space Planner and stakeholders to understand their needs
• Wrote and executed test cases, test scripts, data sets and user procedures. Ensured testing results corresponded to Business and Functional Requirements.
• Obtains all information necessary to enable planogram mapping system production to create and manages planograms at the store level using Space Planning Software
• Generate test status report (execution results) within HP ALM/Quality Center and manage triage meeting with BA, Dev and Managers
• Performed extensive Functionality testing and Regression testing of Quotes, New Business and Policies by adding Coverage’s, Limits, sub limits and deductibles against created policies.
• Creates all planograms assigned to planogram standards including items, fixtures, displays, signage, graphics and special instructions and ensures planograms are submitted for approval on assigned date to enable reset schedule timeline

Confidential, NC

Quality Analyst

Responsibilities:

• Performed QA Validation of Capital Investment Customer profiles for compliance to Bank’s AML policy.
• QA Validation included OFAC Sanctions screening and internal Watchlist search for UARs & SARs.
• Modified Customer CIP/CDD Standards and related Procedures for adherence to the AML policies and regulations.
• Create Test Plan and Test Cases based on requirements.
• Analyzed & gathered business requirements, software requirements, functional specifications and design documents to create Test Plan and Test Cases.
• Designed manual test cases and convert them into automated suite using SOAPUI
• Conferred with line of business managers & analysts to assure customer documentation process is effectively performed.

Confidential, Charlotte, NC

Business Analyst

Responsibilities:

• Research and Analyze information on existing customers that have been alerted and escalated as prohibited entities. Based on research, provide determination as to whether entity is operating in prohibited activities and as needed confirm for closure or recommend transfer to alternative line of business.
• Performed external research entities as a part of OFAC Sanctions screening, along with internal watchlist search and review of account activity for unusual or suspicious account activity.

Confidential, NC

Business Analyst / Quality Analyst

Responsibilities:

• Support audit activities for Wholesale Banking which included: Capital Markets, Commercial Real Estate Lending, Corporate and Commercial Banking, Insurance, Structured and Asset Based Lending & Servicing and Asset Management
• Assist in the design of audit coverage, execute and/or lead audit testing where necessary.
• Understanding Software Requirement Specification and identifying the required Test Scenarios for the Projects.
• Participating in many different projects simultaneously while also engaging in emerging risk/business monitoring.
• Audit execution with a focus on audits where processes may rely heavily on application technology controls.
• Provide risk assessment and specifically, risk assessment for trading and securitization risks.
• Design and/or apply data analysis audit techniques.
• Profound experience in developing, implementing and executing test plans, test cases and test scenarios manually.
• Coordinate with other internal audit teams, including technology audit and data analysis audit team members.
• Effectively document risk assessment and audit execution in accordance with audit policy.
• Identify emerging risk and recommending adjustments to audit coverage.
• Identified financial processes and internal controls that are required for compliance with the Sarbanes-Oxley Act (SOX).
• Performed an independent external and internal screening for OFAC Sanctions, Watchlist, UAR’s & SAR’s.

Confidential, Charlotte, NC

Testing Specialist

Responsibilities:

• Conduct independent transactional and process testing on a team in support of needs identified by Compliance and Operational Risk Officers.
• Maintain ALM for projects requirements, Created Test cases and defects
• Organize the quality of testing execution, reporting and analysis of results.
• Participate in test script development and test design.
• Wrote SQL queries for backend testing of the applications
• Performed Regression testing on new builds, every modification in the application using Selenium WebDriver.
• Contribute to the identification of themes and trends at the front-line unit, control function and enterprise level.
• Identified financial processes and internal controls that are required for compliance with the Sarbanes-Oxley Act (SOX).

Confidential

Compliance Analyst / Test Analyst

Responsibilities:

• Analyze information of new and existing customers for completeness and accuracy in accordance with WISD’s KYC procedures and regulatory requirements under the Bank Secrecy Act (“BSA”), the USA PATRIOT Act, OFAC, and other relevant Anti-Money Laundering (“AML”) rules and regulations.
• Work as part of a product focused unit within the team to partner with various Global Capital Markets (“GCM”) business leaders and relationship managers to ensure each client’s KYC information is up to date.
• Serve as a Customer Identification Program (“CIP”) and Customer Due Diligence (“CDD”) subject matter expert and central information repository for business partners.
• Manage timelines related to the WISD KYC deliverables for assigned product aligned unit.
• Conduct quality assurance reviews on KYC information summarized by other members of assigned unit. Extensive interaction with immediate team members, other units within the WISD BSA/AML Operations team, management, client relationship administrators, the Corporate Compliance department, and in many cases, clients directly.
• Performed an independent external and internal screening for OFAC Sanctions, Watchlist, UAR’s & SAR’s.

