John H. Ludemann, Jr., CAMS

** ******** ****** ( Stony Brook, NY 11790 ( 631-***-**** Home ( (631)

***-**** **** (acyiwo@r.postjobfree.com

Internal Audit Professional known for innovative and best practice

approaches to planning and executing audits from inception to completion.

Well disciplined with proven ability to mange multiple assignments

efficiently under tight deadline schedules. Strong team builder fosters

atmosphere that encourages talented professional to balance high-level

skills with maximum production.

Competencies

Equities Private Equity FRB Rules & Regulations

AML Rules & Regulations

Futures Private Banking CFTC Rules & Regulations

OFAC Rules & Regulations

Options Capital Markets NYSE Rules & Regulations

Securities Act of 1933

Derivatives Asset Management OFAC Rules & Regulations

Securities Exchange Act of 1934

Commodities Investment Banking FINRA Rules & Regulations

Investment Advisory Act of 1940

Fixed Income Investment Advisory AB&C Rules & Regulations

Investment Company Act of 1940

Experience

Citigroup

Senior Vice President, Senior Control Officer

Global Anti-Money Laundering/Sanctions Compliance Testing Team

04/14 - Present

. Contribute to strategic direction of Citi's Global AML/Sanctions

Compliance Testing function in the establishment of risk based

reviews, which include methodologies, organizational design, as well

as effective positioning of function to ensure provision of

independent assurance.

. Use communication, leadership, and management skills to influence wide

range of internal audiences including respective product, function, or

regional executive management partners as well as external audiences

including regulators and external auditors.

. Direct complex review activities for component of product line,

function, or legal entity at regional/country level, including a

portion of Global AML/Sanctions Compliance Testing's annual plan.

Responsible for providing valued and timely independent assurance on

design as well as operating effectiveness of sub set of product,

function, or legal entity at a global/regional level.

. Responsible for delivery of value-added multiple concurrent reviews on

time and to specification.

. Ensure delivery of review reports that are complete, insightful,

timely, error free and concise.

. Ensure timely delivery of regulatory and Global AML/Sanctions

Compliance Testing review issue validation as well as issue validation

on other remediation actions, including issues arising from external

auditors, consultants, and other parties.

. Contribute towards delivery of high impact reports of Global

AML/Sanctions Compliance Testing's contributions to executive

management as well as regulators, including development of trend

analysis and thematic reporting.

. Deliver learning and development programs. Develop approaches to

promote knowledge sharing as well as promulgate management best

practices across Global AML/Sanctions Compliance Testing.

. Collaborate across business and functions to improve Global

AML/Sanctions Compliance Testing's coverage and reporting on common

high risk areas such as KYC, AML, Fraud, Technology, Sanctions,

Consent Order, as well as other enforcement action compliance.

Capital One Bank

Vice President, Senior Audit Manager

Anti-Money Laundering/Sanctions Compliance Audit Team

11/12 - 04/14

. Managed and performed AML/Sanctions audits. Responsible for risk

assessment, audit planning, audit testing, control evaluations, report

drafting, as well as follow-up and verification of issue closure.

. Established strong working relationships with AML Compliance

management.

. Worked closely with AML/Sanctions Compliance audit colleagues in the

early identification of emerging control issues and reporting them to

Audit management and business stakeholders.

. Developed recommendations to strengthen internal controls and improve

operational efficiency.

. Drove plan creation, execution and changes based on changing business

risk profile.

. Performed ongoing analysis of risk trends through the development and

implementation of audit coverage.

. Stayed up-to-date with evolving regulatory changes and market events

impacting the business.

eDelta Consulting

Senior Manager, Core Assurance Services

11/08 - 11/12

. Managed and performed financial, operational, and compliance audits

for Banks, Broker-Dealers, Asset Managers, Hedge Funds, as well as

Private Equity Firms in Asia, Europe, and the United States.

Responsible for scoping and planning of audits, completing audit

programs, evaluating test results as well as communicating audit

results to senior management.

. Coordinated various strategic initiatives for the internal audit

function of a major financial services institution to transform its

core activities such as internal audit methodology, audit universe,

risk assessment, audit execution framework, issues management

framework, management reporting, as well as audit committee reporting.

. Managed implementation and subsequent beta testing of a $5 Million

portfolio accounting system for a global property and casualty

insurance company's asset management division.

. Coordinated Rule 15c3-3 (Possession or Control) review for the global

clearing operations of a leading money center bank. Scope of review

included: (i) Rules & Regulations; (ii) Policies & Procedures; (iii)

Processes & Controls; (iv) Securities Under Control; and (v) Excess

Margin Securities.

. Directed firm wide compliance review of account opening policy and

procedures for the global wealth management division of a leading

money center bank.

. Implemented reviews of front office, back office, and control

processes for cash, rate, credit, securitized, equity derivative, and

credit derivative trading desks for the investment banking division of

a major global bank.

. Coordinated global review of funds settlement, cash reconciliation,

collateral operations, market risk management, credit risk management,

and risk accounting areas for the capital markets division of a major

international trading company.

. Performed $100 Billion multi-currency AUM reconciliation for a global

asset management firm.

Crawford & Company

Director, Internal Audit

08/07 - 11/08

Managed and performed financial, operational, and compliance audits of

products, business areas, and subsidiaries. Audit exposure included Retail

Banking, Commercial Banking, Private Equity, Capital Markets, Structured

Finance, Investment Management, Asset Management, as well as Hedge Fund

Management.

American International Group

Senior Manager, Internal Audit

09/04 - 08/07

Managed and performed financial, operational, and compliance audits of

products, business areas, and subsidiaries. Audit exposure included Retail

Banking, Commercial Banking, Private Equity, Capital Markets, Structured

Finance, Investment Management, Asset Management, as well as Hedge Fund

Management.

Morgan Taylor & Associates

Manager, Core Assurance Services

12/90 - 09/04

Managed and performed financial, operational and compliance audits for

Banks, Broker-Dealers, Asset Managers, Hedge Funds, as well as Private

Equity Firms.

PricewaterhouseCoopers

Senior Associate, Core Assurance Services

12/88 - 12/90

Supervised and performed financial, operational, and compliance audits for

Banks, Broker-Dealers, Asset Managers, Hedge Funds, as well as Private

Equity Firms.

Education

Baruch College, CUNY

Bachelors of Business Administration, Accounting

12/88

Memberships

Institute of Internal Auditors, NYC Chapter

Association of Certified Anti-Money Laundering Specialists, NYC Chapter

References

http://www.linkedin.com/profile/view?id=11191101&trk=tab_pro

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