• Develop annual audit plan through budgeting and providing oversight of audits for timely delivery in order to meet the annual plan.• Develop and maintain client relationships as part of the ongoing risk assessment framework in order to assess impact to the audit plan.• Develop strategy and audit programs for the department’s coverage of the Operations Division to ensure consistency of coverage and minimize gaps of coverage.• Oversee global audits and integrate processes in high value locations to ensure global consistency.• Advisory member of enterprise-wide initiatives and working groups including Regulatory Reform and Operations Standardization.• Report control issues, opportunities for efficiencies and cost-saving to management within the business, operations, legal, compliance, finance, technology, etc.• Present and interact with external examiners (including the Federal Reserve Board, SEC and FINRA) to discuss audit coverage and related issues.• Prepare quarterly management reports and presentations to provide update on control environment for Sarbanes Oxley and Operational Risk Certifications.• Actively recruit for the department’s new and experienced hire program, provide career advice and evaluate the career progression of audit staff.

• Promoted to Vice President in December 2011 after demonstrating outstanding leadership, project and people management.• Managed execution of audits within Investment Banking and Research Division including: Leveraged Finance, Relationship Lending, Bank Loan Syndication, Equities Research, Conflict Clearance, Anti-money Laundering, Information Barriers, etc.• Developed audit scope through initial planning meetings, market research and industry regulations to determine applicable risks and controls.• Communicated audit results to internal and external senior management through written and oral reports.• Improved continuous monitoring framework to comply with regulatory expectations and identified areas of no coverage.• Performed data analytics and trend analysis to identify anomalies and potential gaps.• Monitored and tracked the remediation of management action plans to closure including the prioritization of aged findings.• Leveraged knowledge from prior audits to identify best practices across the firm and discuss them with key stakeholders.• Reviewed and evaluate the adequacy of audit work paper documentation.

• Promoted to Associate in December 2007 after demonstrating a strong understanding of audit life cycle.• Recognized and awarded for innovative audit issue identification.• Actively involved in planning, fieldwork and reporting of audits across the Securities Division including: Sales, Trading, Operations, Product Control, Risk Management, etc.• Assisted management through risk identification, control testing and process improvement procedures.• Performed control design assessments, develop audit test plans to identify control gaps and weaknesses based on significant risk exposures.• Interacted with internal senior management and effectively communicate audit results to business management.• Attended client meetings to perform walkthroughs to understand processes and create audit steps.• Managed multiple engagements while performing audits focusing on multiple risks.