Zoltan Szabo, CIA, CFE, CFSA

**** ***** ****** # ***, ******, CO 80134 • 303-***-**** • q6ug11@r.postjobfree.com

SUMMARY OF QUALIFICATIONS

Risk Assessment /Risk Management Sarbanes-Oxley 404 Business Procedures

Project Planning /Project Management Control Assessment Financial Reconciliations

Workflow Analysis Staff Supervision Problem Solving

Financial Services Internal Auditing Six Sigma Processes Self-starter with ability to mentor

PROFESSIONAL EXPERIENCE

Aurora Bank FSB. (Aurora Loan Services – A Lehman Brother’s Company)

2003-Present Littleton, CO

Senior Corporate Auditor 2006 - Current

Perform risk assessment, planning and audit scope development and audit execution of complex organizational, financial, regulatory compliance and operations data integrity. Manage the annual SOX 404 testing with external auditors. Assess and monitoring of the company’s financial reporting and financial reconciliation. Assess audit entities by monitoring selected key risk indicators, reviewing management reports and maintaining business relationships with appropriate levels of management. Draft audit reports that address the effectiveness and deficiencies of the business’ internal control environment. Work with key management to enhance efficiencies, and verifies that management action plans are being carried out. Review and analyze new policies and procedures to ensure that control considerations are evaluated and properly addressed. Supervise staff in the conduct of audit engagement and provide formal performance evaluation.

Selected Accomplishments:

 Managed Sarbanes-Oxley 404 external audit (E&Y).

 Recommended and piloted changes to streamline audit workpaper documentation and roll out changes. Provided management with improve ability to quickly assess completeness of audit testing and appropriate disposition of identified audit findings.

 Coordinated the collaboration between Corporate Audit and the Process Improvements (Six Sigma team)

 Enhanced annual ancillary revenue income by approximately $ 600,000

Servicer Balancing Analyst 2003-2006

Worked with Lehman Brothers’ Transactions Management and Investors on quality control issues of newly securitized portfolios. Oversaw the servicing requirement collection of funds, data and reporting for newly securitized Mortgages (approximately $ 40 billion annually). Ensured that data integrity and remittance accuracy is within timeframes established in the appropriate Servicing/ Master Servicing Agreements. Directed primary servicers to research and / or correct various reporting and cash related issues and discrepancies. Functioned as liaison for Lehman Brothers with a number of large well-known Investors/Trusts such as Washington Mutual Bank, Wells Fargo Bank, BONY, Countrywide Mortgage, Citibank and JP Morgan Chase.

Selected Accomplishments:

 Created the corporate advances settlement procedure to track and expedite collection of such funds which are due following pooled loans securitization, resulting an annual float income of $2.4 million.

 Recognized for coaching less experienced Servicer Balancing staff and developing operational procedures.

 Developed procedures to enhance existing controls and to address operational concerns.

CoBank, ACB Englewood, CO

Financial Instruments Accountant 2001-2003

Coordinated all primary accounting function relating to CoBank’s $4 Billion investment and $19 Billion debt portfolio. Developed daily, weekly and monthly projections for investments, cash flow and financial analysis. Maintained complex accounting and financial databases to provide information on Cobank’s assets and liabilities for Corporate Accounting, Foreign Investments, the Treasury Group, Banking and regulatory agencies. Monitored data on all financial instruments and foreign exchange transactions to ensure accurate payments.

Selected Accomplishments:

• Designed a number of new database concepts and devised/improved existing procedures to increase efficiency and productivity.

• Helped to develop matrixes and source listing for indexes for investment factoring and short term

Investments.

INVESCO Funds Group Denver, CO

Auditor/Accountant - Portfolio Accounting 1999-2001

Monitored accounting activities in support of mutual fund accounts, including Fund Accounting/Fund Administration; this included verifying daily and monthly fund valuation information. Analyzed, reviewed and approved work done by corporate actions, pricing, trade and settlement teams. Collected and prepared information necessary for the annual and semi-annual shareholder reports and external audits. Consulted with the Compliance Department to ensure appropriate asset segregation levels are maintained within Funds that require collateralization. Assisted in the development and implementation of departmental policies and procedures and provided support on projects within the department, as well as external departments, while ensuring that all ad-hoc reporting requests are completed timely and accurately.

Selected Accomplishments:

• Oversaw the appropriate fund accountants and custodial bank team in resolving cash and asset reconciliation differences within the Funds.

• Selected to assist in process reviews to determine system and operational requirement for business continuity readiness.

EDUCATION

• Master of Business Administration – (MBA Finance,) University of Colorado at Denver

• Bachelor of Arts, - (BA Economics,) University of Colorado at Denver

CERTIFICATION AND PROFESSIONAL AFFILIATIONS

• Certified Internal Auditor (CIA)

• Certified Financial Services / Bank Auditor (CFSA)

• Certified Fraud Examiner (CFE)

• Institute of Internal Auditors, Denver Chapter

• Association of Certified Fraud Examiners

• Member of the Financial Services Auditor Group

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