Andrew Auslander, CFA, FRM, is a financial expert with decades of experience in Finance and Risk Management with global financial institutions. He was a fixed income trader for twelve years and traded bonds, repo, securities lending, interest rate and FX options. He is an expert in the valuation of corporate bonds and loans with extensive experience in Latin American and Eastern European bonds. For 12 years he was responsible for managing customer credit risk, interest rate risk and funding risk. He has negotiated and reviewed hundreds of Global Master Repurchase Agreements, Global Master Securities Lending Agreements, ISDA Master Agreements and Credit Support Annexes. He held senior risk management positions for fifteen years including Chief Risk Officer. At Itau Private Bank, Adrew co-chaired the Credit Risk Committee at an $11 billion private bank where he approved $1 billion of credit lines. He reviewed and approved billions of dollars of structured bonds as head of Asset-Liability Committee. He also led a project to update the entire suitability process.
Mr. Auslander has extensive policy and procedure experience. He has written or revised over one-hundred risk management policies and procedures. He has experience responding to the SEC as he was Chief Risk Officer at Itau (USA) Asset Management when we went through a 6-month SEC examination. He has also been the main risk management contact during three US Federal Reserve and FINRA examinations.
Citibank - Securities-based lending project
2023
City National Bank - Updated infrastructure of Risk Mgmt area
2022
Udon Labs backed by Atomic Mgmt VC Provided performance analytics to Fintech RIA
2021 - 2022
Shin Han Bank - Update of all risk management policies
2021 - 2022
UBS Wealth Mgt. USA - Credit Risk Mgmt policies updated / QC of loans
2021 - 2022
Hilltop Securities, (remote) - Analysis of risk management area
2021
Several Entities of MUFG - Risk Mgmt policies updated / RCSA performed
2019 - 2020
Atlas Bank, Panama (remote) - Creation of Credit Risk Management Policy
2019
Head of Risk Governance
Head of Risk Management
Chief Risk Officer
Market and Liquidity Risk Management for Credit FI
Portfolio Manager, Global Macro Hedge Fund
Head of Repo Desk for International Securities
Head of Repo Desk for International Securities
Head of Repo for Eastern Europe
Head of Repo Desk
Repo / Securities Lending / Options / Futures Trader
Advanced Professional Certificate, Finance
M.S. Computer Science & Information Systems
B.S. Marine Engineering Systems
Policies, procedures, governance, AML/BSA
SEC, US Federal Reserve & FINRA examinations
US Liquidity stress tests (SR 10-6)
Basel - Liquidity Coverage Ratio, Net Stable Funding Ratio
Market, credit, operational, liquidity, interest rate, liquidity risks
Asset & liability management (ALM)
Corporate bonds & loans, structured bonds
Latin American and Eastern European bonds
Repo, securities lending, margins calls, Cum-Ex
Futures & options, Greeks
Chartered Financial Analyst
Certified Financial Risk Manager
Series 7, 63, 24 (expired)