Adenike Brown

Oversee development and execution of SOX compliance across financial, operational and IT GC domains, lead control assessments (ITGC/ITAC, cybersecurity, third-party risk), and manage external auditor interactions and remediation communications.

Supported SOX program improvement and automation, performed annual/quarterly SOX scoping, and managed projects and system enhancements including SAP integrations to strengthen controls over the general ledger.

Led design updates, documentation and annual assessments of SOX/MAR internal control systems, performed IT SOX and cybersecurity reviews, negotiated findings with internal and external audit, and reported control characterizations to the Audit Committee.

Established a new audit function, developed risk-based audit plans and frameworks, led financial, operations and IT audit programs, and drove automation and remediation to strengthen control environments.

Managed multiple audit projects, supervised testing and documentation of financial and IT controls, evaluated SOC reports and BSA/AML compliance, and ensured timely remediation of deficiencies with quantified impact assessments.

Supported SOX and MAR testing efforts, executed financial audits across multiple accounting bases, documented findings and assisted in IT GC testing for SOX compliance.

Ensured compliance with banking regulations including BSA/AML, delivered customer service, developed client relationships, and obtained life insurance licensing.

Assisted in managing global trading client relationships, supported order execution on U.S. exchanges, and obtained Series 7 and 63 licenses.

Completed a Master of Business Administration at Texas A&M University-Commerce in Fall 2014.

Earned a Bachelor of Science with a double major in Finance and Management and a minor in Information Technology Systems, graduating in Spring 2006.

Completed a post-baccalaureate program at Georgia State University’s Robinson College of Business.