1. PAPA DIOR NDIAYE
30 Newport Parkway Apt # 210 | Jersey City, NJ 07310 | T: 201 388- 5921 | Email: Pdiorn@gmail.com
QUALIFICATIONS
M.B.A graduate with more than ten years of professional experience in Financial Services Risk and Controls with
expertise in , AML Investigation Audit, Management Control Assessment, and Brokerage operations risk
controls. Extensive knowledge of laws applicable to anti-money laundering, including the Bank Secrecy Act
(BSA), the USA Patriot Act, and Suspicious Activity Report (SAR) requirements. Fluent in French.
PRO FE S S IO N AL EXPE RIE N CE
CITIGROUP, Jersey City, NJ 2015- PRESENT
Compliance Officer: Global Investigation Unit: AML Compliance Audit
 Audit AML Investigation Report and ensure proper procedures have been followed such as the use of information obtained
from other financial institutions through 314(a) and 314 (b) request(s).
 Conduct a quarterly end to end AML lifecycle review and highlight potential control deficiencies and weaknesses related to
various investigative projects.
 Perform test control on account closeout process, review supporting documentation, and ensure proper procedures have
been followed as outlined by internal and external regulatory entities.
 Audit the NO Suspicious Activity Report (SAR) to ensure that the case disposition is consistent with the reason not to file a
(SAR) as outlined in the investigation report case summaryand the case recommendation.
 Maintain and update a Global Investigation Unit (AML Red flag list) of previously exited clients for AML reasons.
 Assess and continuously monitor test results to identify gaps in control execution, emerging risks and/or weaknesses in
process and control design.
 Execute MCA procedures as prescribed; determine root cause of issues and assist in the development of corrective action
plans.
RBC, TD SECURITIES, CIBC, BNPP: Jersey City, NJ & Toronto, ON 2011- 2014
Senior Risk Analyst and Control specialist:
 Planned and managed various audit projects with a focus on operational risk standards, and identified important risks
inherent in each business activities, and evaluated the effectiveness of key controls over identified risks.
 Performed special audit of Middle and Back-Office brokerage operations including: Equity trade, Corporate actions, Principal
pay down, Dividend and bond interest reconciliations, and General ledger accounting practices.
 Assisted with gathering information for the regulatory examinations and audits; provide support during the
examination/audit; and ensure compliance issues are addressed in a timely manner.
 Engaged in extensive research and reviewed of operational processes, including the identification of suspected control
weaknesses and the effectiveness of internal controls.
 Discussed audit findings with management, researched, monitored, and tracked developments in new regulations.
CREDITSUISSE, Toronto, Canada 2009 -2010
Senior Control Officer andAudit Consultant – Shared Services
 Tasked with continually maintaining a variety of fund’s Financial Transactions Operating Procedures in accordance with
changing recommendations from regulatory agencies.
 Fulfilled a critical role providing executive oversight of all internal processes and controls governing corporate actions events,
trade settlements, and securities movement between contra parties.
 Analyzed, reviewed, and communicated new and proposed laws and regulations to management, and assessed their overall
impact.

2. Dior Ndiaye Page 2
 Ensured the accurate and timely reporting of portfolio updates through the diligent maintenance and verification of portfolio
hierarchy reporting.
 Coordinated project planning with auditors by assessing the information needs and identified sources of information required
to perform an assessment of internal control effectiveness.
STATE STREET CANADA, Toronto, Canada 2006 -2008
Operations and Control – Custody Services
 Leveraged superior industry expertise and organizational skill to ensure the success of fund management operations, custodial
operations, investment management, and securities administration.
 Instrumental in identifying, addressing, and resolving cash reconciliation issues with the potential to adversely impact
performance measurement and client reporting.
 Reviewed and applied changes in regulatory agency recommendations, tailoring the Financial Transactions Operating
Procedures for each fund to ensure full compliance.
 Reviewed key characteristics of control activities level and assessed potential risk related to material weakness, financial
misstatement risk or control failure.
 In conjunction with the Value at Risk group, assembled documentation and explanation of day-over-day VaR changes in full
compliance with rules and regulations governing risk management.
 Assumed a lead role in enforcing strict compliance of trades execution, settlement of broker dealer claims, and other
corporate actions events.
UBS FINANCIAL SERVICES, Jersey City, New Jersey 1999- 2006
Vice President of Operations (Margin Lending)
 Supervised a team of two professionals dedicated to the effective management of a portfolio of accounts for margin
requirements, reviewed margin trading applications by applying risk measurements such as Value at Risk and/or portfolio
Standard Deviation analysis, and level of position concentration.
 Collaborated with the Risk Management group to formulate credit standards to govern margin approval while following
guidelines set forth by the firm and regulatory agencies.
 Maintained constant vigilance over outstanding margin loans, reviewed the monthly risk ranking of each loan while
producing monthly and quarterly management reports summarizing the firm’s risk exposure to market forces, as well as the
loan repayment ability of margin clients.
 Exercised leadership and control over all risk management initiatives, through the maintenance of internal control documents
and the daily production of control reports documenting the successful resolution of all high-risk issues.
ED UCATIO N
PACE UNIVERSITY
Master of Business Administration Degree in Financial Management
NEW JERSEY CITY UNIVERSITY
Bachelor of Science Degree in Finance
PRO FE S S IO N AL DE VE L O PM E N T AN D CE RTIFICATIO N S
Sarbanes-Oxley Certification Section (404) - 2013
TE CHN ICAL PRO FICIE N CIE S
Microsoft Word, Microsoft Excel, Microsoft PowerPoint