Management Manager

EXPERIENCE

Cardworks January **** to Present

Senior Audit

Participate in all phases of operational/regulatory audits.

Conduct auditee interviews, evaluate control strengths and weaknesses and prepare all necessary documentation required for a complete audit.

Draft audit reports and recommendations for improvement based on evaluation and test work.

Assess the severity of findings and the appropriate risk score to each finding and recommend overall area rating subject to review and approval.

Meet with area management to discuss audit results and recommendations.

Obtains management’s response to findings and establish time frames for completion of management’s action plan.

Perform follow up with area management to ensure that control issues were properly resolved.

Cross County Savings Bank May 2012 to November 2016

Vice President – Chief Auditor

Developed the audit universe, risk assessments methodology, annual budget, risk based audit programs, audit rating system, audit policy manual, planning memo, announcement letter, audit report, audit committee package, issues log, and work paxper standards.

Reported to the audit committee at least quarterly on matters, which included but was not limited to, significant risk exposure and control issues, fraud risk, governance issues, special projects and the status of the audit plan.

Routinely met with the Chief Executive Officer and Senior Management to discuss issues, observations and initiatives.

Conducted audits of high-risk functions such as Anti-Money Laundering, Office of Foreign Asset Control, Customer Identification Program, Customer Due Diligence regulations, US PATRIOT Act Guidelines, Consumer Compliance Regulations, Financial Reporting, Human Resources, Interest Rate Risk, Investments & Borrowings, Residential Mortgages and Personal Loans.

Solely responsible for re-engineering the audit methodology and standard practices.

New York Community Bancorp August 2007 to May 2012

Assistant Manager – Senior Auditor

Performed high-risk audits of Compliance, Financial, Investments and Borrowings, Operational and Sarbanes-Oxley functions.

Analyzed and assessed risk to develop audit procedures, execute testing and concluded on the operation’s effectiveness.

Proposed solutions and recommendations as obstacles were encountered throughout the audit.

Completed all phases of the audit process in accordance with professional standards.

Communicated with all levels of management to evaluate risk and provided ongoing feedback.

Mizuho Financial Group February 2007 to August 2007

Manager of Sarbanes-Oxley Testing Group

Managed the planning, fieldwork, reporting and follow-up for the Sarbanes-Oxley Testing Group.

Developed and implemented the annual plan and testing schedule.

Coordinated and maintained communications with line management and external auditors to ensure adequate coverage.

ACCUME December 2005 to February 2007

Audit Consultant

Completed assurance reviews and Sarbanes-Oxley test work for Community Banking Clients.

Completed assurance reviews of Investments and Borrowings, Financial Reporting and Corporate Governance.

Accomplished all phase of the audit process in accordance with professional standards.

Communicated with all levels of management to evaluate risk and provided ongoing feedback.

MetLife July 2000 to December 2005

Senior Auditor

Performed audits of the Remittance Service Center, which was responsible for applying premium payments for 30 million customers nationwide through lockbox, pre-authorized payment systems, and wire transfers.

Evaluated the controls over the transmission of payment data used to update the policy administrative system and financial reporting system.

Supervised a special investigation of the broker dealers trading desk to evaluate compliance with market timing requirements

Completed risk assessments, planning memorandums, audit programs, testing, drafted audit report and staff evaluations.

Dime Savings Bank of New York July 1998 to July 2000

Senior Auditor

Conducted audits of Dime Securities Inc, which was responsible for broker dealer trading, licensing requirements of sales agents, NASD compliance regarding the advertisement of sale literature, suitability evaluation, and investigating and resolving customer complaints.

Participated on branch audits to assess controls over the safeguarding of assets, dormant accounts, Community Reinvestment Act (CRA) and Bank Secrecy Act.

Bank of New York August 1997 to July 1998

Senior Auditor

Evaluated the controls related to processing, authorization, system access, and funding activities for wire transfer and automated clearing house transactions.

Completed risk assessments, planning memorandums, audit programs, testing, and drafted audit report.

Citibank August 1993 to August 1997

Senior Auditor

Participated on audits in the Consumer Banking Division to assess the wholesale dealership-financing, credit cards, student loan and retail branch operations and regulatory functions. Evaluated the controls over the safeguarding of assets, Bank Secrecy Act, Regulation O – loans to insiders, and wire transfers that were processed by the branches.

Prepared narratives, flowcharts, planning memorandums, audit programs, test work and audit reports.

Chemical Bank Sept 1989 to August 1993

Staff Auditor

Participated on audits in the Consumer Banking Division to evaluate retail branches and operations and compliance functions. Examined controls in place for the safeguarding of assets, cash-in-transit, Bank Secrecy Act, Abandoned property and wire transfers.

Completed risk assessments, narratives, flow charts, audit programs, testing and reportable issues.

EDUCATION

Master of Business Administration – Corporate Finance Dowling College 2005

Bachelor of Business Administration – Accounting Wilberforce University 1989

PROFESSIONAL DESIGNATIONS

Certified Financial Services Auditor (CFSA) Certified Internal Controls Auditor (CICA)

Life Office Management Association (LOMA)

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