Manager Management

VAISHALI SHAH

*** ***** ****, *** # **, Jersey City, NJ - 07302 ( Tel: 201-***-**** (

Email: **************@*****.***

SUMMARY

. Around 8 years of controls testing and compliance experience in the

financial services industry.

. Excellent communication skills, attentive to details, quick learner,

adaptable to different job functions and ability to work with senior

management across operations, technology and business.

PROFESSIONAL EXPERIENCE

Ambac Assurance Corporation, New York

October 2013 - December 2013

Senior Consultant - Internal Audit (Temporary Contract)

. Tested and reviewed internal controls for SOX compliance and

identified risks.

Deloitte & Touche LLP, New York

August 2005 - January 2010

Senior Consultant - Enterprise Risk Services, Controls Assurance

(Securities & Broker/Dealer Industry)

. Identified and evaluated business process and technology risks,

internal controls that mitigate risks, and related opportunities for

internal control improvement for a wide variety of financial services

clients, including many large broker/dealers.

. Worked with numerous areas within brokerage operations, including

trading (trade capture), trade support / middle office / order room,

purchase and sales / clearance, settlement, reconciliation / stock

record, account administration, pricing, margin, dividends and

interest, reorganizations, information security (including network,

applications, and database assessments), computer operations, change

management and disaster recovery.

. Tested controls and evaluated the client processes for the issuance of

SAS70 Reports.

. Assisted clients in the readiness/attestation work for compliance with

the Sarbanes-Oxley Act.

. Managed development and delivery of risk and control assessment

services including planning, testing and evaluation of internal

controls, work paper preparation and review, and reporting for

operational control reviews.

. Provided consulting services to major global clients to meet the

client business objectives.

. Monitored engagement progress and managed team members to ensure

completion of projects within aggressive timelines.

. Prepared and delivered presentations to client and internal management

regarding project status, observations and findings.

. Coordinated the planning and delivery of education and training

programs

. Clients include JP Morgan Chase, Bear Stearns, Morgan Stanley, Lehman

Brothers, PricingDirect Inc., Max Recovery, Cantor Fitzgerald, ADP,

MetLife Securities, American Express and UBS.

UBS Financial Services Inc, New York

Jun 2004 - Aug 2004

Financial Research Associate

. Assisted the Financial Advisor in preparing research reports using

financial models.

. Prepared Portfolio Evaluation Reports and Multi Advisor Portfolios of

individual clients.

HSBC Securities and Capital Markets (India) Private Limited, Mumbai, India

Jan 2000 - Jan 2003

Compliance Executive (Manager)

Promoted twice within a span of 3 years and was directly assisting the

Director-Legal & Compliance.

. Conducted periodic compliance reviews of areas including Operations,

Finance, Corporate Finance and Research.

. Conducted various compliance tests such as stock trading restrictions,

conflict of interest checks, insider trading reports, review of cancel

and correct reports, new account opening documentation checks.

. Successfully worked on merging compliance operations of two

predecessor companies and co-authored the internal "Compliance Manual"

required due to the merger.

. Prepared and analyzed various monthly reports on the securities trades

done by the Company.

. Prepared agenda and minutes for the Board Meetings, and Annual General

Meetings of the Company.

. Obtained statutory approvals and filed statutory forms and returns

with regulatory authorities and stock exchanges.

HSBC Securities India Holdings Limited, Mumbai, India

Jul 1998 - Nov 1998

Equity Research Assistant

. Assisted in preparation of research reports pertaining to oil and

petroleum, hotels and automobile industries.

. Analyzed annual accounts and prepared Cash Flow Statements, in

accordance with financial models.

EDUCATION

MBA (Finance & Investments) - Zicklin School of Business, New York, USA

June 2005

Company Secretary (Corporate Law) - Institute of Company Secretaries of

India December 1999

Bachelor of Commerce (Financial Accounting & Auditing) - H R College,

University of Mumbai, India June 1998

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