• Currently managing internal controls, risk assessments, as well as managing strong working relationships with department managers, senior leaders, and external auditors.• Lead process review, business process analyses and internal controls testing; ensuring compliance with company policies and procedures, Sarbanes-Oxley Act (SOX) and other regulatory requirements.• Serve as a subject matter expert (SME) by maintaining current knowledge of applicable laws and regulations as they affect the assigned functions; ensuring appropriate application of changes as necessary.• Facilitate cooperation and coordination of internal controls efforts with auditors.

•Conduct multiple complex audit assignments in diverse areas of the Company within timelines established by management.•Effective and efficient execution of Sarbanes-Oxley and SSAE-16 internal control assessments.•Prepare timely and high quality audit communications, reports and supporting documentation detailing overall assessments, key findings and value-added recommendations that promote effective and efficient solutions to business issues and risks.•Work on all projects phases from planning through field work, reporting and follow-up

Leads the SOX and MAR Compliance group for US Fixed Products on internal controls testing and regulatory compliance improvement initiatives. •Works with the valuation actuaries to ensure compliance with IFRS, USGAAP and US STAT.•Manages reporting compliance, including Sarbanes Oxley (SOX) & the Model Audit Rule (MAR) - US STAT.•Manages relationships with external/internal auditors and regulators and addressed audit findings. •Reviews quarterly valuation and reporting controls, documents gaps in the process, makes recommendations. •Manages various valuation controls projects.

• Assisted the US Wealth Management group with updating their SOX process documents• Tested key SOX controls for accuracy and reported any weaknesses• Used SOX experience and knowledge to advise the US Wealth Management group on ways to improve SOX and business processes

• Tested processes and related controls, and completed reviews in compliance with Division Standards• Documented audit processes, identified internal controls and weaknesses, and assisted in writing audit programs• Reviewed current policies, procedures, and system to suggest improved standard operating procedures• Business units audited: Global Advisors Performance Measurement, Global Advisors Equity and UK Operations• Worked on custody and investment banking audits to ensure compliances with SEC and SOX 404

• Performed year-end and quarterly financial statement audits with team of colleagues. Role Senior• Analyzed company information and investigated the accuracy of financial statements• Summarized and documented audit procedures performed in compliance with PwC’s audit approach• Evaluated client internal control structure noting deficiencies and recommending improvements• Supervised, trained and evaluated associate staff for each audit engagement• Worked mainly on venture capital, private equity and Banking audits