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Risk Advisory Services Manager Resume

New York, NY

SUMMARY:

  • Certified Internal Auditor (CIA) and hold Bachelor of Science in Accounting with strong experience working as a hands - on Senior Auditor (IT and Financial).
  • Possess strong organizational, time management and problem solving abilities.
  • Experience within Internal Auditing/Accounting/Insurance and Banking with expertise in Internal Controls, Risk Management, Sarbanes-Oxley, Financial and Confidential ’s control audits, Branch Operations, Consumer and Commercial Lending, Investments, Accounting, Regulatory Reporting, Compliance, Retail Banking, and Staff Supervision.
  • Having hands-on experience in following audits Environmental - Emergency Response, Right of Way/Easements, Business Continuity Planning, Gas Purchases, and Conference/Seminar Process.
  • Responsible for completion of complex audits in the field such as AML, Investments, Financial Statement, and Federal Reserve Regulatory reports.
  • Proficiency in Microsoft Office Suite, GAAS and GAAP, banking regulations and determining compliance.

SKILLS:

  • Auditing.
  • Accounting.
  • Banking sector.
  • Banking regulations and compliance.
  • SharePoint.
  • Microsoft suite.
  • Word Perfect.
  • Lotus 123.
  • Lotus Notes Database.
  • ACL.
  • Team Mate.
  • SQL.
  • Oracle Database and Security.
  • Unix
  • AS400
  • IT Sox General Controls

WORK EXPERIENCE:

Confidential, New York, NY

Risk Advisory Services Manager

Responsibilities:

  • Perform Risk Analyst at various Financial Service Industries
  • Develop and Implement Audit Plans and Schedule
  • Meet with Board of Directors and various committees to enhance business activities
  • Supervise a staff of 4 junior and senior staff members

Skills: Risk Management, ERM Audit, Project Management, Regulatory Compliance

Confidential, New York, NY

Financial Analyst/Risk Managing Consultant

Responsibilities:

  • Validated Comprehensive Capital Analysis ( Confidential ) models for submission.
  • Reconciled financial data to the General Ledger, Financial Reporting, and the following Regulatory Reports FR Y-9C, FR2420, FR2314, FFIEC009, FR Y14-A, FR Y-14 M, FR Y-14Q, and FFIEC090 reports for validity.
  • Gathered Business Requirements and Data directly from business owners and model developers for use during model validations.
  • Analyzed and documented various banking system data flows, process flows and work flow.
  • Reviewed and analyzed Data input quality testing and controls, system change controls, user access controls, issue remediation controls and documentation controls to ensure correct methodology throughout the model validation process.
  • Participated and facilitated production assurance testing and end user acceptance testing.
  • Assisted in system data flow implementation projects and production support activities.
  • Architected complex solutions, manage development and collaborated with challenge testing teams and Model Risk Management Modelers.
  • Supported technology to enable integrated reporting of the Enterprise Risk Management landscape.
  • Persuaded and influenced stakeholders in other areas and occasional external parties through developed communication and negotiation skills.
  • Provided in-depth and sophisticated analysis with interpretive thinking to define problems and develop innovative solutions.
  • Assisting with the implementation of Bank Wide Enterprise Risk Management Department (ERM).
  • Partnering with Internal Audit to ensure all risk related to ERM are identified and controls are in place.
  • Designing and implementing Risk Control Self Assessments (RCSA), Key Performance Indicators (KPI), and Key Risk Indicators (KRI) for Unix operating system.
  • Developed Policies and Procedures for ERM and Confidential .

Skills: Confidential, Risk Management, Audit, Project Management.

Confidential, San Francisco, CA

Financial Analysis Consultant

Responsibilities:

  • Reviewed and updated Operational Risk Procedures, and Internal Control Sustainability Requirements to comply with Company-Wide Capital Stress Testing Policy and Standards for Comprehensive Capital Analysis Review ( Confidential ) processes and compliance.
  • Reconciled financial data to the General Ledger and FR Y-9C and FFIEC009 Regulatory Reports for validity.
  • Gathered Business Requirements and Data directly from business owners and model developers for use during model validations.
  • Met with Management and Modeling team members on a daily basis to ensure that Capital Stress Policy & Standards are in compliance with WFC policy and standards.
  • Developed Model Risk Management Gap Analysis, for Model Risk Management and Technology Change and implement corrective action and tract/update results.
  • Updated Risk and Control Matrix weekly and ensure that changes are aligned with the process flow.

Skills: Risk Management, Confidential, Gap Analysis, Project Management, Banking Regulations and Compliance.

Confidential, Morristown, NJ

Audit Manager Sox Consultant

Responsibilities:

  • Performed the following SOX compliance reviews using the 2013 Confidential Framework and SOX Compliance Approach Entity and business level: Risk Assessment, Control Environment, General Ledger, and Balance Sheet review, IT - Implementation, and Human Resources.
  • Completed the following audits: Environmental - Emergency Response, Right of Way/Easements, Business Continuity Planning, Gas Purchases, and Conference/Seminar Process.
  • Review and QA audit staff level work papers and audit reports. Conduct Information Produced by The Entity Training (IPE). \

Skills: Auditing, SOX, Risk Assessment, System Development Review, Segregation of Duties Control Environment, General Ledger and Balance Sheet review.

