Paul Dickey [pauldickey@yahoo.com]

Past

• Research & Teaching Assistant at California State University, Sacramento
• Sr. Internal Auditor at E*TRADE FINANCIAL Corporation
• Supervisor at E*TRADE Clearing LLC

see less...

Education

• California State University-Sacramento

Recommended

7 people have recommended Paul

Connections

242 connections

Industry

Financial Services

Websites

• COSO - Beyond Compliance
• Institute of Internal Auditors
• CA Marathon results 12/6/1998

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

• Engagement leader ► internal audit evaluations in the U.S. and abroad (including: Hong Kong, People's Republic of China - officially: Zhōnghuá Rénmín Gònghéguó 中华人民共和国 • Tokyo, Nihon-Koku officially 日本国• London, United Kingdom of Great Britain and Northern Ireland • Stockholm, Konungariket Sverige • Copenhagen, Kongeriget Danmark • Berlin, Bundesrepublik Deutschland.

• By doing extensive research in advance of these audits, the onsite work performance was thorough and we strengthened the trust of our clients. As a result, we had an increased client participation that enabled us to better examine their control environment. On a more personal note, meeting people and learning about their culture is what I have enjoyed the most as a business traveler.

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

• Performed independent testing ► Anti-Money Laundering (AML) brokerage programs to ensure (and satisfy required) compliance with Bank Secrecy Act 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; Higher Education industry)

  January 2007 — August 2008 (1 year 8 months)

  ► Research Assistant (Fall 2007 to Summer 2008): Empirical Analysis of Antecedents and Outcomes of Communication Climate in Organizations. Responsibilities included: Presentations on the importance of academic research, weekly meetings covered measurement and scale reviews, identified participating work groups, coordinated schedules with HR managers, and administered surveys to employees.
  
  ► Teaching Assistant (Spring 2007-08) for Business Communications (MGMT 102) Responsibilities included: 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, conversations in business settings, their role in coordinating actions, resolutions for breakdowns in work performance, and customer focused results.

• Sr. Internal Auditor

  E*TRADE FINANCIAL Corporation

  (Public Company; ETFC; 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 in place, 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.
  
  ► 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
  ► Leadership (20%) • Provided audit project supervision role for staff auditors
  ► Built relationships (15%) • Partnered with audit clients to identify constructive and value-added solutions to address risks identified
  ► Annual Audit Plan (5%) • discussed areas for inclusion in the annual audit plan

• Supervisor

  E*TRADE Clearing LLC

  (Financial Services industry)

  January 1999 — December 2002 (4 years )

  Supervised three key brokerage operations departments:
  
  • Purchase & Sales
  • Retail Trade Settlements
  • 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 , Business Administration • Finance, Entrepreneurship • minor: Marketing , 2006 — 2009

  ► 19th Annual International Collegiate Inventors Competition, sponsored by the Abbott Fund & USPTO, first round participate on June 16, 2009.
  
  ► 23rd Annual California State University Student Research Competition involving 23-CSUs, final round was in Los Angeles, CA on May 1-2, 2009 (2nd place). Performed exploratory quantitative analysis of causal independent variable functions to delineate transparency for the average housing market in Sacramento, dependent variable.
  
  ► 45th Annual International Collegiate Business Strategy Competition, served on the undergraduate team representing the College of Business Administration. Final round in San Diego, CA including 19-universities on April 16-18, 2009.
  
  ► 6th Annual International Financial Management Association Forecasting Competition, (1st place) 10 Year Treasury Note, on April 13, 2007.
  
  ► Team Leader in an international telecommunications project collaborating with the Corvinus University in Budapest, Hungary. (F06)

  Activities and Societies:

  ~, Co-Founder, (of the following),
  ► Leadership Education and Development Committee,(F08-S09),
  ► College of Business Administration Leadership Joint Council,(F08-S09),
  ► Sacramento Association of Collegiate Entrepreneurs,(F08-S09),
  ► Toastmasters International,(S07-S09),
  ► American Marketing Association,(S08-S09),
  ► Financial Management Association,(F06-S09),

Additional Information

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

• COSO - Beyond Compliance
• Institute of Internal Auditors
• CA Marathon results 12/6/1998

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 ► 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.

•    China Business
•    E*TRADE Alumni
•    The Leukemia & Lymphoma Society
•    Global Entrepreneurship Week
•    The Official Toastmasters International Members Group
•    Financial Management Association International (FMA)
•    The Institute of Internal Auditors (The IIA)
•    California State University-Sacramento
•    Young Inventors International
•    Career MasterMinds
•    GreenBiz.com -- Green Business Professionals
•    FMA at Sacramento State University
•    Sacramento Association of Collegiate Entrepreneurs

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.

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

Interested In:

• reference requests
• getting back in touch