Uploaded File
Robert
robalexander.rr@gmail.com
904-625-6269
5290 Big Island Drive Unit 1217
Jacksonville, FL 32246
Third Party Seasonal Contractor
23 years experience W2
0
Recommendations
Average rating
34
Profile views
Summary

Risk / Auditing / Accounting / Finance

Knowledgeable and detail-oriented Accounting / Finance / Auditing executive with valuable experience in financial product knowledge and accounting for financial securities, whether it be hedge fund accounting, mutual fund accounting, or broker dealer accounting and reporting.

Financial Products Knowledge & Experience

Expertise in derivatives such as credit default swaps, interest rate swaps, total return swaps, commodity indexed linked swaps, “TOBS” (Tender Option Bonds), forward currency contracts, futures contracts, options contracts, long and short positions on securities, short sales transactions, fixed income products, bonds, TBA securities, mortgage backed securities, asset backed securities, interest only strips, principle only strips, ETFs, Fund of Funds, index options, foreign futures, currency swaps, and bond roll forwards.

Regulatory Experience

Regulatory auditing experience in SEC 17a-5 Broker Dealer Financial Reporting FOCUS reporting requirements, SEC 17a-3, 17a-4 records retention regulation, 15c3-1 Net Capital Computations and Haircuts on securities, 15c3-3 customer protection and segregation of customer assets, REG SHO rules 200 markings, 201 circuit breaker “uptick” rule, 203 locate / borrowing requirements, 204 short sale close outs, SEC REG M Rule 105 Secondary Public Offerings, FINRA registration, licensing, CE requirements, AML or Anti-Money Laundering and KYC rules / regulations, Insider Trading regulations, Ponzi Scheme reviews on proprietary trading firms, CBOE rules, and trade practices rules.

