Areas
of Expertise
-
Change Facilitator
- Retail and Commercial Banking
- Transaction Processing and Securities
Settlement
- Vendor Management
- Risk analysis
- Continuity of Business
- Training
- Fraud Prevention
- Fiduciary Compliance
- Technology Audit
Skills
- Project Management
- Contract Negotiations
- Creative Problem Solving
- Development of Control Metrics
- Strategic planning
- Strong Written and Verbal Communications
- Strong Staff Manager
Independent Consultant
2008 - Present
- Create a marketing plan to offer consulting
services to a broad spectrum of clients
- Develop and introduce training courses
for Audit and Control and present at major conference
CITIGROUP,
NEW YORK
VICE PRESIDENT/DIRECTOR
Professional
Experience Compliance and Business Process Director for Issuer Services within
Global Securities 2001 - 2008
- Implement audit program covering
all legal/regulatory and global policies and procedures
- Create self audit programs to validate
adherence to all controls, policies and procedures
- Oversight of the risk and control environment
for all third party outsourced vendors
- Liaison with both internal and external
audit and all regulatory agencies for the business
- Designated business information
security officer for Issuer services
Compliance Director,
Corporate Trust 1995 - 2001
- Create self-audit reviews for all
major units
- Develop and implement internal risk assessment
methodology
- Liaison with all regulatory,
internal and external auditors
INDEPENDENT
CONSULTANT 1993-1995
-
First Chicago Trust Company
- Citicorp
FIRST
FIDELITY BANCORP
TECHNOLOGY
AUDIT DIRECTOR 1992 - 1993
- Initiated program to integrate
the EDP Audit discipline throughout the Audit Division
CITICORP,
NEW YORK, VICE PRESIDENT
Audit
Director, Institutional Bank Financial Services 1986-1992
Supervised
investment and corporate staff audit activities for domestic operations, and technology
facilities including transaction processing, cash management, brokerage and corporate
staff functions
- Reviewed major Systems for adherence to
system development life cycle procedures
- Supervised year-end financial sign-off;
basis for certifying corporate financial statements
- Incorporated fraud audit strategies for
detection and prevention
Audit
Director, Consumer Banking Division 1981-1986
Managed IT Financial
and Operational audit activities for Citibank's 275 branches and processing centers
-
Streamlined branch audit program by 50%
- Emphasized high exposure regulatory reviews
saving more than $5 million
- Implemented a value added anticipatory
indicator program
- Created credit review
process for all major portfolios
OTHER
WORK EXPERIENCE
Adjunct Trainer for the Forum Group, Securities Division
Senior
Consultant for M.I.S. Training Institute
EDUCATION/PROFESSIONAL
BBA,
Economics/Accounting C.U.N.Y.
Certified
Information Systems Auditor (CISA)
PROFESSIONAL ACTIVITIES
Member,
Board of Directors, N.Y. Chapter, Bank Administration Institute
President,
New York Chapter of EDP
Auditors Association
