Andrew Auslander, CFA, FRM

Andrew Auslander, CFA, FRM

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). 


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Andrew Auslander, CFA, FRM

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • All Risk Coverage
      • Broker Dealer (B-D)
      • Callable Yield
      • Commodities
      • Currencies
      • Distressed Securities
      • Fixed Income
      • Foreign Exchange Trading
      • Futures
      • Margin
      • Operations
      • Risk Management
      • Securities Lending Accounts
      • Structured Products/Structured Notes
      • Trade Processing
      • Banking
      • Corporate Bonds
      • Commodities
      • Currencies
      • Currency Trading
      • Fixed Income
      • Foreign Exchange Trading
      • Futures
      • Margin
      • OTC Derivatives
      • Risk Management
      • Structured Products
      • Trading
      • U.S. & Latin America
      • Financial Crimes
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • All Risk Coverage
      • Broker Dealer (B-D)
      • Callable Yield
      • Commodities
      • Currencies
      • Distressed Securities
      • Fixed Income
      • Foreign Exchange Trading
      • Futures
      • Margin
      • Operations
      • Risk Management
      • Securities Lending Accounts
      • Structured Products/Structured Notes
      • Trade Processing
      • Banking
      • Corporate Bonds
      • Commodities
      • Currencies
      • Currency Trading
      • Fixed Income
      • Foreign Exchange Trading
      • Futures
      • Margin
      • OTC Derivatives
      • Risk Management
      • Structured Products
      • Trading
      • U.S. & Latin America
      • Financial Crimes
  • Financial Crimes
    • Third Party Risk Management
    • Fraud & Risk Management

Credentials

EXPERIENCE

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

EDUCATION

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

AFFILIATIONS

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