BA, Major - Economics, Minor - Management Studies: Corporate Strategy @
Progressive & Innovative Operational Due Diligence (ODD) Asssociate, results-oriented and strategic cross-functional business partner. Experience in financial, operational, regulatory, IT, and integrated due diligence, Sarbanes-Oxley, and business process evaluation. Proven results in strengthening and streamlining operational functionality within organizations, implementing risk-based compliance methodologies, and developing metrics to maximize productivity while maintaining a focus on quality, value addition,
Progressive & Innovative Operational Due Diligence (ODD) Asssociate, results-oriented and strategic cross-functional business partner. Experience in financial, operational, regulatory, IT, and integrated due diligence, Sarbanes-Oxley, and business process evaluation. Proven results in strengthening and streamlining operational functionality within organizations, implementing risk-based compliance methodologies, and developing metrics to maximize productivity while maintaining a focus on quality, value addition, and a strong internal control environment. Developed compliance and business objectives into actionable plans. Responded to organizational and cross-functional challenges through strong communication and an ability to work across all levels of the organization.
Specialties: Domestic and International Fixed Income, Structured Transactions, MBS, SMBS, REMIC, RCR, CMBS, CDO, Internal Audit, Internal Control, Process Enhancement, Risk Mitigation, Control Taxonomy, Audit Committee Reporting, MIS Reporting, Risk-based Methodologies & Risk Assessments, Financial Risk, Regulatory Risk, Operational Risk, Risk Control Self Assessment Frameworks, Client and Vendor Relationships, Cost and Expense Management, Teambuilding & Leadership, and Sarbanes-Oxley (SOX).
Senior Associate - Operational Due Diligence @ From July 2015 to Present (6 months) Associate - Operational Due Diligence @ From November 2012 to June 2015 (2 years 8 months) Senior Internal Auditor - Capital Markets Team @ • Audit financial records, operating procedures, and internal controls around: trade allocation, settlement, and confirmation; structured transactions; liquidity management; counterparty credit analysis; debt issuance and derivative hedging.
• Monitor financial reform regulation and conduct pre-implementation reviews to assess the impact on Fannie Mae business processes for projects such as derivatives clearinghouse and Natty Mac initiative.
• Conduct risk management reviews and assess the mitigating controls for their overall design and effectiveness.
• Maintain comprehensive documentation of processes, audit procedures, and testing analysis for assigned areas, ensuring compliance with departmental methodology and professional standards.
• Leverage data analytics to identify potential risk exposure and analyze patterns indicative of systemic control weaknesses.
• Establish productive working relationships with customers during audit assignments and maintain a high level of engagement with client management to anticipate future challenges and emerging issues. From April 2011 to October 2012 (1 year 7 months) Washington D.C. Metro AreaInternal Auditor - Capital Markets Team @ Please See Above From August 2009 to April 2011 (1 year 9 months) Washington D.C. Metro AreaFinancial Analyst – Analytics Development – Fixed Income Risk Management @ • Conducted cash flow modeling and analysis of mortgage-backed, asset-backed, and collateralized debt securitizations for ABSXChange, S&P’s primary structured finance cash flow modeling platform, used by regulatory agencies and financial institutions for portfolio management and valuation; typical transaction size over €1,000,000,000.00.
• Provided structured valuation, risk assessment, and stress testing to create detailed forecasts of expected performance for institutional investment portfolios under various macro-economic scenarios to support audit and regulatory requirements.
• Monitored data quality from teams in India and Vietnam, and coordinated projects with specialized client teams in the UK.
• Seamlessly handled complex U.S. and non-U.S. denominated structured finance offerings including RMBS, CMBS, ABS, and CDO assets, enabling cash-flow projection and pricing analytics using pre-defined or user-generated market scenarios.
• Tailored consulting services to help clients with business decisions around the impairment, provisioning, and sale of assets.
• Facilitated user-driven modeling of complete cash-flow waterfalls: loan analysis; surveillance; cash-flow projection and analysis; payment calculation and investor reporting; tax processing and analysis; accounting; and valuation. From January 2008 to August 2009 (1 year 8 months) Senior Securities Analyst – Structured Products – Residential Mortgage Backed Securities @ • Founding member of the Bear Stearns portfolio “New Deal Team” concentrating on master serviced bonds.
• Specialized in collateral preparation, bond administration models, and cash flow analysis to verify accuracy.
• Focused extensively on the implementation of SEC Regulation AB reporting requirements.
• Interpreted governing legal documents and created payment models for RMBS deals with diverse and hybrid deal structures, including: OC, Senior/Sub, Ratio Strip, Negative Amortization, and Pre-Funding collateralizations.
• Reviewed and corrected team members’ collateral and bond files prior to payment deadlines.
• Developed solutions for inefficiencies in processes and weaknesses in procedures. From August 2006 to January 2008 (1 year 6 months) Securities Analyst II @ Please See Above From August 2005 to August 2006 (1 year 1 month)
Master of Business Administration (MBA), Business Administration and Management, General @ Georgetown University - The McDonough School of Business From 2010 to 2013 BA, Major - Economics, Minor - Management Studies: Corporate Strategy @ Vanderbilt University From 2001 to 2005 High School Diploma, Liberal Arts and Sciences, General Studies and Humanities @ Landon School From 1992 to 2001 Stuart Chapman, CIA, CFSA, CRMA is skilled in: Internal Audit, Financial Analysis, Operations Management, Internal Controls, Operational Risk, Financial Risk, Structured Finance, ABS, RMBS, Process Enhancement, Attention To Detail, CFSA, Risk Management, Credit Risk, Reputational Risk
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