Sean Gleason

Sean Gleason is a Managing Director with Protiviti functioning as Head of Asset & Wealth Management. Sean has over 20 years of experience providing Advisory Services to global financial institutions. In this role, Sean works closely with senior management in areas such as internal controls and internal audit (IT & operational), Sarbanes Oxley, technology/operational transformation, issue remediation, governance, risk & compliance and enterprise risk management. Having spent more than half of his career in financial services leadership roles, he partners with his clients to craft tailored solutions to transform front, middle and back-office functions across all three lines of defense.

Major Projects 

• Responsible for all day-to-day global functions of audit, risk and internal control at a multinational private equity/alternative asset management firm
• Led large-scale Target Operating Model / Transformations across front, middle and back-office operations
• Leads business process improvement engagements helping multiple organizations operationalize and execute solutions to enhance finance and operations business performance and drive sustainable growth
• Led multi-national Sarbanes Oxley compliance function for asset management firm with over $2 trillion in assets under management
• Responsible for the development of annual audit plans which include creation of the audit universe, annual risk assessment, budget/resource allocation, execution of the audit plan and reporting to Audit Committee
• Advised Board of Directors and C-suite teams to develop stronger, more impactful audit functions through value added feedback, strategic recommendations and leading practices to the business and risk management functions
• Led global integrated audit teams (IT & operational) to identify and mitigate risk across business/environmental, legal and regulatory, operational, financial, technology, information security, fraud, human resources, strategic and brand/reputational risks
• Advised senior management across all three lines of defense in performing comprehensive financial crimes/fraud risk assessments of operations and developing risk-based internal control frameworks under COSO 2013 for annual testing requirements

Areas of Expertise

• Internal Audit
• IT Audit
• Transformation / TOM
• Enterprise Risk Management
• COSO 2013
• SOC 1 & SOC 2 Reporting 

Industry Expertise

• Asset Management
• Private Equity
• Financial Services
• Banking
• Capital Markets 

Education

• BS in Management Information Systems and Finance, Loyola University

Professional Memberships and Certifications

• Certified Information System Auditor (CISA)
• Certified in Risk and Information System Control (CRISC)