Management Manager

Elisha Fenner Cell: 201-***-****

*** ****** ****** ****: 732-***-****

Dayton, NJ 08810 E-mail: **************@***.***

Summary: Extensive experience in auditing, financial reporting and providing guidance and training to

audit team members (e.g., Staff Auditors, Experienced Auditors and Senior Auditors).

Professional Experience:

Depository Trust and Clearing Corporation, New York, NY March 2005 – February 2009

Senior Auditor, Internal Audit Department

• Worked closely with senior level management within the internal audit department by planning,

developing and executing detailed risk based audit programs for multiple audits of the Government

Securities and Mortgage Backed Securities Divisions, Risk Management, Office of Corporate and

Regulatory Compliance (OCRC), Operational Risk Management, Membership and Treasury

business areas.

• Prepared planning memos, audit programs, workpapers and audit reports distributed to Senior Level

Management and the Audit Committee.

• Responsible for coordinating/communicating recommendations with senior level management of the

business areas to enhance the internal control environment, evaluated the implications of the

recommendations and conducted follow-up with the business areas to ensure appropriate

compliance with final recommendations.

• Assessed the effectiveness and efficiency of the BSA/AML framework in compliance with federal and

state laws and regulations.

• Identified, documented, evaluated and reported on the internal control environment established

surrounding the Lehman Brothers bankruptcy.

• Participated in the implementation of a department-wide computer assisted audit tool (Galileo) and

other departmental business initiatives (e.g., audit report and risk control ratings).

New York Mercantile Exchange, New York, New York April 1997 – December 2004

Audit Supervisor, Financial Surveillance Division

• Advanced within the organization; promoted from staff auditor to audit supervisor during tenure.

• Directed, coordinated and prioritized the financial and operational risk based audits of select

Clearing Member Firms (FOCUS reports for Broker/Dealers and 1-FRs for Clearing Member Firms).

• Established Risk Based rationale for selection of audit scope.

• Identified risks, evaluated the internal control environment to ensure compliance with GAAP, GAAS

and exchange and Industry (e.g., CFTC, NFA) regulations.

• Conducted opening interviews with the Clearing Member Firm Liaison.

• Accountable for all audit procedures including Risk Assessment, Planning, Documenting, Evaluating

and Testing, Identifying, Reporting, Review and Follow-up to ensure corrective action had been

taken.

• Controlled day to day performance of testwork performed by team members.

• Discussed the audit findings with Senior Management and recommended practical alternatives for

operational and internal control improvements.

• Prepared the audit report with management responses.

• Responsible for performing supervisory and advanced technical lead duties including overseeing

and coordinating audit activities.

• Performed surveillance procedures as a Firm Coordinator.

Woods Paramount Ltd., New York, New York February 1991 – March 1997

Full Charge Bookkeeper/Office Manager

• Implemented and maintained a computerized Accounting software (Timberline) system to produce

job costing, accounts payable (1099’s), accounts receivable, payroll (W-2’s), and financial statement

reports.

• Prepared annual and quarterly Federal, New York State and New York City payroll tax returns.

• Assisted in the weekly preparation of weekly cash flow projections.

• Coordinated and maintained office procedures.

• Prepared all proposals, bids and correspondence.

• Prepared monthly client billings.

Prudential Bache Securities, New York, New York March 1990 – February 1991

Corporate Staff Accountant, Limited Partnerships

• Filed, prepared and analyzed 10-Q’s and 10-K’s on a quarterly and annual basis with the Securities

and Exchange Commission for seven limited partnerships.

• Prepared financial statements for several limited partnerships (Real Estate, Jet Leasing, Commodity

and Mining).

• Hired, supervised and trained college accounting students to assist in the preparation of 10-Q’s and

10-K’s.

• Assisted in the implementation of an automated accounting system.

Oppenheimer & Co., New York, NY February 1989 – March 1990

Corporate Staff Accountant

• Monitored the securities trading of a $100M partnership and produced monthly financial statements

and notes.

• Responsible for other management reports and general ledger entries.

Ensign Bank, FSB, New York, New York June 1988 – February 1989

Bank Auditor

• Performed branch and operational audits of bank branches

• Assisted in the preparation of audit reports

Education:

May 1988 Binghamton University Binghamton, New York

School of Management, Bachelor of Science in Accounting

Computer Skills: Proficient in Microsoft Excel, Word, Outlook, PowerPoint, Timberline (Accounting

Software) JD Edwards and Galileo (Computer Assisted Audit Tool – CAAT)

Contact this candidate