Perform internal audit services for Community Banks located primarily in Connecticut. Work independently at the client providing quality audit services, interact with Senior Management and Department Managers.

Perform internal audit services for Community Banks located primarily in Connecticut. Work independently at the client providing quality audit services, interact with Senior Management and Department Managers.

· Effectively provided Internal Audit Advisory services for internal audits and special reviews of local pubic school district clients located in Westchester County, NY and for higher education clients located in New Jersey.· Individually managed and performed audits of specific local school district functions such as Capital Construction Projects, Human Resources, Payroll Processing, Purchasing, Accounts Payable & Internal Claims Auditor, and Budget, Financial Reporting and Cash Controls (includes Extracurricular Activity Funds).· Interviewed school district personnel utilizing the New York State Education Department (NYSED) control questionnaire to determine employee's familiarity with specific job requirements and governing law guidelines. Interpreted interview results to define the scope of the audit and determine audit testing methodology.· Developed, managed and performed a client requested review of the Gifted & Talented program for a higher education institution which resulted in a re-structuring of the Administrative and Operational functions of the program to ensure an effective operating system of internal controls was implemented.· Analyzed testing results and prepared audit reports for management review and submission to client. Facilitated client walk thru and review of the audit reports to address the high risk items noted.· Reported directly to the Director and Education Practice Leader and effectively communicated the audit project's status, including timely submission of audit reports and workpapers.

Effectively developed and implemented a Control Review process for high risk functions of the Custody Asset Management business lines to identify risk associated with Client Service Administrators and Relationship Managers job functions. The achieved goal was the redesigning of a more cost effective and less risk based work flow process for several key day-to-day functions for ERISA accounts such as Account Set-up, coding on trust accounting and client information databases, and proper management monitoring of excess balances in trust & custody accounts.Successfully facilitated and integrated the Control Review Process to Client Service Administrators and Relationship Management personnel.Recruited by Senior Management for special projects for issues uncovered during the regular monthly Control Review process to address areas of concern and potential exposure to the company.Effectively developed control procedures, to be implemented on a company wide bases, for the Merger Tax Utility Project which involved a workflow analysis of different account set-up, documentation for Tax Identification #’s on multiple applications.Coordinated the review of high revenue client contracts identifying “change of control” merger related issues for the Bank’s Legal department to identify items potentially requiring Senior Management’s attention. Project was completed three weeks ahead of schedule.

Securities Processing Internal Audit · Assisted in the development and implementation of a new "client service" audit approach based on senior Client Management meetings, analysis of business line initiatives & goals and performance of an overall risk assessment within the business lines. Resulted in a well accepted audit approach of internal audit servicing its auditees as clients. · Responsible for Securities Processing audit areas of Corporate Trust, Domestic Custody Administration, Securities Operations, Stock Transfer, Reorganization, Dividend Reinvestment, Physical Securities, Wire Transfer Operations and Benefits Disbursements. · Effectively trained new staff on the identification of the various types of risks, as well s he ability to identify the importance of assigning an appropriate rating to the type of risk such as High/Medium/Low.

Assisted in the development and implementation of a new “client service” audit approach based on senior Client Management meetings, analysis of business line initiatives & goals and performance of an overall risk assessment within the business lines. Resulted in a well accepted audit approach of internal audit servicing its auditees as clients.Responsible for Securities Processing audit areas of Corporate Trust, Domestic Custody Administration, Securities Operations, Stock Transfer, Reorganization, Dividend Reinvestment, Physical Securities, Wire Transfer Operations and Benefits Disbursements.Effectively trained new staff on the identification of the various types of risks, as well s he ability to identify the importance of assigning an appropriate rating to the type of risk such as High/Medium/Low.