Wavonye Sinclair
Internal Auditor
Baldwin
Summary
Results-driven financial professional with extensive experience in internal auditing, risk management, financial reporting, and regulatory compliance. Demonstrated expertise in evaluating internal controls, identifying risks, and recommending process improvements to enhance operational efficiency and ensure regulatory adherence. Recognized as a dependable leader with a strong work ethic, analytical mindset, and exceptional communication skills. Adept at driving organizational success through strategic problem-solving and fostering collaborative team environments.
Overview
25
25
years of professional experience
2008
2008
years of post-secondary education
Work History
Internal Auditor
Jovia Financial Credit Union
07.2022 - Current
- Conduct comprehensive internal audits across financial and departmental operations, performing risk assessments, process walkthroughs, and control testing to ensure regulatory compliance and operational efficiency
- Draft detailed audit reports with findings and actionable recommendations, presenting results to management and stakeholders
- Partner with external auditors during annual audits by providing necessary documentation and performing select audit steps
- Engage in follow-up audits to monitor remediation of identified issues and ensure corrective actions are implemented effectively
- Continuously enhance audit expertise by attending relevant training, webinars, and conferences
- Stay informed about industry developments and business strategies to maintain audit relevance and rigor
- Identified process inefficiencies and developed actionable recommendations leading to streamlined operations and improved internal controls
- Strengthened the organization's risk assessment framework, aligning audit methodologies with evolving business objectives and regulatory requirements
Case Supervisor
MTK Resources
05.2021 - 12.2021
- Oversaw and managed cases for the UniteCT Program, assisting households affected by COVID-19 by navigating eligibility processes and providing technical assistance
- Directed a team of 15, coordinating workflows to ensure timely case resolution and funding distribution
- Conducted final reviews for funding approval, managing up to $16,500 per case, resulting in $5.8 million in relief distribution
- Designed and implemented onboarding and training programs for new hires, enhancing team productivity and service delivery
- Spearheaded process improvements that reduced case review times, significantly increasing program efficiency
- Recognized for outstanding leadership and commitment to delivering impactful results under tight deadlines
Financial Advisor
Merrill Lynch, Pierce, Fenner & Smith Incorporated
11.2014 - 05.2017
- Provided tailored financial guidance to clients, analyzing their goals and needs to recommend investment strategies and solutions
- Conducted financial planning seminars to educate and engage potential clients, enhancing business development efforts
- Analyzed budgets, financial reports, and market trends to identify investment opportunities and mitigate risks
- Managed a portfolio of 100+ clients, achieving an 8% increase in client satisfaction within the first year
- Developed customized financial strategies that consistently exceeded client expectations and investment objectives
Registered Representative | Division Leader
Primerica Financial Services
09.2012 - 11.2014
- Assisted clients with investment decisions, insurance needs, and financial planning, leveraging expertise to drive customer satisfaction
- Recruited and mentored over 30 representatives, fostering a high-performance team culture
Internal Auditor
Apple Bank for Savings
05.2007 - 02.2010
- Conducted audits to assess internal controls, compliance with policies, and operational efficiency
- Prepared audit reports with actionable recommendations to improve processes and mitigate risks
Operations Supervisor
Apple Bank for Savings
05.2000 - 05.2007
- Directed branch operations, ensuring compliance with all applicable banking regulations and standards
- Managed a team of 40+ employees, overseeing training, performance evaluations, and operational workflows
Education
Bachelor of Science - Accounting
The City University of New York at York College
Skills
Internal Audit & Risk Management
Professional Development
- Knowledge of FINRA & NASAA Regulations (Series 7, 6, 63, 66)
- Advanced Training in Bank Secrecy Act (BSA) & Anti-Money Laundering (AML) Compliance
- Ongoing participation in industry conferences, webinars, and professional training to stay abreast of best practices and regulatory changes.
Timeline
Internal Auditor
Jovia Financial Credit Union
07.2022 - Current
Case Supervisor
MTK Resources
05.2021 - 12.2021
Financial Advisor
Merrill Lynch, Pierce, Fenner & Smith Incorporated
11.2014 - 05.2017
Registered Representative | Division Leader
Primerica Financial Services
09.2012 - 11.2014
Internal Auditor
Apple Bank for Savings
05.2007 - 02.2010
Operations Supervisor
Apple Bank for Savings
05.2000 - 05.2007
Bachelor of Science - Accounting
The City University of New York at York College
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