Sean Fox Email & Phone Number

United States

Cleveland, Ohio

Cleveland, Ohio

Cleveland/Akron, Ohio Area

Cleveland/Akron, Ohio Area

Promoted to Audit Senior in December 2013. - Audit Senior responsible for auditing mutual funds and collective investment trusts for Cohen Fund Audit Services- Responsible for running audit engagements from planning/risk assessment to final opinion. - Help in new staff development and training- Work closely with clients to help improve financial statement footnote disclosures - Strong technical knowledge of both PCAOB and SEC rules and regulations

Staff Auditor responsible for auditing regulated investment companies (RIC's)- Worked closely with members of engagement team to help develop audit plans based on assessment of key risk areas such as expenses, capital and asset classes - Performed risk assessment and fraud discussions with key members of management such as Advisors and Chief Compliance Officers- Conducted year end tax work for Cohen and Company's clients

Greater Chicago Area

Team Lead in E*TRADE’s Retail Order Management Department. Responsible for handling, expediting, and resolving high exposure retail orders while working to mitigate both firm and customer risk.Handles the daily accounting, trading and reconciliation of E*TRADE’s internal error accounts. Also facilitate our departments internal and external SOX Audits while working closely with both internal and external Auditors. Help to provide Auditors with information, documents and records that they may need to help complete their audit.

Responsible for assisting Order Management’s Operational Manager, Team Leads and Director in the handling, processing and facilitation of ETRADE’s retail order flow. I had a primary responsibility in monitoring our proprietary systems and ensuring that they were functioning properly. I also played a major role in the detection and eradication of fraudulent trading activities within our retail and corporate customer accounts.Working closely with Corporate Security, our Technology Department and high level Directors, I helped develop a system that was responsible for earlier detection of fraudulent trading activities within our customers’ accounts, leading to a 75% reduction in the dollar loss of fraud to the firm.Compiled daily and monthly trade processing statistics for departments Director that were used to track various trends and presented to key Executive members on a monthly basis.Reviewed and monitored customer trades exceeding principal limits of 5000 shares or $1,000,000 to help mitigate both firm and customer risk.

Bachelor Of Science (B.S.), Business Administration And Management, General

Master Of Business Administration (Mba), Accounting