Robert Schroeder Email & Phone Number

Westport, Ct, Us

Frankfurt Am Main, Hessen, De

Partnering with all Group Audit staff to meet the strategic objectives of the function, assess the efficiency and effectiveness of Group Audit’s activities and to identify opportunities for improvement.

New York, New York, Us

Consulting assignment for projects within the Global Quality Assurance Audit for Compliance and AML reviewing documents prepared in relation to key regulatory submissions. Currently partnering with the global audit teams and relevant Chief Auditors responsible for all product and function areas as a subject matter expert for QA on Compliance, KYC, AML/BSA and Sanctions (KAMLS), reviewing validation work papers, and reports related to issue validation of Office of the Comptroller of the Currency (OCC), AML Consent Decree and MRAs issued by the OCC in Supervisory Letters. Previous project included the performance of reviews of internal audit validation work papers for the Recovery and Resolution Plan (RRP) to the Federal Reserve Bank (FRB) and Federal Deposit Insurance Corporation (FDIC) related to s165d Plan chapters and work streams for RRP submission.

Montrouge, -, Fr

MD, Head of Internal Audit for the CACIB related businesses within the Americas. Covering all areas within the Bank to include Capital Markets, Commercial and Investment Banking, Structured Finance, Equity Brokerage, Miami Private Banking, IT and Support Functions within the Americas. Coordinator for embedded regulators (FRBNY & NYSDFS) as they relate to regulatory exams and day-to-day operational requests. Member, control committees responsible for enhancing corporate governance, internal control, compliance, and risk management environments.

Director, Regional Head of Compliance for the newly combined entity Calyon/CACIB responsible for developing, supervising a team of compliance officers within various Asia Pacific countries covering Investment Banking, Capital Markets,Commercial Banking, Brokerage and Private Banking businesses. Covering all areas of regulatory compliance, anti-money laundering and regulatory compliance relationships in Hong Kong and assisting with other countries (Korea thru to Australia including India and all countries within the geographic area.

Director, Regional Head of Internal Audit and Compliance for the Investment Bank, responsible for the Internal Audit and Compliance related activities for Investment Banking, Commercial Banking, Capital Markets, Brokerage, Private Banking businesses within the Asia Pacific Region.

Director Regional Head of Internal Audit Asia Pacific responsible for setting up the regional audit function for W.I.Carr Securities an Asian equity broker with operations (brokerage sales, trading,research and some origination-warrants) in 14 countries and sales offices in New York and London and then after two years, also incorporating the audit function for the Investment Bank to cover banking operations in 14 countries to include capital markets, commercial banking, asset management, futures and private banking activities.

Chief Audit Executive for the NY Branch of the Bank supervising staff auditing major product lines to include commercial banking, capital markets, brokerage and investment banking and an IT audit function reviewing controls over branch systems, development and a data center. Subsequently transferred to Hong Kong to set up the internal audit function for an Asia equity brokerage/investment banking operation.

Managed Global Markets Audit group in NY with shared supervision and risk assessment for audit engagements covering global trading and capital markets activities. Areas included, trading, origination and distribution of various derivative products (FX and Money Market) securities and futures regulated activities, and related compliance and operational/financial support functions. As a VP Senior Audit Manager, stationed in Hong Kong (1990-1991) and then frequently returned to develop and supervise the Bank's equity brokerage and underwriting audit program for Asia. Reviewed risk management, operations, compliance, credit and valuation of equity securities for the Bank and joint venture activities in Hong Kong, Singapore, Thailand, Indonesia, Taiwan, Japan and the Philippines

New York, Ny, Us

Following promotion to Audit Manager, assumed Assistant Audit Director role directing auditors based in the US covering all capital markets, sales and market making, investment banking and related support functions. Audit activity centered around a broad array of product and trading areas- Governments, MBS, Investment Banking, Equity and Arbitrage products, Futures, Commodities, Repos, Mutual and Managed Futures Funds.

Member, audit team involved in planning, supervising, and executing financial audits, as well as evaluating internal controls, including making recommendations to senior management. Primary client exposure with financial services and insurance industries, and not-for-profit organizations.

Master Of Business Administration (M.B.A.), Finance, Economics

Bachelor'S Degree, Accounting And Finance - Minor In Economics