Experience
Internal Audit Contractor at PWC
Information Technology
Dec 2019 - Feb 2020
  • Performed test of controls for PWC and their client USAA bank, based on the test plan/control description to determine whether the controls are operating effectively.
  • Ensured test results are well-documented based on a complete and accurate understanding of the control and risk.
  • Performed a planning work and developed an audit program relevant to risk and test objectives.
  • Roll-forward the test results by confirming controls with process owners.
  • Assessed the appropriateness of the controls in the process.
  • Noted any testing exceptions accompanied by testing support in workpapers.
  • If a design/operating deficiency is noted, worked with the experience owner and control owner to ensure that an effective remediation is implemented, and retest is completed timely.
Auditing
Remove Skill
Vice President - Institutional Testing of Compliance Risk Controls
Banking/Financial
May 2017 - Oct 2019
  • Accountable for quality testing execution reporting and analysis of results of financial and operational risk controls.
  • Participated in test script development and test design related to financial and operational risk controls in the trading environment or wealth institutional management line of business.
  • Own and execute the end to end design of new and/or modified test plans and associated scripts collaboration with the Test Owner and Test Development Manager, ensuring compliance with enterprise testing standards and policies.
  • Contributed to the identification of themes and trends the front-line unit control function and enterprise level.
  • Provided training and contributed the Test Execution function
Project Management Compliance Test Planning
Remove Skill
Project Manager
Banking/Financial
Jan 2017 - May 2017
  • Conducted risk assessment during testing execution of risk controls.
  • Collaboration with Data Sampling partners to ensure appropriate sampling requirements are incorporated into Test Plans
  • Partnership with Test Development Manager and Test Owners to interact with Line of Business partners to facilitate test design
  • Participated in other phases of testing (intake, execution, reporting) to provide expertise and feedback on areas assigned.
  • Participated in various ad-hoc projects as requested by management
  • Maintain SOR tracking of test status and evaluate if pilot testing is required and participate in testing as needed.
Project Management Risk Assessment
Remove Skill
Risk Analyst/AVP Finance Risk Controls Oversight
Banking/Financial
Jun 2015 - Jan 2017
Manila, AR
  • Designated as a Subject Matter Expert on SOX Controls as of January 2016
  • Collaborated with Manila, Philippines office on timely production of CFO report files
  • Assessed and mitigated the bank’s risk such as liquidity, market and credit
  • Monitored risk control assessments for compliance with GAAP, IFRS and HGB financial reporting requirements
  • Analyzed and assessed SAB108 risk controls
  • Reviewed adequacy of controls and risks for lines of business related to external and regulatory audits
  • Implemented the bank’s three lines of defense
  • Prepared and Analyzed Dashboard Metrics and KPI (Key Performance Indicators)
  • Identified Sox Control failures, gaps, and deficiencies along with collaborating with stakeholders on remediation plans
  • Financial product knowledge of business areas (derivatives, loans, deposits, tradeable securities).
  • Collaboration with Internal Audit on Findings, Inquiries, and Controls Processes.
  • Review Regulatory Findings (FRB Dodd Frank CCAR, Broker Dealer 15c3-1 haircuts & net
  • capital comps) and analyze to grade on severity level criteria (aging and type of finding) and
  • corrective action responses to close out finding case from stakeholders.
  • Assist and respond to stakeholder’s and senior management ad hoc requests.
  • Conducted Sox Controls, Sox System, Management Reporting Process, & Balance Sheet
  • Substantiation Training via Power Point and Web Ex format.
  • Interface as a point of contact with Finance and Product Controllers and other Oversight contacts.
Compliance Auditing Stakeholder Engagement Training SOX Dodd-Frank
Remove Skill
Financial Examiner
Banking/Financial
Dec 2014 - May 2015
  • (Accepted Deutsche Bank job offer in May started June 2015 relocation reasons).
  • Conducted routine financial audits of CBOE exchange member trading firms
  • Reviewed and verified member firm's monthly and semiannual financial reporting
  • Collaborated with management and colleagues on projects such as markings and close outs
  • Presented case report examinations of firm and findings to Department Management
  • Reviewed and monitored financial books, records, liquid assets and clearance inventory positions
Auditing
Remove Skill
Financial and Operational Examiner
Banking/Financial
Oct 2012 - Dec 2014
  • Conducted routine financial audits of CBOE exchange member trading firms
  • Reviewed and verified member firm's monthly and semiannual financial reporting
  • Collaborated with management and colleagues on projects such as markings and close outs
  • Presented case report examinations of firm and findings to Department Management
  • Reviewed and monitored financial books, records, liquid assets and clearance inventory positions
  • Corresponded with member firms via notification letters and/or interviews
  • Monitored a firm's net liquid assets and haircut changes in accordance with SEC policies and rules
  • Sampled and tested the broker dealer's data, bank statements and a firm's cash management system
  • Reviewed or audited a firm's swaps, equities, bonds, options and ETF's
  • Presented case reports to the Business Conduct Committee
Auditing
Remove Skill
Trust Officer and Team Lead Private Equity Fund Accounting
Feb 2012 - May 2012
  • Managed team members and reviewed employee's performance.
  • Monitored staff hours worked, overtime, vacations and sick leave
  • Participated in Manager and Staff meetings and business conference calls
  • Conducted due diligence reviews of daily bank controls called SSAE16
  • Met client deliverables, daily NASDAQ deadlines and end of month deadlines
  • Performed management of accountants to ensure timely deliverables and mitigating NAV risk error via utilization of checklist reviews, reviews of accountant's work in Invest One system and EMS red flag exceptions system. Overview and hands on accounting duties of mutual and hedge funds containing equity/stock, fixed income/bonds, balanced funds, money markets to credit defaults swaps, interest rate swaps, total return swaps, swaptions, options, forward contracts, TOBS, CFDS, and unbox transactions.
  • Review and hands on remediation of ASR/Asset Share Reconciliations, Cash Management projections/Cash Reconciliations, and Tax Reclaim Receivable Reconciliations for ADR securities.
SSAE 16 MS EMS
Remove Skill
Assistant Treasurer and Fund Accounting Manager
Aug 2007 - Feb 2012
  • Managed team members and reviewed employee's performance.
  • Monitored staff hours worked, overtime, vacations and sick leave
  • Participated in Manager and Staff meetings and business conference calls
  • Conducted due diligence reviews of daily bank controls called SSAE16
  • Met client deliverables, daily NASDAQ deadlines and end of month deadlines
  • Performed management of accountants to ensure timely deliverables and mitigating NAV (net asset value price of fund) risk error via utilization of checklist reviews, reviews of accountant's work in Invest One system and EMS red flag exceptions system. Overview and hands on accounting duties of mutual and hedge funds containing equity/stock, fixed income/bonds, balanced funds, money markets to credit defaults swaps, interest rate swaps, total return swaps, swaptions, options, forward contracts, TOBS, CFDS, and unbox transactions.
  • Review and hands on remediation of ASR/Asset Share Reconciliations, Cash Management projections/Cash Reconciliations, and Tax Reclaim Receivable Reconciliations for ADR securities.
SSAE 16 MS EMS
Remove Skill
Compliance Examiner and Auditor
Jan 2005 - Aug 2007
  • Conducted routine examinations and audits of stock exchange member trading firms
  • Prepared examination reports with findings and recommendations
  • Performed reviews of trading firm's financial books and records
  • Reviewed and verified member firm's monthly and semiannual financial reporting and trading in accordance with SEC policies and rules
  • Reviewed and monitored financial books, records, liquid assets and clearance inventory positions
  • Corresponded with member firms via notification letters and/or interviews
  • Monitored a firm's net liquid assets and haircut changes in accordance with SEC policies and rules
  • Sampled and tested the broker dealer's data, bank statements and a firm's cash management system
  • Reviewed or audited a firm's swaps, equities, bonds, options and ETF's
  • Presented case reports to the Business Conduct Committe
Auditing Compliance
Remove Skill
Mutual Fund/Hedge Fund Accounting Supervisor
Jul 1998 - Jan 2005
  • Supervised and implemented training for the development of investment accountants.
  • Led a project team on startup funds and existing funds for mutual and hedge fund partnerships
  • Maintained internal controls set forth by upper management in verification of the fund's net asset value (NAV) dividends and cash projections.
  • Accounted for currency trades, futures contracts, bonds, repos and asset backed securities.
  • Maintained general ledger, trial balance, journal entries, financial statements preparations & report deliverables.
  • Performed supervision and accounting duties of mutual and hedge funds containing equity/stock, fixed income/bonds, balanced funds, money markets to credit defaults swaps, interest rate swaps, total return swaps, swaptions, options, forward contracts, TOBS, CFDS, and unbox transactions.
  • Review and hands on remediation of ASR/Asset Share Reconciliations, Cash Management projections, and Cash Reconciliations.
MS Visio
Remove Skill
Edit Skills
Non-cloudteam Skill
Education
Bachelor's in Accounting
York College of Pennsylvania 1998
Skills
Auditing
2020
6
Compliance
2019
6
MS Visio
2005
6
MS EMS
2012
4
SSAE 16
2012
4
Project Management
2019
2
Test Planning
2019
2
Dodd-Frank
2017
1
SOX
2017
1
Stakeholder Engagement
2017
1
Training
2017
1
AML
0
1
FINRA
0
1
KYC
0
1
Risk Assessment
2017
1