David A. Serio, Cpa Email & Phone Number

Glen Allen, Va, Us

Provide internal audit, risk management, regulatory compliance consulting services to Banking and Financial Services clients. Recent projects include:•$1B+ Virginia based Community Bank – Program manager coordinating and ensuring adequacy of regulatory remediation efforts to implement enhanced policies, procedures and controls over financial reporting. Led implementation of a comprehensive program of Internal Audit coverage using a co-sourced arrangement and successfully re-established audit function in fulfillment of regulatory mandate•Capital One Financial - Assist business units in preparing for Audits of their risk management and control operations. Conduct proactive risk aassessments to identify significant risks and remediate issues to improve control processes and meet Audit and Regulatory expectations .•Watson Wyatt Worldwide - Updated and revised the Code of Ethics and Business Conduct for a leading worldwide employee benefits and actuarial consulting firm. Conducted extensive research on best practices and benchmarking with similarly situated companies.•Sun Trust Mortgage - Evaluating and assessing compliance with established mortgage servicing requirements including Regulation AB, USAP, HUD and GNMA at a leading banking and mortgage organization.

Provide audit oversight and assurance for merger and acquisition due diligence and integration activities in support of aggressive strategic program for diversification.Provide internal audit coverage for various lines of business and asset portfolios included in the Capital One Global Financial Services unit.

Start Up Venture - Formed contractual alliances with independent CPA firms and law firms to expand their service offerings to include delivery of integrated financial management services for their clients. Provided comprehensive financial planning and customized wealth management solutions for individuals, business owners and professionals. Client services included investment management, retirement planning, advanced estate planning, tax management and insurance review and consulting. Managed practice development efforts for CPA affiliate firms and provided financial planning and investment management for their clients.

Provided broad consulting services in Internal Audit outsourcing, Corporate Governance, Regulatory Compliance and Business Improvement with a focus on identifying and managing risk on an enterprise-wide basis.

Chief financial officer for the Pension Division with over $3.5 Billion in assets including 401K, GIC, SPGA and managed Separate A/C's. Managing a staff of 50, was responsible for financial reporting, systems development and maintenance and annuity payments for over 50,000 annuitants.Chief audit executive with Board level reporting responsibility for U.S. operations. Re-established internal audit function, recruited entirely new staff, implemented effective quality control and project management techniques, refocused audit efforts on operational efficiencies and value added auditing. Spearheaded implementation of control self assessments and an enterprise-wide risk based audit approach.

Mba, Finance

Bs, Accounting