Steve Gitlin, Cfirs, Cica Email & Phone Number

New York, Ny, Us

- Executes an effective program of quality assurance, including communication of results, analysis of themes, identification of best practices and recommend changes to audit processes- Positively and creatively influences department change- Seeks ways to increase efficiency and effectiveness of work performed- Builds and maintains key relationships across the Audit department, establishing a culture of engagement and adding value to the department

New York, Ny, Us

- Work with LOB auditors to ensure the appropriate execution of fiduciary audits primarily of investment management services and regulatory requirements specifically 12 CFR 9 (including 12 CFR 9.18) and/ or ERISA- Assist in the scoping, execution and reporting of fiduciary audit activities and issue validations specifically relating primarily to investment management and related services- Coverage of the Asset Management (e.g., Fixed Income, Equity, Multi-Asset Solutions, Beta Strategies, Alternative Asset Management Strategies, Client Services & Business Platforms and Operations groups) businesses- Assist in the identification of cross-business issues and trends, and share across audit teams to affect changes to planned coverage- Maintain investment management expertise by staying abreast of industry, regulatory and political developments.- Participate in peer and industry groups as appropriate- Provide relevant industry updates to Audit teams and business- Help establish, as appropriate and applicable, minimum standards and guidelines, including creating and maintaining standard fiduciary test programs (RAMs)- Proactively identify areas where risk exists and advise LOB audit teams on the appropriate assessment of fiduciary risk- Participate in the annual planning process for each applicable audit team to influence appropriate and consistent coverage within and across businesses

Charlotte, Nc, Us

- Manage Internal Audit Coverage of Global Wealth and Retirement Solutions Businesses including but not limited to the Managed Solutions Group (MSG), Alternative Investments, Investment Solutions, Advisory Program Management (including Goals Based Wealth Management), Portfolio Solutions, Managed Account Advisors, Investment Management & Guidance, Global Funds, MLWM Business Oversight and Supervision, Brach Office Exams and Business Governance. - Audit GWIM Law and Regulation Owner for the DOL Fiduciary Rule, Dodd Frank, Investment Advisors Act of 1940, and RSNIP.- Targeted test plan development and execution for owned businesses to address identified operational, reputational and compliance risks, conformance to regulations, product oversight, and fiduciary responsibilities. - Issue management of all GWIM issues inclusive of Audit, Compliance, Business, Risk and Regulator identified. - Issue identification and escalation including composition of issue summaries, details, and supportive evidence.- Member and presenter at MSG and AI Product Management Investment Committee Meetings, GWIM Product Approval Committee, GWIM Volcker Committee and underlying Volcker Control Forums.- Consultation with GWIM control partners (Legal, Compliance, and Risk) on control gaps and action plans.- Execution of Audit Risk Culture Assessments, including analysis and understanding of Risk Appetite scorecards, MLWM Risk Assessments, Management Risk Committee, and Enterprise Risk Committee report outs.- Execution of Global Compliance Audit Testing, including the assessment of the design and execution of the Bank of America Compliance Program.- Project lead of the Financial Adviser review, client suitability assessments, and investment platform eligibility review. - Collaboration with Data Automation to develop novel ways to perform analysis on large sets of data (e.g. product allocation) and develop automated testing for high risk processes to be conducted on an on-going basis.

New York, New York, Us

Member of the Firm's Financial Services Industry Practice, specializing in broker-dealers, Registered Investment Advisers and investment partnerships consisting of hedge funds (including offshore entities) and private equity funds.Hedge Funds1. Annual audit of financial statements and reporting under U.S. Generally Accepted Accounting Principles ("GAAP") and IFRS2. Consultation on partnership agreements, private placement memoranda, and other offering documents3. Performance examinations4. Surprise examinations to comply with Rule 206(4)-2 under the Investment Advisers Act of 19405. Technical consulting to allow general partners and/or investment management companies to plan for and achieve optimal financial benefits.Private Equity Funds1. Audits of the valuation of private equity funds portfolio companies, as well as the different equity allocations found within private equity fund structures.2. Due diligence and structuring of potential investments3. Interface with a client's valuation department in connection with the audit of fair value4. Valuation of assetsRegistered Investment Advisers1. Guidance in the regulatory and reporting aspects of the industry and surprise examsBroker-Dealers1. Auditing year-end financial statements, net capital requirements, and auditing internal controls

Fairfield, New Jersey, Us

New York, Ny, Us