Robert Shine Email & Phone Number

New York City Metropolitan Area

Global Head of Equities, eTrading & Liquid Financing Audit

Greater New York City Area

Directed all aspects of development and delivery of the audit for assigned areas of the firm, including internal and external stakeholder management, staff management, execution of the audit plan, and accountability for the quality and judgment calls in resulting audit work.Executed projects related to the Bank’s transformation strategy, providing value added insights and observations, ensuring balance between the pursuit of growth and disciplined risk management.Employed different audit techniques to maximize efficiency while adhering to the department’s methodology, delivering an effective program of audit work, to complete the full audit plan on time.Effectively managed and promoted client and stakeholder relationships to become a trusted advisor to the business, providing senior management with focused view of the current and emerging risks related to their businesses.

New York, New York

Director – Equities Business Supervision & Controls - January 2013 – April 2015Responsible for the administration and implementation of the Firm’s Supervision Program and Operational Risk Management requirements including maintaining oversight and accountability for determining front-office supervisory controls were in place and appropriate for the mitigation of compliance and operational risk. Additionally, developed and implemented supervisory procedures and supported and advised Managers with supervisory responsibility ensuring the appropriate supervisory structure was implemented and maintained.Director – COO Equity Cross Product Services - January 2009 – December 2012Provided support for a global multi billion-dollar Equities business comprised of 2,000 sales, trading and support personnel by enhancing the control environment, executing cost savings initiatives, overseeing business continuity planning, administering new product reviews, responding to client inquiries, and ensuring the adherence to regulatory and Firm mandates.Vice President – COO Cash Equity Business Management - July 2007 – December 2008Responsibilities included lead roles aimed at the creation and implementation of proper control infrastructure in numerous aspects of the business formerly without proper resource, including robust audit and compliance reporting and controls, the new product review process, and policy and procedures.Vice President – Corporate Audit Department - March 2001 – June 2007Americas Equities Audit Team Leader responsible for planning, supervising and executing risk-based audits of the Firm’s Institutional Equities (Cash Equities, Equity Derivatives, Equity Financing & Services, Strategic Risk) trading activities, managing a team of five individuals.

New York, New York

Bachelor Of Science (Bs), Finance, General

Education record