Jan 2020 – Apr 2021 · 1 yr 3 mos

Jan 2015 – Apr 2021 · 6 yrs 3 mos

• Work in Senior-level Internal Audit roles serving as an Advisor to multiple financial services clients to help remediate regulatory actions.
• Manage a global team of onshore|offshore resources to conduct Internal Audit assessments across multiple focus areas for clients in the Banking, Capital Markets, Wealth and Asset Management and Insurance industries
• Liaise with regulators to present results of remediation work, resulting in the remediation of material deficiencies identified during regulatory exams and issue closure
• Present quarterly status report to the Audit Committee, which includes internal audit plan update, status of outstanding audit|regulatory|third-party issues and special projects, challenges to the Internal Audit Department and potential solutions
• Write whitepapers and provide Subject Matter Expertise on challenging AML program areas to clients under regulatory scrutiny and looking to advance the AML program to leading industry levels
• Lead workshops and training sessions for clients and business partners to share emerging trends and best practices in internal audit and BSA|AML and OFAC sanctions compliance
• Lead business development activities including, proposals, client relationship management and representing the firm at industry events

Jan 2012 – Jan 2015 · 3 yrs

• Develop risk assessment methodology, perform annual risk assessment, and implement a multi-year, risk-based audit plan for the Internal Audit function leading to compliance with outstanding regulatory actions and the IA charter
• Develop continuous monitoring strategy/framework, including KPIs/KRIs for automated ongoing business monitoring leading to timely updates to the risk assessment and the audit plan
• Oversee all aspects of integrated internal audits through internal audit co-source and outsource arrangements, including review scope|objective of each audit|project, conduct risk assessment to identify key risks and corresponding controls, develop detailed test program strategies as required by IIA Standards, review of potential issues with management and key stakeholders and final audit report issuance

Jan 2010 – Jan 2012 · 2 yrs

• Conduct internal audit scoping/planning activities, walkthroughs, designing and executing test procedures across multiple auditable areas, including, BSA/AML and OFAC, Compliance Program, Lending, Credit, Market and Liquidity Risk Management, UDAAP and HMDA,
• Assist in developing the Risk and Control Self-Assessment (RCSA) strategy/framework and target operating model by assessing risks and controls across various processes, identifying control gaps, and providing recommendations to improve the RCSA process in response to regulatory criticism
• Assist in deploying risk-based control library for the Internal Audit Department (IAD) to reduce time spent on audit planning by 60% and improve overall efficiencies and reporting
• Assist in enhancing the SOX program, while reducing cost of compliance by 40% through automation, rationalization, optimization and redesigning
• controls

Jan 2016 – Present · 10 yrs 5 mos · New York City Metropolitan Area

• Adjunct Professor of Accounting

Jan 2008 – Jan 2010 · 2 yrs · Greater New York City Area

• Managed the monthly, quarterly and annual financial statement close process for J&J’s corporate functions including, IT HR, procurement and finance
• Managed a $1B shared services budget and performed corporate planning functions; quarterly forecasts and estimates, capital budgeting and reporting to senior management

Jan 2007 – Jan 2008 · 1 yr

Jan 2004 – Jan 2007 · 3 yrs