• Validate, challenge and liaison with IT and business lines to help manage their technology operational risk and ensuring they are aligned to the bank-wide Operational Risk Framework• Perform risk and control assessment deep-dives of areas indicating higher risk ratings, communicate risk impacts and recommendations to mitigate such risks to the Management, and provide support for implementation of mitigating controls• Analyze and build a holistic understanding of recurring and potential technology and cyber risk themes, and ensure that appropriate mitigation of such risks is identified and implemented• Lead and support Bank-wide Operational Risk Framework for technology risk related matters, including assessment of inherent and residual risks for the Bank• Govern and challenge the incident and problem management process to ensure adequate reporting and categorization of operational incidents

• Lead and execute technology review aspects of integrated audits and support business audit managers and staff to provide objective and independent evaluation of the effectiveness of the Bank’s risk management, control and governance processes • Perform quarterly business risk assessments and continuous monitoring, which guides the audit plan for the quarter• Share knowledge of front-to-back electronic trading processes and platform architecture with the department• Create and document the scope of audit reviews following a risk-based approach, develop area-specific technology audit test plans, oversee and execute fieldwork focusing on understanding the process flow of business and related controls over key processes, and review technology audit staff’s work papers for adequate controls testing• Communicate with audit teams and business stakeholders the identification of key issues and associated risks and impacts including proper remediation plans for identified weaknesses• Provide continuous training and support to the junior staff

• Executed comprehensive operational and IT audits of investment advisor and broker dealer departments/processes by:• Conducting and documenting audit planning meetings to determine the audit scope• Performing audit walkthroughs, identifying risks and controls using the COSO Model• Designing and executing audit test steps, including fieldwork analyses for diverse IT systems and applications, utilizing CAATS when necessary • Validating IT general controls for their effectiveness for each system/application involved in the audit• Drafting audit observations, recommending corrective actions/resolutions, if required, and following up on implementation• Preparing audit workpapers that evidence completion of the audit and form an adequate basis for the audit report• Drafting audit reports and conducting exit meetings with the business to share findings and conclusions• Conducted annual risk assessments to determine the upcoming year’s audit plan

• Reviewed contracts database to ensure accuracy and completeness of data• Documented policies, procedures and controls• Assisted Senior Business Analysts with budgeting and contract negotiation details• Tested market data services for user specifications

• Reviewed controls within the capital markets infrastructure • Performed interface testing for Sarbanes-Oxley regulations• Created and maintained audit documentation with supporting evidence• Assessed a new “build and release management” tool for audit feasibility• Assisted in full scope audits involving a review of the various controls within the fixed income information systems and tested for the existence of controls using ACL