Devon T. Email & Phone Number

Toronto, Ontario, Canada

Responsibilities:• Worked with the CRO in managing the oversight and monitoring of all activities that could to impact TSX Trust risk profile by partnering with the various business units to identify, assess, monitor and mitigate both current and emerging risks to ensure that the TSX Trust’s business exposure is within its established risk appetite; • Coordinated with the business units and Corporate Functions their periodic Risks and Controls Self Assessments (RCSA) submissions including holding training and review meetings. • Analyzed the RCSA submissions to ensure that they meet the expectations of the ERM program including the treatment of business objectives, risk identification and alignment with TSX Trust’s risk appetite, adequacy of internal controls, identification of control gaps and their remedial actions. • Coordinate the drafting of the quarterly Risk Report to the Risk Management Committee (RMC) and the Risk and Conduct Review Committee (RCRC) of the Board of Directors by the various stakeholders (Compliance, Finance and Risk);• Worked with the CRO in the completion of TSX Trust’s Internal Capital Adequacy Assessment Process (ICAAP) by ensuring that all material risks are identified, assessed, measured, managed, monitored and reported in the context of ICAAP• Coordinate and execute the operating effectiveness validation testing to assess the effectiveness of the controls to mitigate the risks in the various business areas. Draft and issue assessment reports based on results of testing including recommendations to Business Unit heads and Senior Management;• Review and provide feedback to Business units on their New Initiatives proposals and Risk Assessments • Annually, coordinate and perform/complete the Third-Party (Materiality and Risk), Fraud Risk and Segregation of Duties assessments;

Toronto, Ontario, Canada

Responsibilities:• Documentation and evaluation of new business processes and initiatives, monitoring of new regulatory guidelines which may impact the Bank and the evaluation of the Bank’s key financial controls to support its Internal Control over Financial Reporting (‘ICOFR’) Program;• Managed and executed the quarterly assessments of design of both the Disclosure Controls & Procedures (“DC&P”) and Internal Control over Financial Reporting to enable the CEO & CFO Interim Certifications;• Planning and execution of annual test programs and assurance procedures to assess the operating effectiveness of the Company’s internal controls over financial reporting;• Worked with the VP, Risk Policy in the monitoring and implementation of new regulatory guidelines (i.e., Basel, COSO Internal Control Framework, FSB and OSFI) which may impact the Bank and provide related interpretive guidance;• Collaborated with the VP, Risk Policy in updating the Bank’s assessment of its Core risks and refinements to the Risk Appetite Framework and Enterprise Risk Management process, as required, in order to improve overall risk measurement and control;• Assist the VP, Risk Policy in the completion of Equitable Bank’s Internal Capital Adequacy Assessment Process (ICAAP) and Capital Planning;• Supported the VP, Risk Policy in managing the Bank’s stress testing program and related reporting for key risks in accordance with the Bank’s Stress Testing Policy;• Work with the VP, Risk Policy in managing the timely and effective updates to the Bank’s Comprehensive Recovery Plan documentation, including its overall coordination and the follow-up and update of key inputs from the various contributing departments (i.e., primarily Op. Risk, Treasury, Finance and Internal Audit).

Leading a team of 3 to 10 Senior Analysts / Auditors responsible for auditing TD Securities (TDS) division of TD Bank •Identified design and operating deficiencies related to internal controls for SOX certification purposes. Worked with management and the external auditors to resolve these deficiencies.•Managed various projects such as Finding reporting program, End User Computing and quarterly control attestation. •Developed the full year testing plan for all of the TDS Financial Controls Office (FCO) cycles.•Worked with various business units and there IT departments to evaluate and document their AOA (Appropriateness of Access) controls•Improved quality of the SOX work by 1) identifying controls that could be scoped out of testing 2) increasing the detail and clarification of the documentation 3) having a good rapport with the various business owners 4) and resolving testing issues efficiently and diplomatically.•Analyzed TDS’s significant accounts to determine the scope of testing required across all cycles.•Conducted interviews to fill full-time and contract positions within TDS FCO.•Assisted Internal Audit with the 2009 ICAAP Audit by managing the identification, process mapping, and documenting of the key controls in the Model validation and vetting component of auditAchievement:•Received the Principal in Practice quarterly award for exemplifying behavior consistent with TD Bank Group guide principles.