Confidential, New York, NY

Responsibilities:

  • Performed Financial and Operational Risk audits for clients on a project basis.

Skills: Auditing, Sox, Financial and Operational Risk audits.

Confidential, Tampa, FL

Auditing Consultant

Responsibilities:

  • Assisted with the review of audit reports and audit program work papers, reviewed Sarbanes - Oxley controls companywide to ensure that they reflected current company line of business practices, also assisted with special projects such as the setup of confirmations to third party vendors and Financial Statement audit reviews.

Skills: Auditing.

Confidential, East Brunswick, NJ

Senior Audit Manager

Responsibilities:

  • Responsible for the development of all financial audit programs and scope documentation for all new and current clients. This would include the development of audit procedures, internal control questionnaires, work papers, and supporting documentation. Also, responsible for the development of assessments, identification of key and secondary controls, documentation, and testing of controls as they relate to Sarbanes-Oxley (SOX) and review of the following Regulatory reports FFIEC009, FFIEC002, FR2900, FR2951, SEC-10K, SEC-10Q Filings.
  • Performed hands-on audits of Oracle database, IT General Controls, and database security infrastructure.
  • Supervised and trained a team of 10 auditors, scheduled and assigned financial, operational and compliance audits. Evaluated and documented various banking institution’s risk areas, including the control surrounding SOX.
  • Completed the more complex audits in the field such as AML, Investments, Financial Statement, and Federal Reserve Regulatory reports (Call Report).
  • Reviewed audit work papers (Quality Control).
  • Developed audit procedures for each client.
  • Developed and documented audit issues and recommendations using independent judgment concerning audit and SOX areas reviewed during previous audits. Performed Confidential controls testing.
  • Drafted written reports and defined issues as well as provide recommendations for improvement of internal controls and operating effectiveness.
  • Acted as lead auditor for new clients and determine necessary changes to SOX documentation and controls, and other audit areas being reviewed.
  • Performed research as requested on internal audit assignments that required tact, discretion and confidentiality.
  • Attended and participated in Audit Committee meetings at various banks when necessary, and interact with all levels of management and external auditors.
  • Responsible for scheduling and running all opening and closing audit meetings at client locations.

Skills: Auditing - IT, Financial, Accounting, Banking Regulations and Compliance, Segregation of Duties, Confidential SOX General Controls Testing, Regulatory Reporting, SOX Implementation and Consulting.

Confidential, New York, NY

Senior Auditor

Responsibilities:

  • Supervised, and lead Financial and Information Technology audits in accordance with audit standards.
  • Conducted Internal Control and Risk Management Audits Company wide.
  • Partnered with Management in the identification of controls, created documentation, and tested controls as they related to SOX.
  • Attended opening and exit meetings for several different audit engagements being conducted at the same time.
  • Developed audit scopes, flow charts for SOX and audit areas under review, revised and developed audit programs.
  • Attended and participated in Audit Committee and SOX implementation meetings when necessary.
  • Developed audit schedules for staff, reviewed, approved and made changes to time and expense reports.
  • Managed the audit and SOX engagements by directing staff, reviewing work papers, compiling audit results, writing the first draft of the audit report and communicating results with audit management.
  • Assisted with presentations to client management on opportunities to improve their line of business. Also made recommendations for the improvement of internal controls surrounding SOX.
  • Participated in new product and service development task forces.
  • Performed application and access control audits on Unix operating system.
  • Project leader in charge of special assignments such as; Privacy Act, HIPPA, and Sarbanes-Oxley.
  • Supervised a staff of 7 auditors.

Skills: Auditing, SOX 404 Compliance, Accounting, Project Management, Insurance Regulations and Compliance.

Confidential, New York, NY

Audit Manager/Internal Controls Officer

Responsibilities:

  • Prepared yearly Audit and Risk Assessment Schedules for all Confidential .
  • Planed and supervised timely completion of Operational and Financial Audits including, but not limited to Accounting, Consumer, Commercial and International Loan Lending, Investments, Branch Operations, Compliance, and Retail Banking.
  • Conducted open and exit meetings with department managers.
  • Implemented and monitored changes in the banks Internal Controls/Policy & Procedures.
  • Performed reviews of AS400 operating system and IBIS application system to ensure controls in the following areas: Local Area Network, Program Changes, Logical Security, System Backup, and Disaster Recovery.
  • Chairman of Quarterly Internal Controls Meeting.
  • Conducted Bank Secrecy Act and OFAC training for bank employees.
  • Supervised a staff of 6 in performing audit examinations.
  • Liaison/Troubleshoot with Head Office Auditors, Federal Reserve Bank Examiners, and New York State Banking Department Examiners.
  • Reviewed Investment Portfolios for Private Banking Customers.
  • Performed continuous hands-on System Development audits.
  • Project Manager in charge of Year 2000 readiness team.

Skills: Auditing, Accounting, System Development, Unix, AS400, Project Management, Banking Regulations and Compliance.

Confidential, New York, NY

Consultant

Responsibilities:

  • Performed Credit and Loan Administration Operational Risk Assessment Audits.

Skills: Auditing.

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