Moses Nam is a Managing Director at DLA, LLC and is a part of the Internal Audit and Advisory Services department. Moses has over 23 years of experience primarily focusing on the financial services industry leading various audit/internal audit, SOX, and advisory services. More specifically, Moses’ experience expands across large global banks/FBOs, broker-dealers, swap-dealers, asset management/hedge funds, and insurance.

Prior to joining DLA, Moses served at the Big 4 (PwC and Deloitte) for over 13 years where he had served as a trusted advisor to the board of directors, audit committees, and executive management, recommending practical solutions, and assisting with the implementation and enhancement of control environment. Moses has led large global teams in internal audit transformation, building internal audit function from ground up, outsource and co-source internal audit, EQAs, SOX/refresh/readiness, controls assessment of the second line functions (i.e. Risk and Compliance), BSA/AML reviews, as well as financial and business operation transformation. He also served as a liaison to external auditors and various regulators (e.g. SEC/FINRA, FRB, OCC, CFTC/NFA, NYS DFS) to assist with the validation testing and remediation of regulatory issues such as MRA/MRIA and Consent Orders.

Prior to the Big 4, Moses spent over 10 years primarily in the financial services industry within the internal audit/controls functions. Moses has led many business and technology audits, based on FFIEC, COSO, COBIT framework, focusing on the financial, operational, and compliance areas, including fraud investigations.

Prior Work Experience

• PwC
• Deloitte & Touche LLP
• Bank of New York Mellon

Education, Certifications & Affiliations

• Zicklin School of Business – Baruch College – BBA, Major in Accounting / Minor in Computer Information Systems
• CPA – New York State
• CISA

Contact Information

Address: 55 Lane Road, Suite 310 Fairfield, NJ 07004

Office: (973) 575-1565

Mobile: (347) 809-1244

Fax: (973) 575-1615

Email: moses.nam@dlallc.com