Mitchell A. Fink, CDP
Mitchell has an extensive background in the design and implementation of computer systems. This work involves all aspects of financial services back-office and front office operations, with emphasis on the usability of information. Recent engagements have focused on the audit and evaluation of existing systems with analysis and recommendations for changes to increase efficiency and save money. This work has probed the integrity and reliability of computer processing along with the related controls relative to the strategic and tactical plans of the client companies. Experience and skill in this area has led to a number of engagements and expertise relating to the Sarbanes-Oxley Act of 2002. Working directly for the senior management, and Board level committees, Mitchell has been able to understand the business needs of the client companies and designed and managed projects that analyzed existing internal control procedures and documented in forms and formats suitable for audit. In cases where weaknesses were determined, remediation activities were organized and implemented. In other work, for a Big 4 accounting firm, he assisted in managing IT audits for Sarbanes-Oxley compliance.
Brokerage back-office systems have been the focus of Mitchell’s application experience. This includes trading systems and broker work stations, cashier’s department processing, margin systems and SRO compliance reporting. As part of this work a major software package was developed and marketed to Investment Advisors and Mutual Funds.