Confidential

Senior Compliance Analyst

Responsibilities:

• Perform and Document account investigations. Report the investigation findings and prepare case files for review (e.g. media search results, copies of statements/checks, results from internal system searches etc.)
• Performed an independent external and internal screening for OFAC Sanctions, Watchlist, UAR’s & SAR’s.
• Responsible for communicating with internal and external entities, members of the sales team and other Citigroup AML monitoring units.
• Collect and examine financial statements and documents to assist in identifying unusual transaction patterns.
• Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations.
• Write and file Suspicious Activity Reports (SARs) and recommend relationship retention or termination and track account closures as required.
• Interact with Senior Management on the Compliance, Legal and business sectors concerning AML issues.
• Document all research and analysis conducted in the Case Management System.
• Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case.
• Liaise with other FIU units, Advisory, Business Compliance teams, CSIS, FIU Legal, GIU, and Law Enforcement.
• Conduct Cross Sector reviews among multiple Citi business lines.
• Triage cases and identify items appropriate for Senior Management escalation.
• Provide direction to more junior staff.

Confidential

QA Lead

Responsibilities:

• Investigations QA Lead for AML compliance and transaction monitoring of suspicious wire activity.
• Perform quality assurance on case summaries submitted by investigators to ensure dispositions are properly concluded, adhere to management’s protocol and assure the highest quality of work product is delivered.
• Performed an independent external and internal screening for OFAC Sanctions, Watchlist, UAR’s & SAR’s.
• Review collected and documented data, including alert, investigation, or SAR history; KYC information; relevant account and transaction data, plus any other required information to assist the investigation.
• Review completed analysis of transactional information regarding cases and assess reasonable cause toadvance the case to SAR writers or to close case.
• Experienced in using HP ALM/ Quality Center to communicate and coordinate software bug fixes, change requests, and supports high communication among the testers, developers and managers.
• Review documents and reports related to investigation findings and review case files (e.g. media search results, copies of statements/checks, results from internal system searches etc.)
• Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations.
• Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case.
• Train investigators on quality assurance procedures for future QA Lead roles.
• Extensively experienced on HP ALM/ Quality Center to write Test Cases, Execute Test Cases, Log Defects, Track Defects and Prioritize Defects.
• Address escalated issues and concerns from investigators as appropriate for advanced investigation analysis.
• Provide support for financial services of AML compliance initiatives at the direction of management.
• Interact with management, consultants and other subcontractors in order to develop and maintain positive working relationships.
• Interact with Senior Management on the Compliance, Legal and business sectors concerning AML issues.
• Participate in the development of goals and execution of strategies within the function or department.
• Serve as a subject matter expert on Bank Secrecy Act (BSA), OFAC sanctions compliance, Anti-Money Laundering & Terrorist Financing and provide guidance and advice to investigators regarding case dispositions.
• Maintain an awareness of current market place issues and stay updated with emerging regulatory requirements and guidance.

Confidential, NJ

Accountant

Responsibilities:

• Responsible for compiling, reviewing, and analyzing all assigned accounting or financial information related to the maintenance of a complete and accurate general ledger and the resulting financial analysis, managerial and analytical reports, and financial statements.
• Provide consolidation, analysis and reporting support for Regional and/or Corporate teams for financial reporting and/or rate case data analysis and support, and other reporting requirements.
• Assists with monthly, quarterly and year-end close processes, including completion of journal entries, account reconciliation, variance analysis and SOX compliance control execution.
• Performed SOX 404 tests of internal controls.

