SERGIO BAUTISTA
New York,NY
Summary
Detail-oriented financial professional with experience in banking and credit union supervision, risk management, and regulatory compliance. Proven ability to assess and mitigate financial risks, evaluate risk governance frameworks, and ensure adherence to regulatory standards.
Overview
10
10
years of professional experience
Work History
Institutional Supervision Lead Examiner
Federal Reserve Bank of New York
01.2023 - Current
- Manages a diverse and complex workload in supervising/overseeing a portfolio of foreign banking organizations
- Plans and conducts assessments of the condition of the US operations of foreign banking organizations
- Participates in firm specific and horizontal examinations, and prepare supervisory assessments
- Leads continuous monitoring activities and assesses risk exposures of financials
- Conducts meetings with internal stakeholders and firm management to discuss examination results
- Maintain working relationships with supervisory colleagues and foreign regulators.
- Participated in ongoing professional development opportunities to stay current on industry changes and maintain expertise in the field.
Credit Union Examiner
National Credit Union Administration
06.2020 - 12.2023
- Field auditor for the National Credit Union Administration examining credit unions for regulatory compliance and safety and soundness
- Plan, conduct, and complete large complex team examinations of federally chartered and State chartered credit unions
- Act as team leader and examiner in charge of complex credit union examinations
- Assess risks and degrees of risk in assigned credit unions and their impact on the Share Insurance Fund and assign appropriate ratings
- Provide guidance to credit union management and officials in strategic planning, risk management, policies, financial analysis, and problem resolution
- Assesses and manages the interest rate risk, credit risk, liquidity risk and compliance risk embedded in loans and investment portfolios of financial institution under my supervision
- Conducts exit/joint conference meetings with credit union management/board of directors and discusses examination concerns
- Assesses risk exposures of complex credit exposures, including indirect lending, loan participations, commercial lending, and large concentration programs
- Ascertain compliance with a variety of consumer and regulatory compliance items, such as the Bank Secrecy Act (BSA), Anti-money laundering (AML), Office of Foreign Assets Control (OFAC) programs, the Flood Act, the Graham-Leach-Bliley Act, and external audit requirements.
Staff Accountant/Tax Accountant
Empire Tax Professional
01.2020 - 06.2022
- Maintaining financial reports, records, and general ledger accounts for 20 clients
- Preparing journal entries, analyses, account reconciliations and assisting with monthly close processes
- Maintaining documentation for accounts payable, purchasing, treasury and conducting internal audits
- Prepared tax returns for corporations, partnerships and LLC’s
- Assess and research difficult tax issues to identify solutions to meet client’s needs
- Assisted senior managers with tax litigation projects and research.
Program Director
Fresh Youth Initiatives
09.2015 - 10.2018
- Recruited, hired, trained and managed over 25 full time and part-time staff, volunteers and youth leaders after-school staff, including evaluating and assessing their needs for ongoing professional development
- Created new vision for the organization; instituted core values for the organization that was implemented across all sites
- Developed annual budget and operating plan to support program at PS 128 The Audubon School
- Oversaw, developed, and maintained summer and after-school enrichment activities for students in collaboration with staff, including ongoing evaluation of program quality
- Maintained communications and networked with community groups and stakeholders
- Assisted in organizing fundraisers.
Assistant Manager/Internal Auditor
B&A NY Tax Inc.
08.2014 - 08.2015
- Traveled to different sites assessing that they were complying with policies, procedures and regulations
- Prepared and presented reports on audit findings, highlighting compliance with regulations and any deficiencies in control
- Researched and interpreted the Internal Revenue Code, various State Tax Codes, Federal Estate and Gift Tax Code, Private Letter Rulings, Revenue Rulings and Tax Court Cases
- Prepared and maintained audit work papers
- Identified internal control weaknesses and recommend enhancements, report audit findings and follow up on management’s corrective action plans.
Education
Master of Business Administration (MBA) - Finance
Ashford University
San Diego, CA05.2019
Bachelor of Science in Accounting -
York College City University of New York
Jamaica, NY02.2014
Skills
- Banking & Credit Union Examination
- Risk Management & Internal Controls
- Regulatory Compliance & Reporting
- Financial Institution Safety & Soundness
Timeline
Institutional Supervision Lead Examiner
Federal Reserve Bank of New York
01.2023 - Current
Credit Union Examiner
National Credit Union Administration
06.2020 - 12.2023
Staff Accountant/Tax Accountant
Empire Tax Professional
01.2020 - 06.2022
Program Director
Fresh Youth Initiatives
09.2015 - 10.2018
Assistant Manager/Internal Auditor
B&A NY Tax Inc.
08.2014 - 08.2015
Bachelor of Science in Accounting -
York College City University of New York
Master of Business Administration (MBA) - Finance
Ashford University
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