Angela Wang, CPA
Open to Relocate Nationwide / 914-***-**** / firstname.lastname@example.org
Linkedin https://www.linkedin.com/in/angelawangcpa/ PROFESSIONALEXPERIENCE
ALLIANCE BERNSTEIN L.P. White Plains, NY 2014 - 2017 Associate Officer (Broker Dealer Operations)
• Lead and manage daily reports produced by Broadridge outsourcing team with more than 5 associates
• Evaluate the effectiveness of the company's internal control framework in addressing risks and accomplishing the company’s goals and objectives. Manage operational risks in business units and oversight global risk maps to implement corrective ac- tions to mitigate and eliminate operational risks. Coordinate ongoing risk and financial reporting with on-site teams and sup- port on-site teams to interact with internal/external audits, regulators and senior management.
• Responsible for handling regulatory reports, such as Focus Report, 15c(3) Calculation, FBAR, Form 1042, Form 8938, etc.
• Responsible for informal (ad hoc) and formal (information request letters) requests for targeted examinations, such as Cus- tody Audit, Surprise Exam, Quarterly Security Count, Compliance Report (AT101), SSAE16, FINRA 3120 Supervisory Con- trol, and SOX 404. Oversaw regulatory relations to ensure effective monitoring of examinations and escalate issues to man- agement. Develop dashboards and highlight regulatory interactions with examiners, key regulatory findings, and other no- table changes in the regulatory environment.
ROYAL BANK OF SCOTLAND GROUP, Stamford, CT 2012 – 2013 Senior Analyst (SOX and Risk Management)
• Responsible for SOX adequacy and effectiveness review and 302 and 404 certification. Processes cover front to back con- trols, including Operational risk, Market Risk, Credit Risk, Liquidity Risk, P&L Attribution, Loan Operations, Independence Price Valuation (IPV), Business Unit Control (BUC), and Client Onboarding (AML). Products involved are Equities, Futures, US Treasuries, Credit Markets, International Sovereign Debt, Rates and Flow Credit.
• Review the reconciliation of various reports including daily P&L, Balance Sheet, and data movements to the GL and source systems. Also review the month-end close and substantiation of the Trial Balance to supporting documentation.
• Work closely with front office and other support groups to enhance controls in trade capture, trade validation and trade con- firmation. Play a key role in establishing daily reports, procedures and controls.
• Conduct the Multi-ledger Clarity project to integrate four local ledgers into a Global Oracle system, resulting in a 10% im- provement in management reporting cycle time.
DELOITTE & TOUCHE, New York, NY 2011 - 2012
Project: JP Morgan Chase& Co. a leading global financial services firm with assets of $2 trillion
• Conducted Mortgage Servicer Foreclosure Review requested by OCC (the Office of the Comptroller of the Currency).
• Participated in the development of the audit plan, including update of the Risk Analysis and Auditable Areas Schedules, and the scheduling of interviews with various personnel throughout the organization.
• Led teaching sessions on foreclosure process for new staff and consistently ranked as a high performer on the team.
• Developed expertise in controls testing, analysis and conclusion. Such roles include holding walkthroughs, identifying and evaluating control deficiencies, reporting to management, and ensuring remediation. MILLIGAN & COMPANY, Philadelphia, PA 2009 – 2010
• Functioned as the Senior Associate and managed engagement team, playing a leading role in every aspect of planning, execu- tion, and conclusion of the engagement.
• Reviewed company and affiliate company draft SEC filings (10-K, 10-Q, 11-K) and draft earnings releases. Verified accuracy and consistency between documents and submitted revision suggestions to senior management. EDUCATION
Stern School of Business, New York University, New York, NY Master of Business Administration (MBA), Concentration in Finance McIntire School of Commerce, University Of Virginia, Charlottesville, VA Master of Science in Accounting
DUAL BACHELOR DEGREE, Beijing, China
Brookes University, First Class Honors in Applied Accounting University of International Business & Economics, Business Administration, magna cum laude PROFESSIONAL CERTIFICATIONS
• CPA licensed in the state of New York and Virginia
• IFRS Chartered Certified Accountant (ACCA)
• FINRA Series 99 license
Mr. Peter Tucci
Senior Vice President
Mr. Ali Saqib
Direct manager at RBS
Mr. Greg Turlington
Direct manager at Milligan Co.