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Experienced Compliance and Risk Professional

Location:
Buffalo, NY
Salary:
125000
Posted:
August 01, 2020

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Resume:

SEASONED BANKING AND COMPLIANCE PROFESSIONAL

Financial Professional with over 25 years of comprehensive audit, compliance and risk oversight

experience primarily with Federal and State agencies, but secondarily within the Global Banking

industry and public accounting firms. Extensive organizational and system skills used to support

the strategic goals, objectives and mission of each entity I’ve had the pleasure to serve.

AUDIT INDUSTRY EXPERIENCE:

Banking, Insurance (Property & Casualty, Health, Life), Broker / Dealers, Manufacturing

companies, Utilities, Government Agencies, Hospitals, Colleges, etc.

PROFESSIONAL EXPERIENCE:

3/18/19 to Present – Director / Senior Program Manager.

M&T Bank, Buffalo Promise Neighborhood, Lafayette Court, Buffalo, New York

Planned, developed and implemented a Male Mentoring Program and Family Literacy Program for students and parents attending the schools sponsored by M&T Bank in the City of Buffalo School System.

Also work as a community liaison with key city stakeholders to improve the M&T Product Brand in the Western New York Community.

11/17 to March 2019 -- Assistant Vice-President, Audit Specialist / Audit Consultant, M&T Bank, Wealth and Institutional Services Division (WISD) Wilmington, Delaware.

Plans and ensures completion of accurate, detailed and comprehensive risk assessments supporting the unit’s annual audit plan. Audits include: Investment Governance, Incentive Compensation and other SEC related regulatory areas of the M&T Bank / Wilmington Trust blueprint.

Audit testing areas include: WISD Investment Governance, M&T Securities – Retail Broker / Dealer, WISD Incentive Compensation Program, Asset Allocation, Regulatory Research – Regulation Best Interests (effect of the Fiduciary Rule cessation), etc.

10/07 – 1/2017 - STAFF ACCOUNTANT / SR. EXAMINER, United States, Securities and Exchange Commission, 1617 JFK Blvd, Suite 520, Philadelphia, PA 19103, 215-***-****.

Staff Accountant / Compliance Examiner responsible for performing surveillance, oversight and compliance examinations of Broker / Dealers registered with the Securities and Exchange Commission. Performance of duties Includes: Risk Assessments, Report writing, evaluating the suitability of investment choices made by firm officials for its clients, identifying potential fraud, waste and abuse; determining the financial status of each registrant (Net Capital, Reserve, formula, etc.), researching complex and ongoing securities related issues, and other regulatory duties.

8/99-10/07 - ABANDONED PROPERTY AUDIT MANAGER. Office of the State Comptroller,

Office of Unclaimed Funds, Albany, New York 12236. Grade 23 – Civil Service Promotion

Audit Supervisor responsible for Escheatment / abandoned property audits of banks, insurance companies, Court and trust Funds, Brokers, and other business organizations to determine compliance with New York State’s Abandoned Property Laws. Responsible for over $16.5

million in Audit Findings as the Audit Supervisor of the Albany OUF Audit Unit since September 1999.

8/93 - 8/99 - SR. STATE ACCOUNTS AUDITOR (SERIES – Civil Service). Office of the State Comptroller, Management Audit Division, Albany, New York 12236, 518-***-****.

Grade(s) 14, 16 and 18 – Civil Service

Performed financial, operational, and performance audits of New York State departments, agencies, institutions, and authorities. My specific duties included auditing for financial accountability, evaluating management effectiveness and efficiency, and making recommendations to improve each client's performance.

9/91 - 4/92 - STAFF AUDITOR. Price Waterhouse, Buffalo, New York, 14203.

Performed financial audits of various clients as part of a diversified client base which included companies in computer systems/ engineering, consulting, banking, insurance, food service, and manufacturing industries. Specific duties included audit testing, work-paper documentation, financial statement analysis, variance analysis, special projects, and other duties as assigned.

EDUCATION

EMORY UNIVERSITY, Atlanta, Georgia, 1986 - 1991.

● MASTER OF DIVINITY - Candler School of Theology – 1990, Robert W.

Woodruff Fellowship Scholar.

● MASTER OF BUSINESS ADMINISTRATION (MBA) - Graduate School of Business

Administration - 1991.

HOWARD UNIVERSITY, WASHINGTON, D.C., 1980 - 1984.

● BACHELOR OF BUSINESS ADMINISTRATION (BBA) ACCOUNTING.

Professional Certifications –

● CGFM – Certified Government Financial Manager; Member 24038;

● CIA – Certified Internal Auditor; Certificate number 89335

● CGAP – Certified Government Audit Professional; Certificate number 2013;

● CFSA – Certified Financial Services Auditor; Certificate number 7829

● CCSA – Certification in Control Self-Assessment; Certificate number 4584;

● CRMA – Certification in Risk Management Assurance; Certificate number 118;

CFE – Certified Fraud Examiner; Member 561276

REFERENCES

(1) Kenrick Sifontes, Audit Director, OSC, State Audit Division; 212-***-****;

ade0qc@r.postjobfree.com.

(2) Frank Patone, Audit Director, OSC, State Audit Division, 212-***-****; ade0qc@r.postjobfree.com

(3) Dave Hancox, Former Director of State Audits, NYS OSC, ade0qc@r.postjobfree.com

(4) Patricia E. Salkin, Dean and Professor of Law – Touro College, Jacob D. Fuchsberg Law Center,

Central Islip, NY; ade0qc@r.postjobfree.com ; 631-***-****.

(5) Jonathan Jackson, Staff Accountant, U.S. Securities & Exchange Commission, Philadelphia

Regional Office, 701 Market Street, Suite 2000, Philadelphia, PA 19106, 215-***-****.

(6) Rev. William L. Hamilton, Pastor, Friendship Baptist Church, 409 Union Street, Schenectady, NY

518-***-****; ade0qc@r.postjobfree.com.



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