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Assistant Financial

Westbury, NY
February 26, 2020

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*** ******* ***** **** ******, NY *1554 516-***-****


Deutsche Bank October 2016 –January 2020

Assistant Vice President- Non Financial Risk Management

●Assisted with the preparation of Risk Control Self Assessment for all business lines

●Prepared the Fed FR Y-14Q Schedule E Operational Loss History on a quarterly basis

●Prepared reconciliation of Americas Legal Reserves on a monthly basis for reporting to senior management

●Prepared metrics on Internal Loss data for reporting to senior management

●Gathered and communicated all Internal and External Loss Events through various internal and external sources

Assistant Vice President- Principal Auditor

●Participated in audits of Global Transaction Banking businesses in accordance with audit methodology.

●Evaluated the adequacy and effectiveness of internal controls related to the risks within the businesses.

●Proactively executed day to day audit work, including audit planning, fieldwork and reporting

●Developed and documented process flows, identified key risks, assessed controls and performed audit testing.

●Tracked and validated closure of internal audit issues and regulatory observations

●Uploaded audit and testing results into internal GRC application

●Developed relationships with business management to understand products and emerging risks.

Morgan Stanley April 2013 – October 2016

Assistant Vice President- Business Control Unit/Risk Officer

●Oversee and implement a constantly evolving Risk and Control Self-Assessment (RCSA) program for industry leading Consulting Group Wealth Management Advisory business.

●Manage the process of identifying and mitigating operational risk inherent to the advisory business by implementing an effective control environment

●Conduct operational control testing of the RCSA Program for the Alternative Investments, Investment Products, Capital Markets and Advisory Platforms business to ensure the control environment is sufficient

●Manage the relationship with Internal Audit and serve as primary point of contact for all internal reviews and examinations

●Conduct pre-audit preparation with business directors and deliver timely closure verification of all findings post examination

●Created and implemented a new SharePoint site for gathering Cash/Non-Cash Compensation logs from all Wealth Management employees

●Assist Legal & Compliance with gathering documentation for regulatory inquiries and examinations

American International Group, Inc. June 2008 – March 2013

Senior Compliance Analyst

●Identified risks and design controls for the implementation of Federal Reserve (Dodd Frank) Regulatory Reporting requirements

●Executed detail compliance testing of internal controls around Fed Reports FR Y-9C and FR Y-9LP

●Performed detail testing of internal controls within the Corporate Comptrollers Department (CCD), including but not limited to Parent and Other, Divestitures, Financial Reporting( 10K and 10Q), Quality Assurance, and Goodwill

●Monitored business unit 302 Certifications and prepare exception reports for AIG Deputy Comptroller

●Supervised the coordination and documentation of walkthroughs for functional units within the CCD

●Monitored CCD related internal audit issues for resolution and report findings to Financial Controls Unit (FCU) Deputy Comptroller

●Managed external consultants (KPMG, Protiviti) on various SOX control testing and optimization projects

●Maintained operational relationships between FCU and CCD finance management teams to monitor and report status of SOX and compliance related projects

●Assisted in developing policies around Financial Reporting Risk, Quality Control and Government Reporting

●Performed review of AIG Corporate policies and procedures

Anchin Block & Anchin LLP July 2007 - April 2008

Senior Auditor

●Performed financial statement audits, audit reviews and audit compilations for real estate and manufacturing clients

●Performed detail testing of the following accounts: Cash, A/P, A/R, and Payroll

●Prepared Individual, Corporate and Partnership tax returns

●Prepared financial statements, including footnote disclosures

●Prepared analytical reviews of balance sheet and income statements accounts

●Conducted inventory observation and inventory counts for various clients

QBE the Americas (Formerly known as Praetorian Financial Group) June 2006 - June 2007

Internal Auditor

●Managed and executed financial audits of premium and claims of insurance agencies

●Created and developed premium and claims process documentation including risk control matrices, test plans and process narratives

●Conducted control testing premium and claims through standard test workpapers, as well as concluding testing with sufficient results documentations, followed by interviews with the process owners of insurance agencies

●Performed reviews of financial reconciliations of insurance agencies for premiums and claims data

●Prepared workpapers for all financial audits and issues audit reports for insurance agencies

●Managed and prepared all pre-audit activities

Protiviti, Inc. June 2004 – May 2006

Internal Auditor

●Performed detail testing and preparation of workpapers on the following processes: Accounts Payable, Accounts Receivable, Fixed Assets, Revenue, Inventory and Payroll

●Prepared process documentation and required templates, development of control test programs and performance of related testing activities

●Completed testing and gap analysis remediation for financial processes controls related to Section 404 of Sarbanes-Oxley initiative for various clients

●Designed and executed standard audit documentation including: risk & control matrices, test plans, process narratives, risk control narratives and overview flowcharts

●Performed Anti Money Laundering compliance audits for American Express. Detailed testing of SAR's (Suspicious Activity Reports)

Marks Paneth & Shron, LLP August 2002 – May 2004

Staff Accountant

●Performed financial statement audits, compilations, and reviews including detailed testing and analytical reviews of balance sheet and income statement accounts

●Performed detailed testing on the following accounts: cash, A/P, A/R, prepaid assets, fixed assets and employee benefit plans

●Evaluated clients’ accounting and internal control systems, documented internal control weaknesses and prepared recommendations for improvement

●Prepared Individual, Corporate, Partnership, Trusts and Estate Tax Returns

●Assisted with the preparation of the financial statements for various clients

EDUCATION: DeVry Institute of Technology 2002

BS: Accounting



SKILLS: Word, Excel, PowerPoint, Access, QuickBooks Pro, Open Pages, ACL, SharePoint, Axiom, SAP, Actimize, Forcast, Radar, Recap, Rapidminer

LANGUAGES: Fluent in Portuguese. Conversational Spanish.

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