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Andrew Auslander, CFA, FRM

Andrew Auslander, CFA, FRM

Andrew Auslander is a Bates Testifying Expert who has more than two decades of experience in Finance and Risk Management with global financial institutions. He is an expert in the valuation of corporate bonds and loans. He has extensive market, credit, model, operational, and liquidity risk management experience. He has deep experience implementing risk identification, assessment, advisory, and reporting at global financial institutions. He has set up global enterprise risk management frameworks, implemented policy governance and conducted AML/BSA risk assessments. He developed the business requirement documents and managed the implementation of new suitability and performance reporting systems.

As the market risk manager for the credit desks at a global investment bank, he approved new products and built out and monitored all market and liquidity risk metrics. He also implemented the interagency guidelines for liquidity (SR 10-6) and supervisory guidance on model risk (SR 11-7). He was the head of repo trading for international banks where he managed customer credit risk, interest rate risk, and funding risk. He has negotiated hundreds of Global Master Repurchase Agreements, Global Master Securities Lending Agreements, ISDA Master Agreements, and Credit Support Annexes. As the head of risk management at an $11 billion private bank, he approved $1 billion of credit lines and structured notes that were sold to clients. He was recently retained as an expert witness in an arbitration involving the valuation of emerging market bonds and loans in the London Court of International Arbitration.

He has held FINRA series 7, 24, and 63 licenses. Mr. Auslander holds an M.S. in Computer Science and attended the Masters-level Finance program at New York University’s Stern School of Business. He is a certified Financial Risk Manager (FRM), Chartered Financial Analyst (CFA) and a Certified Board of Director (NACD.DC).

Andrew is a consultant and subject matter expert in these Practice Areas and Services:



Bates Group LLC, Testifying Expert, 2020 - Present
Agile Financial LLC, Expert Consultant and Expert Witness for options, derivatives, credit instruments, duty of care and risk management, New York, NY, 2019 – Present

Citibank, Management Consultant for Risk Management, New York, NY, 2023 
City National Bank, Management Consultant for Risk Management, New York, NY, 2022 
UBS Wealth Management, Management Consultant for Risk Management, New York, NY, 2021 – 2022 
MUFG Securities Americas Inc., Management Consultant for Risk Management, New York, NY, 2019 – Present
AIG, Director, Head of Risk Governance, New York, NY, 2017 – 2018
ITAÚ Private Bank, Head of Risk Management, Miami, FL, 2013 – 2016
ITAÚ USA Asset Management, Chief Risk Officer, New York, NY, 2012 – 2016
Credit Suisse, Director, Risk Manager, New York, NY, 2005 – 2012
Galtere International Fund, Portfolio Manager, New York, NY, 2004 – 2005
Prudential Securities, Senior Vice President, Bond and Repo Trader, New York, NY, 2001- 2003
BNP Paribas, Senior Vice President, Repo Trader, London and New York, NY, 1999 – 2001
ANZ Investment Bank, Vice President, Repo Trader, London, 1997 - 1998
Salomon Brothers, Vice President, Repo Trader, London and New York, NY, 1991 - 1997


Advanced Professional Certificate (APC), Finance (Finance MBA Core Curriculum), New York University, Stern School of Business, New York, NY
Master of Science (MS), Computer Science and Information Systems, Rensselaer Polytechnic Institute, Troy, NY  
Bachelor of Science (BS), Marine Engineering Systems. U.S. Merchant Marine Academy, Kings Point, NY


  • Member of Board of Directors of CFA Society of New York
  • Co-Chair of Value Investing Group at CFA Society of New York
  • Co-Regional Director of New York Regional Chapter of Professional Risk Managers International Association
  • Co-Chair of Nominating Committee at Professional Risk Managers International Association
  • Member of Global Association of Risk Professionals
  • Member of CFA Institute