Yady Chavez Ortigoza Email & Phone Number

Frankfurt Am Main, Hessen, De

Frankfurt Am Main, Hessen, De

* Advise stakeholders as one of the global subject matter experts on the Swap Dealer Compliance Program. Guide Sales and Trading on complex FX, Rates, Credit, Commodities and Equities Swap compliance matters in fast paced business environment. * Collaborate with Sales and Trading as well as Legal, Regulatory Reporting Ops, ORDS, CLM, Technology and various Risk functions to proactively and strategically improve the Swap Dealer control framework.* Provided compliance training to ~500 Swap Dealers Associated Persons (AP) in IB, CB, IPB and CRG globally. Support ~1400 APs across the CFTC and SEC Swap Dealers. * Manage regulatory responses associated with NFA Examinations and ad hoc CFTC, NFA, SEC and Swap Execution Facilities inquiries of the DB Swap Dealers. Work closely with Issue owners to analyze data, identify root causes and develop remediation plans. Present results and updates in various governance forums globally. * Actively participated in the complex DBAG registration with the SEC as a Security Based Swap Dealer. Contributed to various Change the Bank deliverables including AP scoping and designations, Trade Reporting and SBS Documentation.

Frankfurt Am Main, Hessen, De

* Develop testing modules and lead compliance reviews to evaluate adherence with legal, regulatory and internal firm policy requirements applicable to Deutsche Bank products and services globally.* Collaborate with senior management to create the Annual Test Calendar advising on emerging risks, new or amended regulatory regimes such as Volcker 2.0 and internal business developments. * Partner with the Front Office, Control Owners, Business Line Compliance to enhance the firm’s control framework in response to findings identified in testing. * Contributed to closing Volcker Consent Order by helping improve the independent testing program and strengthen the Volcker Enterprise Compliance Program. * Support ad-hoc requests by Regulators and Group Audit

Mclean, Va, Us

Manage testing to validate compliance with Title VI and VII of Dodd Frank and FINRA regulations. Created and executed tests on SDR reporting, Swap trading relationship documentation, clearing & SEF execution, trade reconstruction etc. In addition to testing design and operating effectiveness of Volcker controls related to Covered Funds, limit monitoring, rebuttable presumption, P&Ps. Validated compliance with FINRA market access, communications with the public and best execution regs.

Chicago, Il, Us

• Perform on-site examinations of Swap Dealers (SD) to ensure compliance with regulations under Title VII of the Dodd Frank ACT. Firms examined include major international financial institutions. Examination scopes included assessing the control environment of SDs compliance and risk management programs, prohibition against fraud and market manipulation and recordkeeping requirements.• Collaborate with the team to plan examinations by understanding the firm's business objectives, structure, policies, processes, internal controls, and identifying risk areas for focus.• Lead interviews with firm personnel and analyze documents submitted to ensure that policies and procedures demonstrate an ability to comply with the regulations.• Assist managers with supervising and reviewing junior staff's examination work papers, confirming validity of findings, preparing final examination reports and verifying firm's remediation of issues raised. • Provide training to staff on exam methodology, regulations in scope and industry developments.• Special projects focused on developing exam modules and guidance, assisting in evaluation and testing of firm developed applications and recruiting new talent.

Queens, Ny, Us

3.9 GPA

Melville, New York, Us

• Execute audits specializing in the application of Generally Accepted Accounting Principles, Governmental Accounting Standards Board and Generally Accepted Auditing Standards.• Perform testing and other audit procedures in numerous Balance Sheet and Income Statement accounts such as Accounts Receivable, Accounts Payable, Fixed Asset, Encumbrances, Accruals, Revenue, Expenditures, and Depreciation.• Prepare Financial Reports including Balance Sheet, Income Statement and accompanying notes.• Prepare and record adjusting journal entries to update the general ledger based on audit findings.• Test the adequacy of payroll and prepare related 941 reconciliations to the general ledger.• Test the adequacy of cash assertions through the performance of bank reconciliations and interbank transfer tests.• Preparation of Form 990 – Return of Organization Exempt from Income Tax.• Organize, coordinate and ensure adequate preparation of audit teams for client interactions.

Analyzed budgets, loan proposals and bank reconciliationsProvided assistance in client conferences, sales strategy meetings, town board hearings, and participated in award ceremonies

Washington, Dc, Us

• Technical expert in Global Command and Control System-Maritime supporting air strikes for Second, Fifth and Sixth Fleets.• Participated in Operation Iraqi Freedom and Operation Enduring Freedom in the Arabian Gulf.• Conducted installation, implementation, maintenance and upgrade activities for computer hardware, operating systems, network connectivity, and applications and email for over 300 users.• Implemented system security software, detected vulnerability threats, scanned network media for viruses and implemented intrusion detection system equipment and software.• Managed junior personnel’s professional development and training, overseen work assignment and performance reviews.

Master Of Business Administration (Mba), Finance

Bachelor'S Degree, Accounting

Bachelor Of Business Administration - Bba, Accounting