Internal AuditCapital Planning - CCAR and DFAST audit program development and ongoing managementDivisional Revenue and Balance Sheet ProjectionCapital Planning GovernanceSR 15-18

Capital Planning - CCAR & DFAST

Audited internal Comprehensive Capital Analysis and Review (CCAR) processes to verify compliance with Federal Reserve guidelinesInteracted with stakeholders to gain a strong understanding of internal business practices in an effort to strengthen processes where weaknesses have been identifiedAssessed internal model risk management framework to develop a targeted risk based auditPerformed review of risk weighted asset calculation to establish compliance with Basel regulatory frameworkResponsible for organizing and conducting meetings with senior AIG stakeholders and presenting audit findings in a clear and concise mannerFostered coworkers development and understanding of internal systems and processes to allow for more focused audits and risk assessment

Conducted routine cycle audits to verify proper Net Capital and Customer Reserve Formula calculations as prescribed by Federal Broker/Dealer, SEC, and FINRA rules Ensured that firm wide back-office operational systems are properly reconciled and comply with the rules of the Securities and Exchange Commission and FINRAReviewed Firm's compliance with customer protection and net capital rules along with the rest of the FINRA and SEC rule bookPerformed risk assessments based on monthly FOCUS filings to determine various risk concerns before proceeding with examinations. Work with peers to expand knowledge of an ever changing regulatory environmentServed as the Lead Examiner responsible for overseeing a team of examination staff and ensuring the successful completion of routine cycle audits of FINRA Member Broker/Dealers

Reviewed FOCUS report line items to determine material weaknesses to determine possible areas of reviewAssessed financial condition of member firms and validated the accuracy of books and records, regulatory filings, and net capital computations Reconciled bank accounts of a broker/dealer while insuring accuracy while effectively reporting the results in an coherent and concise manner

Provided exceptional customer service to over 20 customers simultaneously while maintaining high enthusiasm and motivation in a demanding settingDeveloped and assisted with the creation of new policies and serving methods in the dining room that resulted in increased efficiency and faster turnover of tablesTaught multiple hires the methods and tasks necessary to thrive in a competitive environment