Paul Dickey [pauldickey@yahoo.com]

Current

• Research & Teaching Assistant at California State University, Sacramento

Past

• Sr. Internal Auditor at E*TRADE FINANCIAL Corporation
• Supervisor at E*TRADE Clearing LLC

Education

• California State University-Sacramento

Recommended

6 people have recommended Paul

Connections

158 connections

Industry

Financial Services

Websites

• COSO - Beyond Compliance
• Institute of Internal Auditors
• Psychoneuroendocrinology

Paul Dickey [pauldickey@yahoo.com]’s Summary

Was responsible for leading internal audit evaluations in the U.S. and abroad (including: China - Hong Kong, Japan - Tokyo, England - London, Sweden - Stockholm, Denmark - Copenhagen, and Germany - Berlin).

Paul Dickey [pauldickey@yahoo.com]’s Specialties:

Performed independent testing of Anti-Money Laundering (AML) brokerage programs to ensure compliance with Bank Secrecy and USA PATRIOT Act. Beyond auditing, reviewed and tested Sarbanes-Oxley (SOX) key control matrices, assignments included financial, operational, and compliance.

Paul Dickey [pauldickey@yahoo.com]’s Experience

• Research & Teaching Assistant

  California State University, Sacramento

  (Educational Institution; 1001-5000 employees; Higher Education industry)

  January 2007 — Present (1 year 11 months)

  • Research Assistant (fall 2007 to present): Empirical Analysis of Antecedents and Outcomes of Communication Climate in Organizations. Responsibilities include: Conducting presentations on the importance of academic research. Weekly meetings covered measurement and scale reviews. Identify participating work groups. Coordinate schedules with HR managers. Administer surveys to employees.
  
  • Teaching Assistant (spring 2007 to spring 2008) for Business Communications (MGMT 102) Responsibilities included: providing key concepts for understanding and practice of communication in the changing world of business for managers and professionals. Helped students examine their use of language and conversations in business settings and their role in coordinating actions, resolving breakdowns in work performance, and providing customer satisfaction.

• Sr. Internal Auditor

  E*TRADE FINANCIAL Corporation

  (Public Company; 1001-5000 employees; ET; Financial Services industry)

  January 2003 — August 2006 (3 years 8 months)

  In this role, evaluated the adequacy, effectiveness, and efficiency of the systems of controls, and consequently provided recommendations to mitigate any identified weaknesses, as well as highlighted strengths within the control environment. Worked with management to ensure compliance with policies, laws and regulations.
  
  (1) Managed execution of Audit Process (60%) • performed a risk evaluation of audit area to identify key controls for review. • drafted the audit program and executed the audit steps • Prepared workpapers, schedules, and summaries to document audit evidence, conclusions, and findings reached
  (2) Leadership (20%) • Provided audit project supervision role for staff auditors
  (3) Built relationships (15%) • Partnered with audit clients to identify constructive and value-added solutions to address risks identified
  (4) Annual Audit Plan (5%) • discussed areas for inclusion in the annual audit plan

• Supervisor

  E*TRADE Clearing LLC

  (Financial Services industry)

  January 1999 — January 2003 (4 years 1 month)

  Supervised three key brokerage operations departments:
  
  (1) Purchase & Sales
  (2) Retail Trade Settlements
  (3) Institutional Trade Settlements.
  
  Responsiblilities included: Team Leader supporting Books & Records project conversions • Oversight for general ledger accounts processing over $100 million USD daily • Relationship Manager for E*TRADE global affiliates – London, New York, Tokyo, and Hong Kong • Back-office experience using brokerage records systems – ADP, BETA, and SWIFT • Specialized in institutional NYSE brokerage clearance • Matched and approved trade contracts through OCC, NSCC, Balance Orders, X-Clearing • Established Fail Control Desk to effectively mitigate risk of regulatory violation • Possess a strong operational knowledge of ORDs, ADRs, GDRs, and fixed income

Paul Dickey [pauldickey@yahoo.com]’s Education

• California State University-Sacramento

  Bachelor of Science, Finance, Entrepreneurship, Marketing, 2006 — 2009 (expected)

  • Project Leader covering the "Subprime Mortgage Crisis" (spring 2007 to fall 2008) in Sacramento, CA. The least squares method of regression forecasting was used in the empirical analysis of the variables to define the coefficient of determination for the average housing price index in Sacramento, which also includes further analysis featuring impacts on national, global, and political views. Please note Sacramento, CA was recognized by Forbes as #5 on May 15, 2007 and thereafter as #1 Worst U.S. Housing Market on November 21, 2007.
  
  • Team Leader in an international telecommunications project collaborating with the Corvinus University in Budapest, Hungary. (fall 2006)

  Activities and Societies:

  ~
  • Co-Founder, President, Toastmasters International, (spring 2007 to spring 2008), http://www.csus.edu/org/toast/,
  • Co-Founder, Vice-President, American Marketing Association, (spring 2008), http://www.csus.edu/org/ama/,
  • Co-Founder, Vice-President, Financial Management Association, (fall 2006 to fall 2007), http://www.csus.edu/org/fma/

Additional Information

Paul Dickey [pauldickey@yahoo.com]’s Websites:

• COSO - Beyond Compliance
• Institute of Internal Auditors
• Psychoneuroendocrinology

Paul Dickey [pauldickey@yahoo.com]’s Interests:

• Favorite Sport: Free-Diving for abalone and spear-fishing off the Northern California coast, • Runner: Placed 67th in my age division, California International Marathon, ("CIM") December 6, 1998 (3 hrs 30 mins 9 secs), http://www.runcim.org/data/results/Results98M2.html

Paul Dickey [pauldickey@yahoo.com]’s Groups:

• Co-Founder of Career MasterMinds, http://cmm.wetpaint.com/, (3/2007). We are a group of professionals and students who help empower each other through the college-to-career transition and beyond, serve as a support network, offer opportunities for leadership and coaching, and provide a platform for continued learning about career development and achievement of success. Put simply, we serve each other as a personal "Board of Directors" in career and life development.
• Member of, Institute of Internal Auditors, ("IIA") (1/2003) - IIA is an international professional association of more than 117000 members and the IIA is recognized as the internal audit profession’s leader in certification - education - research - and technological guidance.

•    E*TRADE Alumni
•    The Leukemia & Lymphoma Society
•    Toastmasters International Members
•    Financial Management Association International (FMA)
•    The Institute of Internal Auditors (The IIA)
•    California State University-Sacramento
•    Career MasterMinds
•    GreenBiz.com -- Green Business Professionals

Paul Dickey [pauldickey@yahoo.com]’s Honors:

• Associated Students, Inc. ("ASI") Scholarship Award (spring 2008) recipient for promotion and acknowledgement of enriching campus life at California State University, Sacramento.

• Winner for 10 Year Treasury Note (spring 2007) Forecast - 6th Annual, Financial Management Association, ("FMA") International Undergraduate Student Forecast Competition, http://www.fma.org/student/

Paul Dickey [pauldickey@yahoo.com]’s Contact Settings

Interested In:

• reference requests
• getting back in touch