Michael Dasrath

About Michael Dasrath

Experienced financial professional with a diverse and proven track record within the areas of Finance & Accounting, Risk Management – BSA / AML, KYC and OFAC, Design and Review of Internal Controls & Risk Management, Business Process Reengineering, Internal & External Audit and Regulatory Coordination / Examination, Sarbanes Oxley (SOX), Project Management (PMO) roles; in addition, Internal Consulting and Information Technology solutions. I am adept to providing solutions to overall business strategies and delivering results within time and cost parameters. Personal attributes include conscientious and meticulous job performance, the ability to communicate and deal effectively with all levels of personnel, Executive and Firm-wide level reporting and presentation skills and the ability to work both independently as well as a team member. Specialties: • Compliance & Risk Management• Sarbanes Oxley Compliance & Reporting• Internal Audit• Design and Review of Internal Controls• Six Sigma Methodology (Green Belt Certification)• Business Process Reengineering• Executive and Firm-wide level communication and presentation skills• Project Management

Experience

1. Broker Dealer - Compliance

   Kgs-Alpha Capital Markets, L.P

   Aug 2015 — Present

   Conducting front-to-back Broker Dealer examinations to determine compliance with FINRA, SEC and Governing State Securities law to determine various rule best practices as related to Capital Markets, Financial, Operational, and Corporate governance, dealings with Counter-parties and Institutional customers, Mortgage and other ABS, Derivatives, other Structured Products, Settlements and Clearance.• Creating Enterprise Wide Risk based approaches and Internal Controls with in Policies & Procedural manuals, Internal Audits, quality control documentation and industry best practice Corrective Action Programs.

Education

• Florida Metropolitan University

  Master of Business Administration (MBA), MBA in Finance with a Human Resources Concentration

  1997 — 1999

• New York University

  Bachelor of Arts (B.A.)

  1986 — 1990

Skills

• Risk Management
• Internal Controls
• Management
• Sarbanes-Oxley Act
• Internal Audit
• Financial Risk
• Finance
• Project Management
• Six Sigma
• Pmo
• Banking
• Governance
• Operational Risk Management
• Anti Money Laundering
• Fiba-Fiu Aml Certification
• Software Documentation
• Disaster Recovery
• Security
• Integration
• Sarbanes Oxley (Sox) & Compliance
• Dmaiic
• Six Sigma & Project Delivery Framework (Pdf) Procedures
• Enterprise Risk Management
• Regulatory Requirements
• Broker-Dealer Compliance
• Financial Services
• Capital Markets
• Project Management Office (Pmo)