Aaron Sears-Hughes

· Created and maintained positive working relationships with business partners across the firm through risk assessments and control testing across multiple business units

· Proactively identified opportunities to improve efficiency and effectiveness of testing via new technologies and full data sets

· Identified data analytics opportunities to optimize testing and identification of anomalies

· Consulted with business partners to identify risk and control gaps and offer recommendations to improve the process and overall control environment

· Composed and presented executive summary of assessment testing results to upper management and maintains documentation of testing details and work papers

· Partnered with technology teams to assist with program installs and UAT testing

· Actively identified efficiency and effectiveness opportunities for internal processes

· Effectively communicated status updates and identified issues to upper management

· Successfully managed multiple projects, assessments, and daily tasks to meet required deadlines

· Assisted with onboarding of new associates.

· Performed risk assessments and control testing for broker-dealer and transfer agent compliance programs across multiple FI business units

· Collaborated with technology team to provide requirements to obtain data reports for optimization of testing and identification of anomalies

· Consulted with process owners to identify risk and control gaps and offered recommendations to improve the process and overall control environment

· Composed executive summary of assessment testing results and enhancement opportunities

· Entered and tracked data in Risk repository workflow tool to maintain accurate metadata (i.e., activities, risk, controls, and control owner designation) for compliance topics

· Worked with a team to perform ad hoc risk assessments

· Managed multiple projects, assessments, and daily tasks to meet required deadlines

· Coordinated bi-annual control attestation process for 4500 controls with approximately 300 control certifiers

· Conducted risk analyses and internal control testing for broker-dealer and transfer agent compliance programs across multiple FI business units

· Collaborated with technology team to provide requirements to obtain data reports for optimization of testing and identification of anomalies

· Consulted with business contacts to identify risk and control gaps and offered recommendations to improve the process and overall control environment

· Drafted executive summary of assessment testing results and maintained documentation of testing details and work papers

· Entered and tracked data in Risk repository workflow tool to maintain accurate metadata (i.e., activities, risk, controls, and control owner designation) for compliance topics

· Worked with a team to perform ad hoc risk assessments

· Managed multiple projects, assessments, and daily tasks to meet required deadlines

· Coordinated bi-annual control attestation process for 4500 controls with approximately 300 control certifiers

· Team oriented, supported peers, and worked collectively toward common goals