Steve Carroll, IIA/CFSA

435 Amsterdam Ave. Roselle Park, NJ 07204

908-245-1310 Home / 201-618-0142 Cell Phone
sc697974@westpost.net
General Auditor / V.P. Auditor / Compliance Professional
I am looking for a position in an audit division where my experience and skill l
evel can be an asset within a financial services organization as an Auditor (AVP
) /Manager/ Audit Group Leader. At one financial institution during a period of
growth, I was instrumental in the hiring and training of the audit staff (15 emp
loyees). I have the ability to perform numerous tasks simultaneously and have ex
perience in all areas of auditing including but not limited to; financial, opera
tional and compliance auditing (including risk based auditing, FINRA rules and r
egulations, AML, KYC, SOX testing and various banking regulations Reg. D, Reg. W
, Reg. Z, etc.).
American Stock Transfer & Trust Co.
General Auditor
New York, New York
Duties include the day to day audit/ financial &operation/ compliance audits for
American Stock Transfer (AST) and Equity Plan Solutions (a division of American
Stock Transfer). AST is one of the largest privately owned Stock Transfer and r
egistrar Companies in the U.S. Instituted a Global risk analysis to allocated th
e audit departments assets most efficiently. Worked with all levels of managemen
t during the fieldwork, discussion meetings of findings, followed through with a
tracking system until final resolution. Prepared quarterly reports of the audit
department activities and discussed and deficiencies noted during the audit wor
k.
Bank of New York Mellon Assistant Vice President
New York, New York

Reviewed and or performed a risk analysis to identify the control points during
the preliminary and planning work performed. Managed up to six auditors to perfo
rm and complete the audit on schedule and perform any special projects that aros
e during the year. Supervised the work performed, the audit staff, discussed fin
ding with line management and performed the audits in the most efficient manner.
In addition to performing the audit as economically as possible the audits were
conducted with the least amount of interruption to the normal workflow of the d
epartment.
Amalgamated Bank
Trust Auditor, Vice President
New York, New York
The audit staff was very limited so as a result a risk based audit approach was
established to allocate the assets of the audit department in the most efficient
manner. The audit universe included the entire pension trust division (approxim
ately $30 in managed trust and employee benefit trust funds) as well as an annua
l review of a sales office in Pasadena, California.
Other Financial Institutions:
-Capital One (formerly The Trust Co. of NJ), Jersey City, N.J., Audit Manager &
Audit Supervisor
-Bank of America (formerly United Jersey Bank) Princeton, N.J., Senior Auditor
-Hudson City Savings Bank (formerly U.S. Savings Bank) Newark, N.J., Assistant A
uditor
-Bank of New York, New York, N.Y., Staff Auditor
-Brown Brothers Harriman & Co., New York, N.Y., Staff Auditor
Education:
-Kean University of New Jersey, Union, N.J., B.S. Management Science