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Candidate's Name , CPAEMAIL AVAILABLE, PHONE NUMBER AVAILABLEScotia Bank, New York, New York March Street Address   PresentSenior Manager, Internal Audit  Capital Markets Group - EquitiesTeam lead for Equities and Prime Services (includes Cash Prime Services, Stock Borrow and Lending, and Synthetic Prime Services and SBL), Institutional Equites (includes Electronic Execution Services, Convertible Bonds, Institutional Equities and LATAM), and Equity Research coverage responsible for relationship management and staff management and oversightProvide continuous monitoring of operational areas across EquitiesSelected areas reviewed: US Cash Prime Services, Convertible Bonds, Global Securities Borrowing & LendingMUFG, New York, New York December 2019  March 2022Vice President, Internal Audit  Capital Markets GroupTeam lead for Securitized Products and Operations coverage responsible for relationship management and staff management and oversightDepartment lead for market conduct monitoring including governance, front office supervision, first and second line of defense trade and communications monitoringProvide continuous monitoring of operational areas across equity, fixed income and foreign exchange productsSelected areas reviewed: Market Conduct, Capital Markets Group (Fixed Income and Equities), Operations  Clearance and Settlements, Market Conduct Targeted Review, Repurchase Agreements TradingBarclays Capital, New York, New York October 2011  May 2019Vice President, Internal Audit  Credit and Securitized Products teamTeam lead for Securitized Products team responsible for relationship management and staff management and oversightDepartment lead for Investment Bank Unauthorized Trading program responsible for cancel, amend and late trade reporting, gross exposure monitoring and other key front office controlsDevelop staff through supervision and review of work and informal and formal feedbackPod coach for new hire Foundation AcademyAreas reviewed: IHC Governance, Distressed and Loan Trading, Municipals Cash Sales and Trading, Volcker Proprietary Trading, Volcker Covered Funds, U.S. ABS, CMBS, and Whole Loan Trading, Emerging Markets Credit Trading, Barclays Private Credit Partners, Securitized Products Portfolio Management, US CMBS Secondary trading desk, US RMBS trading desk, Loan Post Trade Services, U.S. Treasury Auction Process, Wealth Management  New Issues, Wealth Management  Retirement AccountsMorgan Stanley, New York, New York June 2010  October 2011Senior Manager, Internal Audit  Institutional Securities GroupDirectly supervise staff on engagements to ensure that risks are appropriately assessed, audit scope is appropriate, testing is properly executed and deliverables (audit program and report) are complete within budgetProvide continuous monitoring of operational areas across equity, fixed income and foreign exchange productsSelected areas reviewed: Interest Rate Swaps Trading, Compliance  Sao Paulo, Regulatory Reporting  Sao Paulo, Special Purpose Vehicles, OTC Derivative Product Setup, OTC Confirmations, Trade Enrichment and Allocations ProcessesCredit Suisse, New York, New York April 2007  June 2010Assistant Vice President, Internal Audit DepartmentSelected areas reviewed: Equity Derivatives Sales & Trading, Program Trading, CS Canada Equity Sales and Trading, Special Opportunities Trading, U.S. Public Credit Trading, Oil Trading, Risk Management and Measurement, Regulatory ReportingGoldman, Sachs & Co., New York, New York January 2005  April 2007Associate, Securities Team, Management Controls Department (Internal Audit)Selected areas reviewed: Equities Relative Value Trading, Government and Agency Trading, Natural Gas Trading, Selected Commodity Transactions Review, Power Scheduling, thematic audits across Equities and Fixed Income Sales, Reg SHO, Anti-Money LaunderingKPMG LLP, New York, New York January 2003  January 2005Senior Associate, Investment Management and Funds PracticePrepared and reviewed financial statements and footnote disclosures to ensure compliance with U.S. generally accepted accounting principlesPREVIOUS EXPERIENCEUnited States Marine Corps November 1991  November 1997Served across the globe in locations ranging from Karachi, Pakistan and Mogadishu, Somalia to Paris, FrancePromoted to the rank of sergeant in 4.5 years (the norm for military police was 7 years)Served as the Military Police Watch Commander responsible for base security in charge of a team of eight to twelve Marines at Marine Corps Recruit Depot, San Diego, CAAfter rigorous interviews, accepted to reenlist for Presidential DutyEDUCATION & CERTIFICATIONSNew York University/Leonard N. Stern School of BusinessMaster of Business Administration  Finance - September 2008Baruch CollegeBachelor of Business Administration, Accounting - May 2002**Summa Cum Laude**Cumulative G.P.A.: 3.97 (top accounting student, 3rd in class of 915)Certified Public Accountant, New YorkSecurities industry licenses: series 3, 7, 24, 63NFA Swaps Proficiency Requirements  Long Track