Oceanside, New York, United States
Experienced Auditor with a demonstrated history of working in the banking industry. Strong business development professional skilled in Internal Audit, BSA/AML/Sanctions (CAMS Certified), Regulatory Compliance, Enterprise Risk Management, Analytical Skills, Management, and Financial Services Operations. Worked with big four accounting firms. E-mail: [email protected]
• Provided senior-level audit and compliance services to the financial services industry, ensuring adherence to regulatory standards. • Subcontracted audit services to various Audit Consultant firms, enhancing service delivery and operational efficiency. • Specialized in Financial Services Audit, focusing on areas such as BSA/AML, Operational Risk, and Process Improvement.
• Cultivate and nurture client relationships, ensuring satisfaction and retention. • Serve as a distinguished subject matter expert (SME) in Bank Secrecy Act/Anti-Money Laundering (BSA/AML) regulations. • Spearhead internal audit initiatives for FORVIS clients, overseeing planning, execution, leading walkthroughs, and reporting. Mentored junior auditors. • Directly involved in reviewing and approving fieldwork, ensuring adherence to regulatory standards for banks, Credit Unions and Broker Dealers, • Enhance audit findings through analysis and strategic recommendations, contributing to clients' operational efficiency and compliance.
• Evaluated audit program steps for the annual BSA/AML audit of a Foreign Branch of a large German-owned bank. • Conducted thorough audit controls and transaction testing to ensure compliance. • Engaged with stakeholders to discuss findings and best practices, enhancing the audit process. • Updated the audit program to reflect current best practices and regulatory requirements.
•Evaluated and implemented procedures to ensure accuracy of documentation and reports in compliance with federal regulations and organizational expectations •Performed all aspects of the audit cycle including planning and risk assessment •Built and sustained relationships with clients to facilitate audit execution, including fieldwork, reporting and follow-up correspondence •Initiated discussions with clients for further understanding of business unit and identified potential areas of audit impact •Interfaced with regulatory examiners during routine examinations and all other external reviews. Followed up on all findings •Conducted audits including BSA/AML/OFAC, Regulatory Compliance, Branch Operation, Lending, Human Resources