As a Manager in the Financial Services Risk Consulting practice, Brett has extensive internal audit and risk / controls consulting experience in a variety of areas. Brett’s areas of expertise include Asset Management (e.g., Registered Investment Advisers), Investments, Capital Markets, Derivatives, Third Party Risk Management and FX Operations. Brett has experience working at top 10 global banks, in a variety of roles, most recently being Internal Audit staff augmentation.
Brett has worked for several of the top 10 global banks in various internal audit leadership roles. He has been the audit lead for audit projects that spread across trading functions, global fee billing, portfolio management, ESG framework and governance, cash deck, and fixed income trading. Products that were including in these projects included, separately managed accounts, self-directed brokerage, money markets, active fixed income, active equity, and fund of funds. Brett has experience with identifying key control deficiencies, remediation, and working with management to guide them on key control implementation. He has extensive SOX experience, which includes preparing testing procedures, testing the controls, reporting on the results, all done in par with the internal audits he was leading to eliminate any duplication of efforts. Other financial services experience includes reporting on validation issues or the Global Markets business segments (i.e. Credit, Rates, Structure Notes, Currency products, structured notes, futures and options, clearing risk management and non-financial products).