Provide value added services to the Internal Quality Review process, in the form of timely and constructive feedback to the Team Leads, Senior Managers, and the VP-SOX.•Support all stakeholders with respect to the understanding and interpretation of the SOX methodology and standards.•Provide guidance to the SOX group in the escalation and resolution of all SOX issues identified, during documentation and testing.•Work closely with clients to ensure that all outstanding deficiencies are remediated in a timely fashion.•Assisted in developing IQR reporting templates for Documentation, Design Effectiveness Walkthroughs, Operating Effectiveness and Remediation testing of Key Controls over Financial Reporting.•Provided bi-weekly updates on lessons learn from the IQR (internal Quality Review) process to VP-SOX and staff members.•Trained Internal Audit and SOX testers in documenting testing and walkthrough results for SOX purposes.

Planned, managed and executed Sarbanes Oxley remediation testing of key controls for RBC Insurance Canada Life – Finance; RBC Capital Markets (Front, Middle and Back Office) Toronto: Corporate Finance - Mergers & Acquisitions, Foreign Exchange - Spot/Forward, Nostro & Investigation, Global Equity Derivatives, Money Markets - Sales & Trading, Securities Borrowing & Lending.•Co-managed the SOX testing of key controls for New York and London: Global Equity Derivatives, Foreign Exchange Spot/Forward/Options/Retail, Institutional Equity Sales & Trading, Securities Borrowing & Lending, Money Markets – Sales & Trading/Funding & Liquidity, Commercial Papers, and Fixed Income – Interest Rate Derivatives, within RBC Capital Markets (Front, Middle and Back Office).•Provide guidance to the SOX group in the escalation and resolution of all SOX issues identified, Conducted interviews, provided guidance on testing and wrote report on results of SOX testing. •Documented control activity description, test plans and process maps for various units within RBC Capital Markets, Finance and RBC Insurance.•Seconded to the SOX Finance team to participate in the planning, scheduling, and execution of the Financial Year End Close Process.

Perform Sarbanes Oxley review to identify and document all significant processes and the key controls therein that are relevant for financial reporting for Derivative Products, Money Market, Investment Management, Foreign Exchange, and Money Transfer units.•Provided prompt and positive support to line management in the resolution of audit findings and other internal control and operational matters.•Conducted operations review and documented business/system workflow and procedures, specifically during implementation of new businesses and operational systems and areas where adequate management control procedures.Achievement:•Received the ISS Ovation award for Innovation in designing and developing an ISDA/NDF Confirmation Tracking system that saved approximately ½ hour processing time daily.

Spearheaded Back Office Wall Street Systems Confirmations Module implementation by designing confirmation templates, writing business requirements, conducting regression and user acceptance testing, and setting up confirmations.•Contributed to project initiatives including Project Authorization Requests, System Service Requests, and user requirements documentation by formulating action plans and strategies, reviewing design documents, preparing test cases, documenting procedures, and providing training and implementation support.•Evaluated and implemented new systems, equipment, and procedures identified through operational reviews and staff input.•Held concurrent responsibility for multiple systems projects and enhancements encompassing development and preparation of business case proposals, test plans and scripts, conversion and implementation strategies, project plans, and procedural documentation.

Prepared financial analysis reports for bank’s commercial assets and liabilities and Canadian dollar lending performance to inform and facilitate executive management’s decision-making process. •Analyzed and submitted recommendations concerning Retail/Commercial Product Groups’ business cases to senior product and executive management.•Assisted financial analysis manager by providing professional financial management advice, recommendations, and support to senior manager and vice president/domestic comptroller.•Identified and resolved budgeting process issues through analysis of past and current budgets.•Assumed responsibility of writing job description and procedures manual. Achievement:•Decreased processing time by 10% through development and implementation of automated data entry process system that saved approximately ½ hour processing time daily.

Contributed to weekly and monthly Canadian dollar gap report by executing and monitoring data extraction from applications systems. •Prepared entries and reconciled results with accounting information. Achievements:•Reduced processing time by one day by automating data entry functions. •Expanded scope of position to include writing monthly retail option report.

Reconciled credit report information with variety of data and communicated results to appropriate parties. •Ensured accurate corporate credit reporting to domestic and international branches.

Provided exceptional customer service through transaction and account processing. •Promoted investment products and banking services to existing customers. Achievements:•Received the Star award for outstanding customer service.

Masters Of Business Administration, Finance

Created and pitched E-Commerce business plan to V.C. firm. •Developed and presented online solution for logistical problem at Adesa.

Bachelor Of Arts, Economics