LEON B. SINGH
ATL,GEORGIA
Summary
Senior Audit Executive offering many years of progressive experience in business risk management and mitigation. Motivating leader with strengths in employee training, development, coaching, and mentoring to drive productivity and performance.
Overview
25
25
years of professional experience
Work History
Senior Audit Manager / First Vice President
Truist Financial (formerly SunTrust Bank)
ATL, Georgia
08.2016 - Current
- Responsible for overseeing the execution of audits to ensure they meet the required standards, cover the appropriate scope and are completed timely
- Lead audit engagement teams and serve as Project Manager on multiple engagements while managing auditors to follow sound internal control practices and manage risk appropriately
- Perform and review quarterly risk assessments and continuous monitoring to assist in audit planning
- Lead audit engagements using both Agile and Waterfall audit methodologies
- Areas of focus include Wealth Management's Retail business (Investment and Advisory Services, Wealth Products, Wealth Solutions, Wealth Omni/Digital, Broker-Dealer and Registered Investment Advisor Operations and Compliance)
- Possess strong skills in negotiating, relationship building, problem solving and timely escalation
- Excellent written and oral communication skills
Regional Portfolio Director - Internal Audit
Nomura Securities International, Inc.
New York, NY
11.2012 - Current
- Regional Portfolio Director for Operations
- Manage and lead all audits related to Operations which include Settlements, Collateral Management, Corporate Actions, Client/Product Reference Data and Transaction Reporting
- Also managed non-Operations audits such as Human Resources and Compliance
- Plan, organize and carry out the internal audit function including the preparation of an audit plan which fulfils the responsibility of the department, scheduling and assigning work and estimating resource needs
- Perform annual risk assessments and quarterly continuous monitoring for Operations to assist in audit planning
- Proven experience and competency in client management, audit principles, practices, and methodologies including objectivity and independence, risk and control assessment and risk-based project management
- Manage the Annual Internship Program for Internal Audit
Vice President - Operations Division Risk & Governance
Nomura Securities International, Inc.
New York, NY
06.2010 - 10.2012
- Manage a staff of six in the Operations Control/Risk & Governance department including two in the Powai office
- Responsible for Operational Risk reporting which produces weekly and monthly reports
- Act as the regional point for all global reporting and inquiries
- Act as liaison for Operations with internal and external auditors
- Assisted in gathering the various reports and information they need in order to complete their audit in a timely fashion
- Developed a Quality Control method for the Account Attestation process for Operations
- Oversee the Risk and Control Self-Assessments with the Operations Risk team to ensure Global standards are being achieved for various groups within Operations
- Work extensively with programmers to ensure all trade confirmations were accurately generated and being delivered physically or electronically
- Detailed reconciliations are now in place as well as physical audits are being performed at the mail facility locations
- Manage a staff responsible for various regulatory filings
- This includes reporting to the Federal Reserve Bank and the Financial Industry Reporting Authority (FINRA)
Assistant Vice President - Equity Operations - Intl Stock Loan
Nomura Securities International, Inc.
New York, NY
04.2008 - 06.2010
- Responsible for daily Stock Loan settlements as well as fails management for Europe and Asia
- Manage daily returns in all markets and ensure correct instructions are in place for settlement
- Work closely with programmers to assist in the implementation of an automated returns function that is currently in place
- Assist in the collection of collateral for prepays and returns as well as other monetary discrepancies
Assistant Vice President - Core Operations - Reconciliation & Control
Nomura Securities International, Inc.
New York, NY
04.2005 - 04.2008
- Supervise various cash and position reconciliations for products such as Fixed Income, Equity and Whole Loans
- Assist in the implementation of the Intellimatch System for Reconciliation and Control
- Worked with programmers as well as vendors to learn the infrastructure of the system
- Trained and assisted the staff on various questions and problems pertaining to Intellimatch
Supervisor - Reconciliation and Control
Wachovia Securities Inc. (Prudential Financial Inc.)
New York, NY
01.2003 - 04.2005
- Supervised a staff of five associates in the Reconciliation and Control department
- Responsible for the reconciliation of all Government, Mortgage-Back, and Pair-Off suspense accounts and their activities
- Worked closely with programmers to help automate various cash ledgers
- Educated the staff on operational and financial procedures
- Reconciled the firm's commitment file versus stock record and the general ledger
- Prepared various regulatory reports for compliance on a weekly and monthly basis
- Reconciled various cash accounts with Bank of New York, Chase, and Citibank
Reconciliation Associate
Wachovia Securities Inc. (Prudential Financial Inc.)
New York, NY
10.1999 - 12.2002
Education
Bachelor of Arts - Accounting and Information Systems
Queens College, City University of New York
05.1999
Skills
- Microsoft Word
- Excel
- PowerPoint
- Visio
- Archer
- GRC
- TLM
- Intellimatch
- Citidirect
- Global One
- Loanet
- DTC
- Swift Alliance
- Impact
Professional Memberships
Institute of Internal Auditors, Member
Timeline
Senior Audit Manager / First Vice President
Truist Financial (formerly SunTrust Bank)
08.2016 - Current
Regional Portfolio Director - Internal Audit
Nomura Securities International, Inc.
11.2012 - Current
Vice President - Operations Division Risk & Governance
Nomura Securities International, Inc.
06.2010 - 10.2012
Assistant Vice President - Equity Operations - Intl Stock Loan
Nomura Securities International, Inc.
04.2008 - 06.2010
Assistant Vice President - Core Operations - Reconciliation & Control
Nomura Securities International, Inc.
04.2005 - 04.2008
Supervisor - Reconciliation and Control
Wachovia Securities Inc. (Prudential Financial Inc.)
01.2003 - 04.2005
Reconciliation Associate
Wachovia Securities Inc. (Prudential Financial Inc.)
10.1999 - 12.2002
Bachelor of Arts - Accounting and Information Systems
Queens College, City University of New York