- November 8, 2017
- Posted by: giawatkins
- Category: CFI News
Former Senior Internal Audit Executive and FINRA Field Examiner Brings Nearly 40 Years of Audit and Risk Assessment Experience to Address Growing Need within Financial Services Industry
PALATINE, IL – OCTOBER 23, 2017 – Capital Forensics, Inc. (CFI) announced today that Gill Goodson has joined the firm as a Senior Consultant, adding greater professional depth to CFI’s ability to assist financial services firms with internal audit and risk assessment processes and procedures, and to help them resolve findings related to those inquiries.
Gill Goodson has nearly 40 years of experience in financial services – including positions with banks, broker-dealers and industry regulatory agencies – focused primarily on internal audit and risk assessment functions, quality assurance programs, and fraud investigations. Most recently, he served as Senior Vice President / Audit Director for Hilltop Holdings, a Texas-based, diversified financial services holding company. Prior to that, he was Senior Vice President / Director of Internal Audit for Southwest Securities.
Earlier in his career, Mr. Goodson was a Field Supervisor in District 6 (Dallas) for FINRA (previously NASD), where he conducted cycle examinations of broker/dealer compliance programs and systems, and analyzed the sales practices, financial health and operational condition of broker-dealers.
Capital Forensics’ Chairman and CEO, Vadim Khavinson, said, “Increasingly, financial services firms are applying internal audit and risk assessment disciplines both to pro-actively identify and address problem areas, and to better prepare for tougher regulatory scrutiny. The addition of Gill Goodson to our team is intended to respond to that client need with one of the industry’s most knowledgeable and respected professionals in internal audit and risk assessment.”
Mr. Goodson holds Series 7 and 99 Securities Industry licenses and is a Certified Financial Services Auditor (CFSA). He also holds a Certification in Risk Management Assurance (CRMA) from The Institute of Internal Auditors.