Christopher Carr Email & Phone Number

Charlotte, NC, US

Zurich, CH

• Associate Director – Compliance, Operational Risk, and ControlData Assurance Specialist for the UBS Broker Dealer Regulatory Reporting Risk Management Team performing risk management oversight and collaboration with.
• Performed various reviews to ensure the completeness and accuracy of Broker Dealer reporting on the X-17A-5 FOCUS Report. Reviews included the accuracy of Customer Reserve Requirements, minimum Net Capital.
• Reperformed calculation and allocation methodology for Fails to Receive and Fails to Deliver reporting values lines under the Computation of Customer Reserve Requirements to ensure the underlying trade data was.
• Performed Compliance Risk Assessments for various Laws, Rules, and Regulations, including SEA Rule 15c3-3, 17a-5, and 17a-11. Performed these reports for both UBS and Credit Suisse as the ongoing integration efforts.
• Validated that OCC Margin requirements were sufficient, in compliance with regulatory requirements, and reported accurately on the X-17A-5 FOCUS Report.

Charlotte, NC, US

• Senior Auditor (July 2019- March 2023)Worked within the Global Banking and Markets Operations division of Corporate Audit performing point in time Audits across multiple lines of business, including Treasury.
• Continuously involved in overseeing process understanding walkthroughs, data accuracy and completeness validation, escalation to Senior Level Management, and identification of observations/issues and their remediation.
• Utilized Alteryx and Excel platforms to perform data capture and analysis, leading to the identification of operational losses and the implementation of corrective actions.
• Led Audit Risk Assessments to evaluate the severity and likelihood of the Bank's exposure to financial, reputational, operational, and strategic risks, resulting in the implementation of control enhancements that.
• Actively oversaw and contributed to the implementation of real-time PPP loan procedures and controls for Small Business and GBAM loan applications, enhancing compliance with Small Business Association policies.
• Identified gaps in control efficiency or processes during audits and collaborated with line of business stakeholders to remediate the gaps and implement sufficient controls.Performed Sarbanes Oxley reviews across.

Anaheim, CA, US

Severna Park, Maryland, US

Worked underneath the president of Moran Insurance performing tasks such as;  -Accompany sales associates on sales calls and renewal appointments -Manage agency’s social media presence -Organizing policies and becoming familiar with carriers -Meeting with agency principal and carriers to review profit reports -Active participant in redevelopment of.