Andrew Auslander is an Expert Affiliate at Bates Group 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) and a Chartered Financial Analyst (CFA).
Agile Financial LLC, Subject Matter Expert for International Legal Case, New York, NY, 2019 – Present
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 (M.S.), Computer Science and Information Systems, Rensselaer Polytechnic Institute, Troy, NY
Bachelor of Science (B.S.), 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-Chair of Nominating Committee at Professional Risk Managers International Association
Member of Global Association of Risk Professionals
Member of CFA Institute
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