Summary
Overview
Work History
Education
Skills
References
Affiliations
Certification
Timeline
BusinessDevelopmentManager

Robert Viviani

Maplewood,New Jersey

Summary

Dedicated financial services auditing professional with a history of xxx Seasoned auditing professional knowledgeable about xxx Strategic Audit Manager with expensive knowledge of financial and operational risk. Offering sound judgment and interpreting policies and controls. Recognized to thrive in either collaborative or independently-motivated settings. Detailed Audit Manager skilled in financial assessments and risk management to prevent fraud. Experienced with developing internal controls and audit policies. Collaborative leader with dedication to partnering with coworkers to promote engaged, empowering work culture. Documented strengths in building and maintaining relationships with diverse range of stakeholders in dynamic, fast-paced settings.

Overview

32
32
years of professional experience
1
1
Certification

Work History

Director / Functional Audit Manager – Deputy Product Owner

Swiss Re Americas Holdings
04.2009 - Current
  • Co-head of the Group Internal Audit Global Asset Management Team, which evaluates Swiss Re’s Asset Management (Capital Markets Trading) Unit ($175 billion in assets) through internal audits and management testing of Sarbanes-Oxley 404 Controls
  • Assisted in the development and execution of the annual Asset Management Audit Plan, and maintained client relationships in Asset Management, Securities Operations, Finance, Compliance, and Risk Management
  • Partnered with Compliance and Operational Risk Management in further establishing the Coordinated Assurance Framework
  • Enhanced team collaboration through regular communication, goal setting, and performance evaluations.
  • Provided guidance to the Front Office and Support Departments in the development of an outsourcing infrastructure pertaining to the transfer of a $25 billion Credit and Securitized Portfolio to an external manager
  • Provided frequent audit updates to members of Senior Management, including the Risk Management Executive Team and the Head of the Chief Investment Office
  • Served as the liaison with Pricewaterhouse Coopers, providing audit documentation and agreeing upon the universe of relied-upon controls testing
  • Performed targeted-control review surrounding Rogue Trading, Trading Governance and Supervision, ABS Valuations, Data Quality, and New Product Approvals
  • Supervised and developed staff by providing on-the-job training and ongoing feedback
  • Functional areas audited include: Market Risk Management, Independent Price Verification, Credit Risk Management, Financial Model Validation, Credit & Securitized Products Trading, External Investment Mandates, Securities Operations, Rates Trading, and Derivatives Trading.

Managing Director / Capital Markets Audit Team Co-Leader

Bear, Stearns & Co. Inc. Internal Audit Department
12.2006 - Current
  • Co-headed the Capital Markets Audit Team, which evaluated the Equities and Fixed Income Divisions (Fiscal Year 2007 Gross Revenues of approximately $5.1 billion) through Internal Audits and Management Testing of Sarbanes-Oxley 404 Controls
  • Assisted in the development and execution of the annual Capital Markets Audit Plan, and maintained client relationships in the Equities and Fixed Income Divisions, as well as support areas (e.g., Compliance, Accounting, Legal, Risk Management, Operations)
  • Supervised and developed staff by providing on-the-job training and ongoing feedback
  • Re-created the Internal Audit Department’s (IAD) Audit Universe through financial analysis of the Firm’s General Ledger and maintained the Universe through periodic reconciliations of the Audit Universe to the Legal and Financial Data, reporting directly to the Financial & Operational Audit Director and the General Auditor
  • Also responsible for conducting reviews and analyses of over 400 affiliated entities, ensuring adequate audit coverage of the Firm’s subsidiaries
  • Assisted Audit Team Leaders with the gathering of General Ledger data needed for financial analyses
  • Served as the Internal Audit Department’s liaison with Deloitte & Touche, functioning as project coordinator during IAD’s annual assistance projects to the external auditors
  • Performed annual special reviews of a confidential Senior Managing Directors’ Benefit Plan
  • Also, performed several confidential special reviews, including a review of the Firm’s Independent Price Verification process in light of the 2007 credit and mortgage crises, a high-level external consultant review of the internal controls structure of an Investment Advisor (and clearing client) and a time-management fraud review, liaising with the Legal and Global Security Departments
  • Functional areas audited include: Distressed Credit Card Receivables Trading, High Yield & Distressed Bonds Trading, Distressed Bank Debt & Trade Claims Trading, High Yield Bonds Origination, Commodities Investments Department, Tax Credits Trading, Mathematical Arbitrage Trading, Listed Equities Trading, Property Tax Liens Trading, Convertible Bonds Proprietary Trading Desk and Affiliated Hedge Fund, Government Bonds Trading, International Equities Sales and Trading, NYSE & AMEX Floor Operations.

Global Prime Services Audit Partner / Vice President of Investment Bank Audit

J.P.Morgan Chase & Co. Inc. Audit Department
06.2008 - 03.2009
  • One of only a limited number (10%) of Bear Stearns Internal Auditors selected to join the J.P
  • Morgan Audit Department after the acquisition of Bear, Stearns
  • Responsible for creating the audit universe for heritage-Bear Stearns business units brought into the Prime Services Section of the Global Equities Division
  • Business units include Equities Prime Brokerage, Correspondent Clearing, and Investment Adviser Services
  • Performed multiple reviews of heritage-Bear Stearns business units (including Equities and Fixed Income areas) during the Acquisition Integration to ensure controls were functioning properly during the transition period
  • Created a continuous monitoring program for the new businesses acquired through Bear Stearns
  • Performed targeted-control review surrounding amendments to the SEC Short Sale rules.

