Position	Audit Professional
Location Confidential	No
Location	New York
Willing to Relocate	Yes
Industry	Financial-Brokerage/Mut.Fund/Securities/MoneyMgmt
Function	FINANCE--CFO/Control/Acctg./Treas./Tax,etc.
Compensation	$150,000 to $300,000
Resume Summary
An audit professional with over 20 years experience in the financial services industry.
Resume Body      AUDIT PROFESSIONAL
PROFILE Over 20 years experience in project management in the financial services industry with extensive knowledge of fixed income and equity products. • Strong understanding of regulatory requirements over broker-dealers, which has contributed to improved results in compliance exams and internal audits • Leadership and management skills that have contributed to well functioning departments and improved results on projects • Mentored junior staff members to increase their industry knowledge and improve their audit skills • Ability to apply knowledge to various situations and projects EXPERIENCE Morgan Stanley & Co., Vice President of Compliance New York, New York, May 2004 to October 2009 • Helped to establish an independent compliance exam function which grew to a group of 12 professionals prior to the financial crisis • Managed staff and performed compliance reviews in the Institutional Securities Group including fixed income and equity trading desks, sales desks, branch locations and operations areas • Collaborated with Compliance Advisory Groups to determine the scope of exams and to annually access the risk of the Firm’s businesses • Worked with senior management in evaluating compliance issues and helped to develop remediation plans • Liaise with IT to enhance our Compliance Exam System and develop a Supervisory Control Process Database (for NASD Rule 3012) Mizuho Securities USA Inc., Director of Auditing Hoboken, New Jersey, March 1998 to May 2004 • Responsible for all aspects of the internal audit function including outsourcing arrangements with service providers • Covered front to back office departments with a concentration on treasury and agency bond trading, futures and equity brokerage • Analyzed the financial and operational risk profile for the Firm • Prepared and presented the internal audit plan, the progress of that plan, significant audit findings and status of past internal audit, external audit and regulator findings at the quarterly Board Audit Committee meetings • Collaborated with senior management in planning audits and evaluating audit results • Worked with management on various special projects, including the post 9/11 trade activity reconciliation and balance sheet review for the futures division • Participated in regulatory examinations by the Federal Reserve, Treasury Department, NASD, SEC and CME Cantor Fitzgerald, Audit Manager New York, New York, May 1997 to March 1998 • Established an internal audit function and conducted audits of the Firm’s businesses including operations, sales, trading and administrative areas • Collaborated with senior management in planning audits and evaluating audit results • Provided assistance to the Risk Management group on special projects • Performed the quarterly security counts (SEC Rule 17a-13) and responded to other broker dealer confirmations PaineWebber Inc., July 1991 to April 1997 New Jersey Vice President of Management Audit & Controls New York Senior Auditor of Management Audit & Controls • Managed senior and staff auditors on audits of the Firm’s capital markets, operations and administrative areas • Covered institutional trading desks, including governments, agency, corporate, municipal and equity, and stock exchange floor operations • Managed and performed incident investigations and special projects for the Audit Group • Performed quality control over audit documentation and internal audit reports • Collaborated with senior management in planning audits and evaluating audit results • Responsible for most administrative duties of the department Deloitte, Senior Accountant New York, New York, September 1987 to July 1991 • Significant client service responsibilities included the planning, supervision and review of the Metropolitan Life Insurance Company audit engagement • Attested that financial statements complied with Statutory Insurance Accounting Regulations • Analyzed financial statements for consistency with market trends, prior company performance, goals and policies • Evaluated internal accounting controls and operating procedures • Prepared management commentary reports to facilitate the efficiency of internal controls • Other industry exposure includes real estate brokerage, investment companies and pension plans EDUCATION New York University, Stern School of Business, New York, New York MBA in Finance, GPA of 3.75, January 1997 Syracuse University, Crouse-Hinds School of Management, Syracuse, New York BS in Accounting, GPA of 3.7, May 1987
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