Central point of contact in Internal Audit for legal and regulatory relations in Asia for theGlobal Trade Repository business line;Represents Internal Audit for all IT related matters for Commodity Futures Trading Commission (CFTC) and European Securities and Markets Authority (ESMA) for the Deriv/SERV Global Trade Repository business line;Will be the central Internal Audit's IT point of contact on all Deriv/SERV Global Trade Repository business line for US Securities and Exchange Commission (SEC) and Federal Reserve System (FED) as the regulations become finalized;Member of the IT Audit and Financial/Operations audit leadership teams responsible foraudit strategies, risk assessments and annual planning;Responsible for relationship management with senior GTR IT management as well asProduct Development and Operations senior management;Represent Internal Audit at the Singapore branch office's Board of Director meeting;Facilitate and coordinate the Audit and Risk committees for Singapore branch office;Responsible for oversight and supervision on integrated, horizontal and pre-implementationIT audits over Global Trade Repository (GTR) globally;Manage and facilitate financial and operations audits over GTR;Provide Governance and Branch/Subsidiary business development oversight;Manage the Management Self Identified Issues (MSI) process for GTR;Manage the GTR related issues follow up for corrective actions;Represent Internal Audit on Service Delivery Incident Committee meetings;Represent Internal Audit on Operational Risk Management meetings;Responsible for staff's career development for IT and financial/operations auditors;Developed and presented to internal clients and regulators on risk and controls, corporategovernance, technology audits and financial audits globally;Provide advisory services on new projects and initiatives.

Responsible for the Risk Management and DerivServ business areas including audit planning and risk assessment.Provide oversight and supervision on integrated and pre-implementation audits such as Global Trade Repository (GTR), Legal Entity Identifier (LEI), Joint Ventures, and all risk management related projects.Managed the action plans follow up for all of application audit.Represent Internal Audit on Service Delivery Incident Committee meetings and project management tracking meetings for new iniatives/projects.Responsible for staff’s career and skill development.Developed and presented to clients on technology audit globally.Provide advisory services on new projects and initiatives.Led the employee survey improvement project.New initiatives coordinator of the Junto.

Responsible for the annual IT Equities Derivatives, Brazil, Canada, and Production Support audit planning and risk assessment.Subject matter expert (SME) on User Accounts Management, Change Management / Release Management (CMRM), and Data Loss Prevention.Participated in the development of global audit methodologies, responsible for CMRM and User Accounts Management.Member of the global spreadsheet application securization steering committee, source code securization operational committee, and business information security head (BISH) operational committee.Managed global and regional reviews over processes such as Change Management / Release Management, Production Access, User Accounts Management, Applications Support.Managed the resolution of numerous global and regional recommendations.Managed and participated integrated reviews with the business and infrastructure audit teams over trading applications, middle office applications, settlement applications, risk applications, pre and post implementation reviews, product reviews, Datacenter, Mail and Groupware and process reviews.Represented Internal Audit for all Equities Derivatives external audits working with Ernst and Young, Deloitte and Touche, and the Federal Reserve (FED).Provided internal trainings to IT and Business audit staff on various IT methodologies.

Performed application review over web applications, payment system, GL, and trading application.Performed controls within the Sarbanes-Oxley requirements for critical applications such as Logical Security/Segregation of Duties, Functional and Data Access, Data Input, Processing, Output, Change Management, Interface Security, and Disaster Recovery.Performed reconciliation processes for SEC Fees, Fedline Terminal/Wire Transfer to the G/L.Performed risks analysis/due diligence before Lehman purchases the subsidiaries.Performed general controls reviews over infrastructure processes and applications such as Datacenter Operations, Windows folder permission, Job Scheduling process, and Mainframe Systems.Performed cost analysis, compliance and risk assessment over the display outside of 745 7th avenue.Assisted in the drafting of the Change Management procedure.Developed a time tracking application within Lehman's audit infrastructure.

Created booking/inventory application via ASP, Visual Basic, Crystal Reports, RTF files, and SQL.Web development, user support, QA, and application maintenance.

Performed reconciliations on payment systems vs contracts, inventories of physical products vs virtual.Analyzed installation and imaging process for Windows and Hershey's associated applications.Risk assessed the internal control environments for Datacenter Operations.Identified all duplicate payments missed by automatic reconciliation (~$2,000,000 recovery targeted).