JOHN ROMIS
New York,NY
Summary
Dynamic executive with extensive experience at Morgan Stanley, specializing in leading global audit teams and implementing effective risk management strategies. Demonstrated success in audit execution and compliance management, with a strong focus on team leadership and communication. Skilled in negotiating audit findings and enhancing operational efficiency, ensuring strategic alignment across diverse business segments. Career aspirations include further advancing organizational oversight and driving innovative audit solutions.
Overview
18
18
years of professional experience
1
1
Certification
Work History
Executive Director, Internal Audit
Morgan Stanley
New York, USA
08.2020 - Current
- Manage global audit team covering Risk Management, Human Resources and Corporate Services. Additionally, prior audit coverages include Wealth Management, Banks, Fraud, and Operations.
- Responsible for oversight and managing all audit execution activities, creating and implementing business coverage strategies, and crafting quarterly reporting for stakeholders and the firm's senior management.
- Lead discussions with senior business stakeholders to obtain strategic updates, identify emerging risks, negotiate audit findings, and issue audit reports.
- Perform risk assessments of business segments to drive assurance plan priorities.
- Manage a team of ten experienced auditors, provide subject matter expertise, and audit execution guidance.
Director, Internal Audit
UBS
Weehawken, USA
05.2017 - 08.2020
- Led banking and capital markets audits by assessing design adequacy and operating effectiveness of controls.
- Coordinated regulatory inquiries and exams by preparing and managing responses and onsite visits.
- Performed issue validation on existing issues and action plans for regulatory matters.
- Knowledgeable in key bank regulations, FINRA and SEC rules to support performing audits.
Assistant Vice President, Compliance
Barclays
New York, USA
03.2012 - 01.2014
- Conducted monitoring and testing reviews for the firm across various divisions which included but not limited to KYC/ EDDs, client onboarding and investment products.
- Conducted special investigation reviews pertaining to employee activities.
- Developed compliance policies/ procedures and conducted employee trainings for Wealth Management employees.
Senior Compliance Examiner
Morgan Stanley
New York, USA
10.2007 - 03.2012
- Conducted targeted reviews for the firm’s Wealth Management division to determine any relevant gaps in policies and procedures.
- Selected by Compliance Senior Management and relocated to New York to assist in the establishment of a new Compliance testing review group.
- Assisted in the development of procedures and report layout to promote efficiency.
- Planned and performed operational and sales practice exams of the firm’s retail branch network.
Education
Bachelor of Science - Business Administration
The Ohio State University
Columbus, OH03-1999
Skills
- Risk management
- Audit execution
- Compliance management
- Operational management
- Team leadership
- Effective communication
- Strategic thinking
Certification
- FINRA Series 7 (General Securities Representative)
- FINRA Series 24 (Supervisory Principal)
- FINRA Series 63 (Uniform Securities Agent State Law)
- Attended 2019 Americas Bankers Association (ABA) Compliance School (received completion certificate)
Prior Experience
- Wachovia Securities, Chicago, IL, Compliance Examiner, 04/06, 10/07
- Lasalle Bank, Chicago, IL, Operations Supervisor, 04/04, 04/06
- McDonald Investments /BISYS, Cleveland, OH, Operations Specialist, 02/00, 03/04
Timeline
Executive Director, Internal Audit
Morgan Stanley
08.2020 - Current
Director, Internal Audit
UBS
05.2017 - 08.2020
Assistant Vice President, Compliance
Barclays
03.2012 - 01.2014
Senior Compliance Examiner
Morgan Stanley
10.2007 - 03.2012
Bachelor of Science - Business Administration
The Ohio State University