John Kords Email & Phone Number

Montpelier, Vt

Supported and assisted process owners and business managers in the identification and verification of internal controls over operational risk.• Facilitate periodic process owner risk and control self-assessments.• Lead and assist on internal audit engagements.• Analyze business processes for effectiveness, efficiency and compliance with corporate policy and procedures, state and federal regulatory authorities.• Develop detailed working papers to provide sufficient evidence of work completed in the development, analysis, execution and reporting of the audit program and testing results.• Execute test plans of key controls through inquiry, observation, examination, and/or re-performance. Document test results according to Internal Audit testing standards and communicate results to management.• Evaluate and document the effectiveness of the internal control framework in the prevention, detection, or correction of errors and/or irregularities as determined through inquiry, observation and/or substantive testing in the execution of the test plan.

Montpelier, Vt

Executed domestic and international equity trades for mutual funds with over $5 billion in assets.• Analyzed and compiled corporate news, earnings and relevant Street research in daily morning note to portfolio managers prior to market open.• Contributed to actionable trade ideas by providing market, stock and trading feedback to portfolio managers.• Created and maintained custom reports to track research and soft dollar budgets.• Implemented and tested the integration and updates of numerous third party trading platforms as well as the trading desk’s order management system.• Insured the timely settlement of international and domestic trades by working with brokers and custodian banks.• Developed and maintained relationships with outside sales traders.• Prepared numerous quarterly and year end reports for accounting, board meetings and SEC filings.• Improved stock selection to achieve best execution by collaborating with Research Analysts, Portfolio Managers and fellow Traders to determine potential strategies.

Montpelier, Vt

Business Analyst, (2001-2004)Worked as a liaison between business units and IT team to develop in-depth business specifications, test plans and end user training.• Created user requested daily report jobs using COBOL and SAS.• Modified existing COBOL, SAS and NOMAD programs.• Developed Access databases for business units and IS management team.

Montpelier, Vt

Worked with agents and agency offices around the country to insure completion of all necessary licensing and contracting documentation.• Worked with state insurance departments on agent license and appointment application requirements• Team leader for a new distribution channel including: hiring and training new home office employees, training new agency personnel on home office systems, establishing operational procedures, monitoring procedures and quality insurance.• Created testing plans for the licensing and contracting system• Worked with IS and other departments to test new and updated companywide system applications.