Customer Service Accounting

ANIS MULLA

***** **** *** *

Maple Grove MN *****

Cell 763-***-****

INTERNAL AUDIT / COMPLIANCE / SOX TESTING / BANKING & FINANCE, TRUST,

SECURITIES, ACCOUNTING PROFESSIONAL.

A Financial Services professional with over 10 years experience in the

finance and accounting fields with a public accounting background.

Internal / External Audit, Compliance Process Improvement Methodologies

and SOX Testing Exposure

Review/Analysis Compliance Process Analyzing 10K, 10Q, SEC reporting, etc.

Suspicious Activity Report (SAR) - Exposure/Experience in Risk Control

Monitoring Environment

Compliance & Audit findings follow up Developing Control Matrix

Planning, Initiating, Executing and Anti-Money Laundering Act (AML), Bank

Recommending and reporting results Secrecy Act (BSA) & OFAC Experience

Interviewing Business Owners on Foreign Currency (Exchange &

Identifying gaps on Internal Control Investments)

PROFESSIONAL EXPERIENCE

Protiviti Current

SOX 404 Testing 2010

. Treasury

. Funding and Derivatives Testing

. Boli/Coli Testing

. Consumer Lending

Robert Half/Accountemps May 2010 -

Aug 2010

(Contract Position - Wells Fargo)

Financial Analyst

. Analysis of Marketing for Insurance Group

. Review and Analyze weekly marketing campaigns

. Update charts and pivot tables weekly

. Financial Update - Weekly/Monthly/Quarterly

Kelly Financial

(Contract Position _ US Bank) June

2009-April 2010

Risk & Compliance Analyst

. OFAC Compliance Screening (Bridger / In Sight Database) vs. SEI

. Bank Secrecy Act (BSA) Monitoring (Daily/Monthly/Quarterly)

. OFAC Scanning on Daily Transaction vs. SEI

. Weekly & Monthly - Account Name and Address Scanning

. Monitoring 1940 Act Affiliate Transactions - Local & Global Affiliate

Transactions

. FED Settlement Risk and Control Review of Process

. Mutual Fund Correction Review of Process - Follow up on

audit/compliance findings

MidCountry Bank March 2008 -

October 2008

Sr. Auditor

. Finance / Bank SOX Testing - Internal Controls effectiveness on Treasury

& Borrowing & Financial Close

. IRA Audit - Review of IRA accounts sale and compliance regulatory

requirements

. Non - Deposit Investment Branch Audit / Created Audit Control Matrix

. Title Company Audit - Review of policies and procedures and audit test

program

. Internal Control Review of Loans (Wholesale, Commercial and Mortgage)

. FDICIA readiness meetings and flow charts of all the units of bank

. Policies & Procedures reviews

. Audit Committee Meetings

. Bank Security Act and Anti-Money Laundering review of employee bank

accounts

Robert Half/Accountemps May

2007 - Feb 2008

. Fund accounting responsibilities.

. Reconciling Monthly portfolio accounts with the custodian banks.

. Working with custodian banks to research on open items on

reconciliations.

RSM McGladrey / H & R Block Aug 2004 -

April 2007

Internal Auditor

. SOX Projects - Risk assessments (entity wide, including financial

reporting risks)

. Control Matrix / Materiality Calculation

. Auditing (Financial Institutes and Manufacturing)

. Internal audit and Sarbanes-Oxley engagements

. Internal Control Report Program (ICRP) / Loan Reviews / Identify

Control Gaaps

Treasury Associate

. Approving Fed wires and incoming wires

. Funds Management / Supporting Financial Advisors

. Reconciliations of Banks Account / Managing financial activities of

clients

Wells Fargo Bank Feb 1997 -

June 2004

Accountant (Funds Management/Treasury) Sep

2001 - June 2004

. Manage portfolio of accounts / Fund and Invest funds for the accounts

portfolio

. In charge of GNMA / Remics payments / Research on P & I on monthly

basses

Analyst II (Corporate Trust Asset Backed Securities)

June 1999 - Sep 2001

. Assist in the development of ABS administrative polices and procedures

regarding account performances, management and oversight

. Analyzing trust performance default indicators to identify

deteriorating performance, occurrence of trust events of default and

other servicing or collateral portfolio performances issues, review

trust agreement documents and identify all resultant trustee actions

required

Security Specialist III (Trade Settlement Dept.)

Feb 1997 - June 1999

. In charge of Bankers, PTC, DTC and GNMA's Trades

. Verifying all incoming purchases against received instructions provided

by trade initiators

. Balances total purchase/sell cash amount between DTC and Compass.

First Bank (Now US Bank) Minneapolis, MN Jan

1993-Feb 1997

Asset Entitlement Specialist

0. Daily processing of Corporate Actions; Tenders, Consents, Exchanges,

and Calls.

1. Exception research/adjustments/corrections.

2. Meeting deadlines on a timely manner to transfer trades to DTC.

EDUCATION

Bachelor of Arts degree in Accounting, Economics, Commerce and Finance and

have received further training in accounting and bookkeeping. Continuing

Professional Education (CPE); courses IIA basic skills for the internal

auditor, EMS overview, introduction to business consulting, Auditor

Assistant training, and crucial conversations.

. British College (Jersey UK); Bachelor degrees in Economics and Commerce.

. British College (Jersey UK); Bachelor degrees in Accounting and

Bookkeeping.

. American Institute of Banking (AIB); Principle of Banking, Law and

Banking, Marketing and Banking.

. Banking training; Security Landing and Customer Service.

. Suspicious Activity Reporting (SAR) Version 2009 Training

. BSA / ALM Training 2009

. SOX Training

. IIA - Internal Audit Certificate

Achievements

3. Spot award for successfully completing large implementations.

4. Created data information spreadsheet that eliminated manual process.

5. Service Excellence Reward / Team Excellence Reward.

International Experience

. Foreign exchange currency experience.

. Foreign currency (Fixed Deposits, Investments, SWAPS and Off-shore

deposits)

Contact this candidate