Assistant Vice-President

Dresdner Kleinwort Benson North America LLC, Global Audit Department
03.1999 - 06.2000
  • Documented and substantiated detailed procedures for all functional areas audited
  • Evaluated internal controls and determined if control deficiencies/weaknesses existed and/or presented potential weaknesses
  • Prepared audit procedures, performed such steps as outlined in the audit program, produced work papers which supported the attainment of the objectives and conclusions reached and prepared audit reports which detailed the findings of the assignment to Firm management
  • Supervised and provided on-the-job training to subordinates with ongoing feedback on performance and organized and conducted meetings with auditee management and staff
  • Established audit program for Treasury Auctions and conducted a confidential special project, Treasury Auctions Review, for the US Department of Treasury
  • Developed formal follow-up review / monitoring process of audit findings
  • Served as liaison with Federal Reserve Bank of NY examiners with regards to audit follow-up process
  • Functional areas audited include: Asset Management, Global Equities Trading (OTC, Listed, ADRs, Stock Exchange Specialist), Fixed Income Trading, Money Markets Trading, Precious Metals Trading, Interest Rate Derivatives Trading, Compliance Department, Regulatory Reporting (FR Y-20), FRB Firewalls Compliance.

Assistant Vice-President

Smith Barney Inc., Internal Audit Department
04.1997 - 07.1997
  • Documented and substantiated detailed procedures for all functional areas audited
  • Evaluated internal controls and determined if control deficiencies/weaknesses existed and/or presented potential weaknesses
  • Supervised and provided on-the-job training to subordinates with ongoing feedback
  • Prepared audit procedures, performed such steps as outlined in the audit program, and produced work papers which supported the attainment of the objectives and conclusions reached
  • Assisted Coopers & Lybrand in interim and year-end audits
  • Maintained control over time budgets of assigned audits
  • Prepared planning memos which informed management of the audit goals and objectives
  • Prepared audit reports which detail the findings of the assignment to Firm management
  • Assisted management in the completion confidential special projects: Mutual Funds Blue Sky Registration, Mutual Funds Operations, Capital Markets Trade Support, Preferred Stock Trading
  • Functional areas audited include: Listed Equities Trading, Equity Options Trading & Floor Operations (NY & Chicago), OTC Trading, High Yield Bond Trading, Regional Municipal Trading (NY & Seattle), Energy Trading & Floor Operations, Foreign Exchange Trading & Operations (NY & London), Chicago Commodities Floor Operations, Foreign Institutional Sales Branches, Mutual Funds Accounting, Managed Account Equity Trading, Collections Operations, Robinson Humphrey (subsidiary) Trading & Operations.

Internal Audit Trainee

The Depository Trust Company Internal Audit Department
08.1992 - 01.1994
  • Documented and substantiated detailed procedures for all functional areas audited
  • Evaluated internal controls and determined if control deficiencies/weaknesses existed and/or presented potential weaknesses
  • Completed audit programs accurately and in a timely manner and produced work papers which supported the attainment of the objectives and conclusions reached
  • Prepared audit reports which detail the findings of the assignment to Firm management
  • Assisted Price Waterhouse in interim and year-end audits
  • Functional areas audited include: Securities Processing, Securities Pricing, Benefits Department, Controllers Department, Purchasing Department, Institutional Delivery Operations.

Education

Bachelor of Business Administration - Accounting and Taxation

PACE UNIVERSITY
New York, New York
06.1992

Skills

  • Passed the Series 7 and 63 Examinations (inactive)
  • Member of the Institute of Internal Auditors (IIA)
  • Certified Financial Services Auditor (CFSA)
  • Strong computer skills (Word, Excel, Access, PowerPoint)
  • Verbal and written communication
  • People Management
  • Project Management
  • Team Management
  • Staff Development
  • Hiring and Retention
  • Legal and Regulatory Compliance

References

Furnished upon request

Affiliations

  • CFSA, CFE (pending), CIA (pending)

Certification

Member IIA

Timeline

Director / Functional Audit Manager – Deputy Product Owner

Swiss Re Americas Holdings
04.2009 - Current

Global Prime Services Audit Partner / Vice President of Investment Bank Audit

J.P.Morgan Chase & Co. Inc. Audit Department
06.2008 - 03.2009

Managing Director / Capital Markets Audit Team Co-Leader

Bear, Stearns & Co. Inc. Internal Audit Department
12.2006 - Current

Assistant Vice-President

Dresdner Kleinwort Benson North America LLC, Global Audit Department
03.1999 - 06.2000

Assistant Vice-President

Smith Barney Inc., Internal Audit Department
04.1997 - 07.1997

Internal Audit Trainee

The Depository Trust Company Internal Audit Department
08.1992 - 01.1994

Bachelor of Business Administration - Accounting and Taxation

PACE UNIVERSITY

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Robert Viviani