Senior internal/external auditor

Nina Casey

Phone: 708-***-**** Email: **********.**@*****.***

Executive Summary

Diligent and results-driven Senior Auditor and Financial Professional with over 15 years of progressive experience in external auditing, compliance, financial reporting, and risk management across corporate, nonprofit, and banking sectors. Skilled in identifying control weaknesses, developing solutions for regulatory compliance, and leading teams to improve efficiency and accuracy in financial processes. Adept at mentoring staff, building client relationships, and delivering high-quality audits and compliance reviews under GAAP, IFRS, and regulatory frameworks.

Key Highlights & Core Competencies

• 15+ years of experience in auditing (external/internal), financial reporting, and regulatory compliance (GAAP, IFRS).

• Strong expertise in Anti-Money Laundering (AML)/Know Your Customer (KYC), risk assessment, and sanctions monitoring within financial institutions.

• Proven leadership in mentoring, training, and managing audit staff to achieve compliance objectives.

• Track record of delivering timely and accurate financial statements, audit reports, and compliance testing.

• Adept at leveraging advanced Excel and financial systems to improve audit processes and enhance accuracy.

Professional Experience

Assurance Senior External Auditor

Mitchell & Titus 2021 – 2025

• Planned and conducted audits of financial statements in accordance with GAAP and IFRS.

• Identified and resolved accounting issues under U.S. GAAP and IFRS standards while advising management on compliance requirements.

• Performed targeted fieldwork, tested internal controls, prepared audit workpapers and reports, and evaluated standards.

• Developed comprehensive understanding of client operations, compliance standards, and risk management practices.

Anti-Money Laundering/ Financial Crimes Intelligence Senior Analyst BMO Harris 2019 – 2020

• Developed and enhanced transaction monitoring, sanctions screening, and customer risk models to strengthen fraud and AML detection capabilities.

• Performed ad hoc and strategic analysis on emerging financial crime trends, customer behaviors, and operational risks, providing actionable insights for management and compliance units.

• Analyzed and validated large, complex data sets, ensuring accuracy, consistency, and adherence to data governance standards.

• Created and presented comprehensive reports for senior stakeholders, regulatory agencies, and internal risk committees to support compliance and decision-making.

• Translated business and compliance questions into data-driven analytical solutions, presenting findings clearly to non-technical stakeholders across departments.

• Partnered with technology teams to define data requirements, optimize database structures, and enhance analytics infrastructure, improving efficiency and reporting accuracy.

• Maintained up-to-date knowledge of financial crime threats, typologies, and regulatory expectations, ensuring compliance practices aligned with evolving standards. Quality Control Analyst, Associate

J.P. Morgan Chase 2018

• Performed detailed quality control (QC) reviews across Customer Escalations programs to ensure compliance with regulatory standards and firm policies.

• Independently managed the Business-as-Usual (BAU) QC case queue, meeting Service Level Agreements (SLAs) and adapting to ad-hoc management priorities, timelines, and deliverables.

• I partnered with cross-functional teams to deliver regulatory-compliant solutions that improved efficiency and supported business objectives.

• Identified process inefficiencies and operational risks, recommending strategies for program enhancements to senior management.

• Championed mission-critical change initiatives, preparing teams for transitions and driving adoption of improved Know Your Customers (KYC)/Anti-Money Laundering (AML) practices.

• Analyzed and escalated critical issues, errors, and potential risks, ensuring timely risk assessment, remediation, and senior management notification.

• Strengthened the firm’s AML/KYC risk management framework by enforcing consistent application of controls and best practices through rigorous QC reviews. Senior Relationship Specialist, Client Service

Millennium Trust Company 2017 – 2018

• Responsible for client satisfaction on all aspects of their Individual Retirement Account activity including investment funding for clients with accounts above $250,000 in value.

• Assigned as personal representative to 250 clients with values above $250,000 and 6 fund custody sponsors.

• Handle incoming escalated client services calls on issues related to their accounts, investments, IRS tax codes.

• Facilitate asset purchases, accounting, compliance matters. Senior Auditor, Alternative Investments

Northern Trust Company 2008 – 2016

• Functioned in various roles on audit engagements, including leading audits, staffing audits and providing consulting or oversight functions based on the needs of the team.

• Responsible for staying current on regulatory rules and changes within the industry.

• Communicated with partners at all levels, developing and presenting recommendations on operations and controls for the business unit.

Education

Robert Morris College – Orland Park, IL

Bachelor of Business Administration, Accounting Graduated: April 2008 Professional Affiliations

Institute of Internal Auditors (IIA) – Member

Association of Certified Fraud Examiners (ACFE) – Member National Association of Black Accountants (NABA)

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