Kenneth E. Cox

*** **** **** *** ******** Road

Amherst, NY 14228 Drexel Hill, PA 19026

716-***-**** 484-***-****

ad4vfn@r.postjobfree.com; ad4vfn@r.postjobfree.com

Key Contact: Mobile: 518-***-****

Summary:

MBA with 15+ years of experience as a Senior Internal Auditor, Audit Manager and Securities Compliance Manager.

Experienced in Audit testing, work-paper documentation, financial statement analysis, variance analysis, special projects, and other duties as assigned, for firm’s corporate clients - banks, broker-dealers, utility companies, and other general corporations.

Experienced primarily with Federal and State agencies, but secondarily within the Global Banking Industry and public accounting firms.

Conducted audit activities within the Financial Institutions Corporate umbrella, as a Senior Internal Auditor.

Planned, developed, and implemented a Male Mentoring Program and Family Literacy Program for students and parents attending the schools sponsored by M&T Bank in the City of Buffalo School System.

Performed financial, operational, and performance audits of New York State departments, agencies, institutions, and authorities.

Performed duties Included: Risk Assessments, Report writing, evaluating the suitability of investment choices made by firm officials for its clients, identifying potential fraud, waste, and abuse.

Education:

Emory University, Atlanta, Georgia, Master of Divinity - Candler School of Theology, Robert W. Woodruff Fellowship Scholar. 1990

Emory University, Atlanta, Georgia, Master of Business Administration (MBA) - Graduate School of Business Administration, 1991.

Howard University, Washington, D.C., Bachelor of Business Administration (BBA) Accounting, 1980 - 1984

Certifications:

CGFM – Certified Government Financial Manager; Member 24038

CIA – Certified Internal Auditor; Certificate number 89335

CGAP – Certified Government Audit Professional; Certificate number 2013

CFSA – Certified Financial Services Auditor; Certificate number 7829

CCSA – Certification in Control Self-Assessment; Certificate number 4584

CRMA – Certification in Risk Management Assurance; Certificate number 118

CFE – Certified Fraud Examiner; Member 561276

Experience:

Morgan Stanley, Internal Audit Department, Baltimore, MD November 2022 - Present

VP, Internal Audit, US Banks, Institutional Securities Group

Serve as Audit Coverage Manager on the firm’s 2022, Institutional Securities Group, Fixed Income Secured Lending Audit.

Duties includes SOX Interim and Annual Control Testing, Auditable unit control testing - Corporate Compliance, Finance, Corporate Lending, Investment Advisory, Continuous Monitoring of key Operational Areas and Closure Verification related to Regulatory / Audit Findings

Five Star Bank, Internal Audit Department, Rochester, NY May 2021 – October 2022

Vice-President \ Senior Internal Auditor

Conducted audit activities within the Financial Institutions Corporate umbrella, as a Sr. Internal Auditor.

Duties includes SOX Interim and Annual Control Testing, Auditable unit control testing - Corporate Compliance, Finance, Corporate Lending, Investment Advisory, etc.

Also participated in assistance the bank’s external auditors with their ongoing reviews of the bank’s internal control structure and annual testing of the financial statements.

Worked directly with the Director of Internal Audit and the Internal Audit Manager – Brenda Schell and David Maira, respectively.

M&T Bank, Buffalo Promise Neighbourhood, Lafayette Court, Buffalo, NY Mar 2019 – May 2021

Director / Senior Program Manager

Planned, developed, and implemented a Male Mentoring Program and Family Literacy Program for students and parents attending the schools sponsored by M&T Bank in the City of Buffalo School System.

Also work as a community liaison with key city stakeholders to improve the M&T Product Brand in the Western New York Community.

M&T Bank, Wealth, and Institutional Services Division (WISD) Wilmington, DE Nov 2017 - Mar 2019

Assistant Vice-President, Audit Specialist / Audit Consultant

Plans and ensures completion of accurate, detailed, and comprehensive risk assessments supporting the unit’s annual audit plan.

Audits include Investment Governance, Incentive Compensation, and other SEC related regulatory areas of the M&T Bank / Wilmington Trust blueprint.

Audit testing areas include: WISD Investment Governance, M&T Securities - Retail Broker / Dealer, WISD Incentive Compensation Program, Asset Allocation, Regulatory Research – Regulation Best Interests (effect of the Fiduciary Rule cessation), etc.

United States, Securities and Exchange Commission, Philadelphia, PA Oct 2007 - Jan 2017

Staff Accountant / Senior Examiner

Staff Accountant / Compliance Examiner responsible for performing surveillance, oversight and compliance examinations of Broker / Dealers registered with the Securities and Exchange Commission.

Performance of duties Includes: Risk Assessments, Report writing, evaluating the suitability of investment choices made by firm officials for its clients, identifying potential fraud, waste, and abuse.

Determining the financial status of each registrant (Net Capital, Reserve, formula, etc.), researching complex and ongoing securities related issues, and other regulatory duties.

Office of the State Comptroller, Office of Unclaimed Funds, Albany, NY Aug 1999 - Oct 2007

Abandoned Property Audit manager

Audit Supervisor responsible for Escheatment / abandoned property audits of banks, insurance companies, Court and trust Funds, Brokers, and other business organizations to determine compliance with New York State’s Abandoned Property Laws.

Responsible for over $16.5 million in Audit Findings as the Audit Supervisor of the Albany OUF Audit Unit since September 1999.

Office of the State Comptroller, Management Audit Division, Albany, NY Aug 1993 - Aug 1999

Senior State Accounts Auditor (SERIES - Civil Service)

Performed financial, operational, and performance audits of New York State departments, agencies, institutions, and authorities.

My specific duties included auditing for financial accountability, evaluating management effectiveness and efficiency, and making recommendations to improve each client's performance.

Price Waterhouse, Buffalo, NY Sep 1991 - Apr 1992

Staff Auditor

Audit testing, work-paper documentation, financial statement analysis, variance analysis, special projects, and other duties as assigned, for firm’s corporate clients - banks, broker-dealers, utility companies, and other general corporations.

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