Regina Collins

Experience

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  SMITH BARNEY

  Jul 1990 - May 1994

  Intermediate Auditor

  Intermediate Auditor• Planned and performed financial and operational audits of Back Office and Trading Areas.• Assisted Coopers & Lybrand in interim and year-end audit: verified inventory valuations and the recording of assets and income/loss in the G/L; recalculated capital charges and verified amounts to regulatory reports.• Audit exposure includes: Preferred Stock Trading, Money Market Trading, Stock Loan/Borrow, SBHU 401(k) Employee Savings Plan, Stock Record Security Count, MBS Trading, Government Securities Trading, Firm Trading Accounting, Treasury Operations, Firm Inventory Pricing, SEC Rule 15c3-1: Net Capital Charge, Fixed Assets. Show less

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  J. P. MORGAN

  May 1994 - Sept 1997

  Associate Auditor

  Associate Auditor• Planned and supervised financial and operational audits of the firm’s subsidiaries.• Supervised and developed staff auditors: provided feedback and prepared performance evaluations.• Reviewed trading desks practices and controls for adherence to firm and regulatory requirements.• Prepared internal audit reports.• Audit exposure includes: Swap Derivative Processing, Government Bond Trading, Corporate Bond Trading, Fixed Income (FI) Research, MBS Allocations, MBS Pricing, FI Sales, Government Repurchase Collateral. Show less

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  UBS, AG (formerly PAINEWEBBER)

  Oct 1997 - Jun 2006

  Audit Manager, Director (Vice President)

  Audit Manager, Director (1999 to 2006)• Planned and managed financial and operational audits.• Supervised and developed senior and staff auditors: provided feedback and prepared performance evaluations.• Interacted with auditee management to address audit concerns and concur on corrective action to be taken.• Recruited Audit Department personnel.• Performed annual risk assessment of certain auditable entities in the audit universe.• Audit exposure includes: Municipal Securities Trading, Mortgage Origination Services Group (MOSG), Asset Backed Securities (ABS) Trading, Asset Backed Banking/Structuring, Over the Counter (OTC) Trading, Non-purpose Lending (Regulation U), SOX 404, Puerto Rico Institutional and Retail Trading, Corporate Debt Syndicate Trading, Mortgage Backed Securities (MBS) Trading, Government Securities Trading, ADR Trading, Stock Loan/Borrow, Equity Derivatives Trading and Sales, Financial Advisor Compensation, Purchase & Sales, International Operations, NYSE and AMEX Floor Operations, PaineWebber (PW) Trust Company, Retail Margin, Retirement Services, Risk Management, Institutional and Retail Credit, PW Puerto Rico Mutual Funds Management, PW Trust Company of Puerto Rico.Supervisory Senior Auditor, Assistant Vice President (1997 to 1999)• Planned and supervised financial and operational audits.• Supervised and developed staff auditors.• Reviewed trading desk practices and controls for compliance with regulatory requirements and company policies.• Prepared internal audit reports and discussed with auditee management.• Audit exposure includes: Securities in Transit, Mitchell Hutchins (MH) Institutional Investors Billing, OTC Trading, Puerto Rico Institutional and Retail Trading, MH Asset Management, MOSG, ABS Trading, Asset Backed Banking/Structuring. Show less

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  Morgan Stanley

  Jul 2006 - now

  Vice President

  Compliance Assessment Group Quality Assurance Officer• Developed and implement the Quality Control Program over the assessments performed by the Institutional Securities Group (ISG) Americas Test Group: perform second-level review of work papers to determine adherence to the Global Compliance Testing Procedures; perform second-level review of assessment reports prior to distribution to ensure clarity and consistency.• Coordinator for the Global Compliance Assessment Program (GCAP), a program to ensure consistency among the regional ISG Compliance Test Groups: provide guidance on new developments regarding testing standards; prepare quarterly progress-to-plan and issue tracking metrics of the GCAP for presentation to the Chief Compliance Officer; record bi-monthly meeting minutes; developed global policies and procedures.• Prepare monthly ISG Americas Test Group progress-to-plan metrics for inclusion in the reporting package to the ISG Americas Compliance Officer.• Provide training to the ISG Americas Test Group regarding new testing standards and work paper system enhancements.• Subject matter expert in the Compliance Testing and Issue Tracking modules of the firm’s Governance, Risk and Control system (OpenPages).• Key participant in the Global Compliance Testing Technology OpenPages Working Group and the firm-wide Issue Tracking Working Group: identify problems, provide enhancements, and perform user acceptance testing; determined issue tracking workflow in OpenPages Issue and Actions Tracking (OP IAT); developed the closure verification work flow in OP IAT; discussed work flow options for the conversion of data from the predecessor system to the OP IAT.• Plan and supervise Compliance Testing reviews of Municipal Public Finance and Municipal Sales and Trading: review trading desk practices and controls for compliance with regulatory requirements and company policies; prepare Compliance Testing reports and discuss with area management. Show less