Ralph Dietzman
Experienced Compliance and Audit professional with prior Big 4 experience seeking new opportunities
- Role
- Sr Compliance Analyst at Franklin Templeton
- Location
- Fort Lauderdale, FL, US
- LinkedIn followers
- 500 followers
About Ralph Dietzman
Regulatory compliance and internal audit specialist with previous Big 4 experience and nearly 20 years\' experience overall in risk management in numerous industries who is skilled in creating and executing complex regulatory compliance, financial and operational audits including internal controls over financial reporting (ICFR) and Sarbanes Oxley compliance (SOX 302, 404 and 906) reviews by analyzing and testing internal controls using the COSO model.My prior positions have involved applying my extensive knowledge of internal controls of business processes, risk assessment and mitigation, and regulatory compliance with the federal securities laws. I have substantial knowledge of financial service operations regarding mutual funds, ETF\'s, derivatives and complex securities. I have passed the FINRA Securities Industry Essentials (SIE) exam and part one of the Certified Internal Auditor (CIA) exam. I am also currently studying to earn the Chartered Financial Analyst (CFA) designation.
Experience
Sr Compliance Analyst
Apr 2006 — Present · Fort Lauderdale, FL, US
Education
University of Florida
Bachelors of Science with Honors, Finance, Economics
1999 — 2001
Nova Southeastern University
Master of Business Administration (MBA) with Honors, Business Administration, Management and Operations
2007
Skills
- Securities
- Business Analysis
- Finance
- Microsoft Office
- Equities
- Mutual Funds
- Financial Reporting
- Risk Management
- Outlook
- Financial Risk
- Asset Management
- Operational Risk Management
- Back Office
- Derivatives
- Financial Analysis
- Internal Controls
- Microsoft Excel
- Investments
- Financial Services
- Fixed Income
- Change Management
- Internal Audit
- Auditing
- Enterprise Risk Management
- Risk Assessment
- Alternative Investments
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