Cary Bauer Email & Phone Number

United States

Portland, Oregon, United States

• Provide subject matter expertise on strategic initiatives related to risk functions for the broker-dealer.• Manage the Risk & Control Self-Assessments (RCSA) process and maintain the associated risk and control inventory for Brokerage Operations.• High-level understanding of SEC / FINRA regulations that pertain to the subject matter.• Collaborate with engineering, support, and product teams to facilitate improvements and increase efficiency within the current back office structure for the broker-dealer’s risk operation.• Review new product offerings and provide risk management tactics.

Portland, Oregon, United States

• Provided subject matter expertise on strategic initiatives related to risk functions for the broker-dealer• Created and implemented Risk & Controls Self Assessment (RCSA) Program for the broker dealer• Collaborated with technical, support, and product teams to facilitate improvements and increase efficiency within the current back office structure for the broker-dealer’s risk operation.• Wrote control testing plans using SQL queries and automated alerts via Looker• Developed risk rating program for various parts of the operation

Columbus, Ohio, United States

• Maintained and execute the Risk and Control Self-Assessment program• Ensured compliance with all department and regulatory (AML, SEC, DOL,FINRA, etc.) requirements.• Provided reporting to the management team on control related items & control testing• Worked with the management teams to ensure department policies and procedures are up to date and accurate.• Consolidated money movement control across multiple lines of business• Queried various data sets in relation to control testing to maintain various regulatory exemptions • Coordinated audits and compliance inquiries with the assistance of subjectmatter experts.

Columbus, Ohio, United States

• Provided reporting on client message data, account transfer data, and money movements• Optimized employee on boarding/offboarding process flow, tracking and ordering of access• Developed metrics based controls• Queried various databases in relation to control testing to maintain various regulatory exemptions

Columbus, Ohio, United States

Columbus, Ohio, United States

• Perform analysis on local companies in regards small business banking product needs (lines of credit, loans)• Maintained and calculated branch banking operational data, business banking and retail consumer banking lines• Identify and prospect potential investment and mortgage referrals• Advised clients on personal financial improvement measures (debt consolidation, investment goals, retirement goals)

Columbus, Ohio, United States

• Calculated and maintained financial reporting information for operation and expansion projects • Concentration on budgets, cost management and labor hours for weekly scheduling across dining facilities• Developed an internal Excel Model to optimize employee scheduling • Assist with invoice processing, categorization of expenses, and record retention• Interviewed and staffed 100+ employees for student dining positions across campus

• Learned how an investment advisor analyzes and chooses portfolio managers• Dispersion analysis of client portfolio characteristics and portfolio analysis• Examined and wrote reports on individual stocks and funds

The Von Allmen Center For Entrepreneurship

• Shadow investor meetings• Built a patent database in Excel for all patents registered to University of Kentucky • Attend and help set up pitch competition events around the state of Kentucky