STAY AHEAD

Aided management with their assessment of internal controls over financial reporting.  Assisted in the development of the annual fraud risk assessment.  Assessed and updated the annual business continuity and disaster recovery plan.  Conducted various industry specific internal audit engagement initiatives.

Developed and helped implement the back-office infrastructure, including policies and procedures and an internal controls framework.  Aided management with their assessment of internal controls over financial reporting and conducted various internal audit engagement initiatives.   

Performed a general financial controls review, evaluating the design and effectiveness of internal control, documented policies and procedures in compliance with regulation 17Ad1-19 and 17f-1, provided management with best practice solutions.

Aided the company in their annual review to determine whether policies and procedures pursuant to Rule 38a-1 under the Investment Company Act of 1940, were operating effectively.  Also performed forensics tests over Insider Trading and Valuations.

Helped $ 6 billion Alternative Investment group with multiple subsidiaries including  a Hedge Fund, Private Equity fund, REIT assess their SOX program and standardize Governance, Risk and Compliance (GRC) processes. This resulted in several improvements and standardization of SOX /GRC processes and templates that significantly enhanced efficiencies.

Assisted this fund manager to evaluate and improve cash management and reporting controls and share capital reconciliation and interface with third party registrars, custodian and fund administrator

Assessed the design of controls over the trade finance credit process including Initial Due Diligence, detailed investment evaluation by investment committees, roles and responsibilities, legal documentation, deal close process, and post deal monitoring of investee operations. This resulted in creation of a Credit Process Manual for the company which included several recommendations for control improvements.

Assisted the company is assessing design and operating effectiveness of internal controls over financial reporting. This included review of financial reporting controls over entity level controls per the COSO framework, investment management, investment income, borrowings and financial reporting cycles.

Assisted the Board of the family office assess the internal controls over partner capital contributions and distributions including evidence of documented requests for withdrawals, segregation of duties, proper credits to partners accounts and reconciliations to bank statements, general ledger and Partner’s Capital Accounts.

Assessed the design of controls over the trading desk operations, trade reconciliations with brokers and fund administrators, investment concentration limits monitoring and reporting, subscriptions & redemption processing, managing of separate accounts and SMAs, RFP database, IT access controls, DRP, information security and availability, program change management, month end close, valuations and SEC financial reporting.

Assisted the Bank assess and document policies and procedures and improve internal controls over the monthly board and senior management reporting, budgeting and forecasting, commitments and contingencies, subordinated debt, Other Real Estate Owned (OREO), abandoned property and dormant accounts, monthly close and SEC financial reporting.