Confidential

Compliance Officer

Responsibilities:

• Testing Risk Assessment and Compliance of HSBC’s Anti-Money Laundering (AML) department
• Review and verify Customer Information File data acquired through account intake process.
• Document discrepancies found in CIF profile, in addition to print forms stored in system Archives
• Analyze customer transaction history for suspicious activity.
• Research files and documents for information on suspicious/unusual patterns of activity based on AML program policies
• Compile data and reports from documents, performing necessary calculations and reviewing data for accuracy
• Maintain accurate records of documents, compiling reports supporting AML programs
• Ensure relevant issues are escalated to appropriate stakeholders in the AML Compliance organization
• Interact with other areas within Compliance to support appropriate attainment and dissemination of information
• Identified financial processes and internal controls that are required for compliance with the Sarbanes-Oxley Act (SOX).

Confidential

Accountant

Responsibilities:

• Performed SOX 404 tests of internal controls.
• Performed detailed budget vs. actual variance analysis for multiple operational budgets.
• Exported financial reports from SAP accounting system and reformatted on excel spreadsheet.
• Interviewed budget managers, business process owners and department heads to examine budget variances and discuss corrections, adjustments and mitigating factors.
• Prepared budget reconciliations and posted adjusting entries.
• Validated budget data and assembled reports according to management requests.
• Prepared progress reports and presented to management the results and recommendations determined as a result of budget analysis.
• Reviewed forecasts, financial reports and support documents to assist in budget approval process.
• Provided financial data in a variety of reporting formats e.g. spreadsheets & narrative reports.

Confidential, West Palm Beach, FL

Auditor/Accountant

Responsibilities:

• Audited grant related payment requests for regulatory compliance & posted payments in accounting system.
• Corresponded with other county departments to resolve grant compliance and payment issues.
• Performed financial data analysis and developed associated financial reports.
• Reviewed and prepared budget requests, prepared forecast of revenues & expenditures.
• Prepared bank reconciliations and posted adjustment entries.
• Validated budget data and assemble reports according to management requests.

Confidential, FL

Field Operations Supervisor

Responsibilities:

• Supervised office staff responsible for compiling data received from the field and reporting to regional office.
• Oversaw branch operations, assignment preparation and distribution, quality checks, data entry and shipping activities.
• Maintained the flow and quality of completed work, making adjustments to expedite production.
• Trained field and office staff in operating procedures as determined by management

Confidential, PA

Staff Auditor

Responsibilities:

• Identified financial processes and internal controls that are required for compliance with the Sarbanes-Oxley Act (SOX).
• Work in cooperation with Process Owners in developing supporting SOP documentation.
• Performed internal control testing including preparation of comprehensive supporting work papers.
• Assess testing and determine action plan for remediation.
• Developed detailed project plans, prepare presentations regarding current projects and present to various levels within the organization.
• Performed additional compliance functions including preparation of business policies and process improvement initiatives - in particular with HR for payroll & fringe benefits accounting procedures.
• Performed detailed budget vs. actual variance analysis for multiple operational budgets.
• Performed various accounting services (e.g. bank reconciliations, A/R & A/P, Payroll, Fixed Asset valuation and Inventory turnover calculations).
• Financial statement preparation, G/L Quarterly Adjusting &Year End closing entries.

Confidential, Philadelphia, PA

Internal Auditor

Responsibilities:

• Perform Compliance audits verifying adherence to Federal Regulations.
• Investigate cases of fraud and reported findings to the Inspector General Office.
• Develop Audit procedures for Public Housing Developments.
• Evaluate resident case files and determined property management resolutions.
• Prepare revenue reports and budgetary analysis and presented to Management.
• Monitored utility and other overhead costs for rate and usage accuracy.
• Developed an automated audit program to more effectively review Section 8 client files.

Confidential

Senior Auditor

Responsibilities:

• Performed Financial, Performance/Operational and Compliance Audits; served ad lead worker and assisted in the of lower level auditors.
• Reviewed capital budgets and vouchers for capital expenditures to determine probity of costs & prepared work papers and reports documenting exceptions.
• Prepared recommendations for the modification of operational procedures and was instrumental in the development of audit plan to assure controls are effective and properly implemented.
• Prepared flow chart and internal control questionnaires to assist in preparation or modification of the audit program; formulated findings and recommendations based on exceptions found.
• Evaluated capital and operating budgets; formulated revisions to budget proposals.
• Prepared and presented periodic reports on budget and other financial transactions.
• Evaluated operational procedures and identified key controls to determine compliance and related control risks.
• Investigated cases of suspected fraud or abuse in municipal departments and agencies.