• Professional Experience
    2008 - Present
    Director of Risk Management
    2006 - 2008
    Responsible for regulatory mandate related to weaknesses in BSA/AML monitoring processes in North and South America. Restructured, trained, and supervised the function adhering to the four pillars of an effective compliance function. Appointed liaison for all exams. Managed the audit function as a profit rather than cost center. Active non-voting member of all key management committees; ongoing interaction with the Audit, Compliance, Risk and ALCO Committees.
    2002 - 2006
    Responsible for managing, marketing, and expanding the brokerage, commercial and banking audit/consulting practices. Served as internal auditor for community banks, broker dealers and foreign banks on a co-source or outsourced basis. Directed interface with audit committees on all audit and risk matters including FDICIA, Sarbanes-Oxley Act, USA PATRIOT ACT, BSA/AML compliance, fraud, and regulatory enforcement issues. Managed and executed the Sarbanes-Oxley compliance effort for numerous financial institutions, including FASB 133 considerations and required fraud controls.
    1994 - 2002
    Designed, developed and directed the internal audit function in the U.S. and globally. Supervised and executed audits in capital markets, investment and merchant banking, structured products, securitization, credit, brokerage, technology, risk management and finance. Recruited, trained and supervised up to 40 audit professionals globally. Facilitated the handling of BSA/AML issues. Responsible for Security Function in US, including employment pre-screening, fraud controls and fraud investigations (operational and customer). Actively participated in Business Continuity Planning and September 11th response for operational risk and insurance support. Handled key strategic initiatives. Worked closely with Market, Credit and Operational Risk Management, and as part of the team to adopt and comply with the Basel Accords.
    1988 - 1994
    Directed audits in Capital Markets and Treasury, major non-banking SBC subsidiaries in the United States and other branches/agencies. Responsible for the global audit function of Capital Markets and Treasury (CM&T), including risk evaluation, planning, and supervision.
    1983 - 1984
    Show All Professional Experiences (5)
  • Educational Background
    1973 - 1977

    Extra-activity: Business and Accounting Club

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