Marketing and delivery of consulting and audit services

"Risk management consultants and audit services providor"

General auditor for the Americas

"International commercial and private bank"

Responsible for managing, marketing, and expanding the brokerage, commercial and banking audit/consulting practices. Served as internal auditor for community banks, broker dealers and foreign banks on a co-source or outsourced basis. Directed interface with audit committees on all audit and risk matters including FDICIA, Sarbanes-Oxley Act, Gramm Leach Bliley Act, USA PATRIOT ACT, BSA/AML compliance, fraud, and regulatory enforcement issues. Managed and executed the Sarbanes-Oxley compliance effort for numerous financial institutions, including FASB 133 considerations and required fraud controls. Performed due diligence projects, independent pricing review of trading inventories, and a derivatives review project. Selected Key Accomplishments: (for Accume Partners) Upgraded the audit documentation, recruiting and marketing approaches to increase efficiency and effectiveness, while ensuring the staff motivation and job satisfaction. Personally achieved annual billings in excess of $10M; led entire function to achieve $15M annually. Developed and recruited staff of over 30 professionals to become Sarbanes-Oxley experts.

"Our name, Accume Partners, reflects the accumulated experience of our professionals. It also bears resemblance to the word acumen— a responsiveness, accuracy, keenness of judgment and insight— which we bring to each client."

Designed, developed and directed the internal audit function in the U.S. and globally. Supervised/executed audits in capital markets, investment and merchant banking, structured products, securitization, credit, brokerage, technology, risk management and finance. Recruited, trained and supervised up to 40 audit professionals globally. Facilitated the handling of BSA/AML issues. Responsible for Security Function in US, including employment pre-screening, fraud controls and fraud investigations (operational and customer). Actively participated in Business Continuity Planning and September 11th response for operational risk and insurance support. Handled key strategic initiatives. Worked closely with Market, Credit and Operational Risk Management, and as part of the team to adopt/comply the Basel Accords. Selected Key Accomplishments: Audit function was consistently recognized as top tier of financial institutions. Started the concept of hiring lawyers, traders, quantitative specialists, lenders and marketers to support experienced auditors in providing exceptional and cost-effective audit and risk management services. Used innovative approaches such as joint internal/external audits and facilitated a joint Fed/SEC exam to achieve maximum benefits and lowered capital requirements by 10% to 15%. Structured audit department as a revenue center instead of a cost center; used value-added consulting services, external audit fee reductions and work performed on behalf of regulators as “revenue”. Received regulatory acknowledgement of satisfaction in all key global locations. Asked by OSFI, MAS, FSA (UK and Japan), Fed and OCC to perform work on their behalf.

"At CIBC, we are in business to help our clients, employees, and shareholders achieve what matters to them."

Directed audits in Capital Markets, major non-banking SBC subsidiaries in the United States and other branches/agencies. Responsible for the global audit function of Capital Markets and Treasury (CM&T), including risk evaluation, planning, and supervision. Coordinated with other Corporate Audit offices and handled all trading functions. Assigned to review management, internal controls and procedural adequacy of the Chicago FX Options Central Book related to the acquisition of O’Connor Partners. Responsible for monitoring all aspects of operational risks within CM&T and helped find / design risk mitigants. Selected Key Accomplishments: Planned and led the initial global large scale audit of the International Finance Group based in Zurich and Chicago which led to streamlined processes, standardized approaches and reduction in staff size. Key achievement for a foreigner to be selected to audit in Switzerland. Offered relocation package to Singapore to replicate project work in Asia.

Executed and supervised financial statement audits in healthcare, financial services, commercial and not-for profit clients. Joined as a senior and then was promoted to manager.

"Our 135,000 people are the foundation of our success. We assemble the right multi-disciplinary team for your business,"

Performed and supervised financial audits and consultancy assignments in financial services, mostly in baking, brokerage and asset management industries. Asked to participate in firm’s recruiting and training efforts

"A global network of professional services firms with over 135,000 people working together to deliver value in more than 140 countries."

Managed a department of ten in processing credit card transactions that had been rejected for Master Card and Visa for two years. Had time deadline for resolution of 24 hours for cardholder and merchant rejected transactions.