Joseph Center Email & Phone Number

Orlando, FL, US

Greater Orlando

East Syracuse, NY

• Spearheaded control and risk activities for high-volume securities businesses supporting 35 clients with 5000+ trusts. Assessed risk & control, identified gaps, and created solutions for the business and clients..
• Achieved 30% reduction of operational risk events by strengthening controls with the business by facilitating deep dives, performing root cause analysis, detecting gaps, and developing remediation action plans.
• Developed strategy and implemented controls testing related to Exchange Trade Fund / ETF and Unit Investment Trust / UIT. Identified emerging risks and implemented controls by actively partnering with management.
• Represented the business for the SSAE18 reviews, internal audits, and 12 compliance reviews annually.
• Met with Federal Reserve Bank / FRB, Securities Exchange Commission / SEC, and NY State Regulators as key point of contact to facilitate flow of appropriate information between regulators and line of business.
• Received satisfactory audits from agencies through comprehensive risk & control identification and mitigation.

Pittsburgh, PA

• Monitored and responded to emerging risks for Operations groups representing $23 trillion of assets serviced. Led a team of 6 Audit professionals in overall risk structure assessment for Securities lines of business.
• Identified revenue leakage gaps and 6 high-risk findings requiring immediate remediation by leading a global review of enterprise-wide Billing services.
• Collaborated with department managers to ensure key risks were controlled as well as long-standing issues were addressed effectively and sustainably.
• Improved audit talent by recruiting, coaching and retaining top performers.
• Presented audit conclusions and risk plans to 1st and 2nd lines of defense.
• Selected by the bank’s Chief Auditor to manage 2 highly confidential, legally privileged reviews.

East Syracuse, NY

• Functioned as Lead Auditor in the planning and execution of audits for multiple Securities Processing Departments. Evaluated internal controls and identified operational risk to determine audit objectives and develop.
• Performed testing of controls to analyze effectiveness in connection with Sarbanes-Oxley / Sox.
• Prepared audit reports for product and senior managers detailing reportable conditions and operational inefficiencies identified during examination.
• Implemented and trained nationwide Audit staff of 100 professionals on utilization of new software.

Woodland Park, NJ

• Managed daily administration of 200+ municipal bond issues, medium-term note programs, and escrow accounts. Reviewed documents for trustee responsibilities, collaborated with Legal, attended bond closing meetings, and.
• Optimized revenue generation by developing strategic plan for managing and growing existing client relationships.
• Communicated with internal and external clients as the primary municipal finance contact as Trustee, Registrar and Paying Agent.
• Ensured sustained client engagement and grew portfolio by consulting with clients on strategy and goals.
• Drove account growth and solved clients’ needs by promoting firm’s services and product offerings.