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| Desired Industry: Finance/Investment |
SpiderID: 26512 |
| Desired Job Location: new york, New York |
Date Posted: 5/5/2009 |
| Type of Position: Full-Time Permanent |
Availability Date: |
| Desired Wage: |
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U.S. Work Authorization: Yes |
| Job Level: Experienced with over 2 years experience |
Willing to Travel: |
| Highest Degree Attained: MBA |
Willing to Relocate: No |
Experience:
• Auditor, Information Risk Management at KPMG, New York (July 2006 – March 2009)
1) Bank of New York Mellon- Integrated SOX Audit and SAS 70 Reporting: April 2009- March 2010
o Scoping and planning of the SAS 70 IT general controls and the application controls to be tested as a part of FY 2008.
o Identifying and testing the business as well as application level controls for the following in the role of a senior associate.
2) Citigroup (Smith Barney)- Integrated SOX Audit: June 2007- Feb 2009
o Identifying and testing the business as well as application level controls for the following-
o Derivative Operations- Swap Accounting, Confirmations, Settlements and Margins
o Derivatives- Credit, Equity, Municipal, Commodities, Futures and Fixed Income
o Risk Treasury and Treasury (US Government and US Securitization)
o Valuations
o Special project-Testing the process around Citi’s exposure to Lehman bankruptcy for Over-the-Counter (OTC) Derivatives, Foreign Exchange, Collaterals and Loans.
o Identifying the financial controls; performing financial recalculations for accrual/ interest rates relevant to the following units- Settlements, Margins Derivatives Risk Treasury and Fixed Income. Additionally, performed Profit & Loss recalculations for Risk Treasury and Derivative Operations.
o Testing the Reconciliations (reports) within various financial units.
o Testing user administration and entitlement level controls by utilizing Security based/Network ACLs (Access Control List).
o Infrastructure and business control testing for a Citigroup subsidiary- Phibro Inc.
3) Other Engagements at KPMG
o Performed the year-end integrated audit for Iona University, St. Johns University and Rockefeller University by testing the business, operations and application controls for the in-scope systems.
o Advising NSLIJ Hospital on the risk management practices for a new system implementation in Patients Care unit.
o Assisted a performance audit client (NJ Dept of Education) as a team lead, performed historical expenditure analysis and testing for internal controls. Additionally, supervised a team of 4 individuals, conducted weekly status meetings with the client, assigned daily tasks among the team and reported the weekly status to the manager.
o Served the advisory practice client (Roswell Foundation Cancer Institute) by assisting their management with the performance on an accounts receivable reserve assessment. The project required analysis of the client’s database by separating various account types (A/R, Allowances, Payments, etc.) and performing queries using MS Access. Also, utilized MS Excel to run various functions (Match, IsError, IF, Lookup, etc) and extract information into pivot tables. Assisted the manager in creating an assessment summary and a formal report for the client.
o Performed the SOX Audit for the following clients- Hitachi, Deutsche Bank, Astoria Financial Corporation and New York Community Bank. Responsibilities included identifying and testing IT controls, based on the 5 components addressed in the COSO framework. Additionally, reviewed the SAS 70 reports for the third party vendors of the client applications and issued reports.
o Actively assist the recruiting department with On-Campus hiring of prospective candidates for the firm and assigned as a mentor to some of the new hires.
• Financial Analyst/Graduate Assistant, State University of New York, Binghamton, NY (Jan 2005-May 2006)
o Assisted the school with forecasting the Tuition and Funding Budget for year 2006-2007, estimated to be $6.65 Million approx.
o Assisted the Graduate School with the Budget Allocation for year 2005-2006, an amount of $6.4 Million, and generating reports (spreadsheet) with MS Access and Oracle 9i.
o Created reports of Tuition expenditure and other expenses to assist the Internal Auditors of the university.
o Created business process diagrams (data flow diagrams) for the graduate admissions and funding processes by utilizing MS Visio.
• Senior Benefit Analyst, GE Capital; India (Jan 2002 - Sep 2003).
o Setting up the new claim, Collating information about the insured and Approving Benefit Payments on GE’s database (Oracle 8i front-end).
o Approved insurance transactions worth $20,000 to $45,000 everyday. Making Benefit Payments and recording the financial data on Excel spreadsheets.
o Authorized to Setup and implement Electronic Fund Transfers (EFT) for payment transactions.
o Interacting with the customers in USA, discussing the new updates and Performing Quality Checks on the processed claims.
Education:
MBA; Majors in Finance and MIS
Reference:
Available upon request.
Candidate Contact Information:
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