- In excess of 60 hours per year of professional training, including: Sarbanes-Oxley Section 404, PCAOB Standard Number 2, 3 and 5, E*TRADE and KPMG audit updates and numerous accounting and auditing updates - Minimum 10 hours per year in ethical, independence, and development training Specialties: auditing, sarbanes-oxley, accountancy

Manager, Audit @ - Perform internal audit procedures for various business functions of the company from planning, creating an audit program, testing, documenting, communicating findings and providing recommendations, and audit report writing - Perform walkthroughs, identify risks, develop and implement internal control testing and compliance of the company in accordance with Sarbanes-Oxley, including remediation efforts - Led the internal audit of the former G1 Execution Services – Market Making business located in Chicago, IL while managing several staff auditors - Led internal audits of E*TRADE’s Order Room operations, Customer Service Department, Associate Registrations, Margin Operations, Syndicate Operations, and a majority of branch office locations - Led the assistance of E*TRADE Compliance in the annual review of FINRA Rule 3130 testing requirements - Prepare audit work papers in accordance with the Institute of Internal Auditors (IIA) standards - Through internal audit review and research, continually gain an understanding of applicable Financial Industry Regulatory Authority (FINRA) , Securities & Exchange Commission (SEC), Federal Reserve, and the Office of the Comptroller of the Currency (OCC) rules and regulations - Experienced the Securities and Futures Commission (SFC) regulations of Hong Kong, and Monetary Authority of Singapore (MAS) regulations, and the now defunct Financial Services Authority (FSA) regulations of the United Kingdom, - Trained new-hire staff, seniors, and managers *Previous positions within E*TRADE: Senior Audit Specialist (October 2013 - November 2014) Senior Auditor (January 2012 - October 2013) Staff Auditor (January 2010 - January 2012) From January 2010 to Present (6 years) Associate Auditor @ Assurance/Business Advisory services for Fortune 500, IFRS, SEC, privately held, and not-for-profit clients (focus in Consumer Products and Technology) Perform audit procedures on significant accounts such as revenue, accounts receivable, inventory and liabilities Perform tie-out procedures on 10-K, 10-Q, 8-K and various other SEC documents Responsible for coordination of audit confirmations on all clients Perform internal control testing and compliance of clients in accordance with PCAOB Standards 2,3 and 5 Responsible for intial review of assistant associates work and guidance on a daily basis From September 2008 to September 2009 (1 year 1 month) Lifeguard @ Training and certification of approved water rescue methods and specific medial aid techniques Ability to rapidly adjust and learn rules and regulations relating to human safety Ability to exercise appropriate firmness in enforcing rules and regulations to ensure safety From June 2008 to August 2008 (3 months) Audit Intern @ From June 2007 to August 2007 (3 months) Greater New York City Area

Bachelor of Science, Accounting @ University at Albany, SUNY From 2005 to 2008 Baruch College From 2004 to 2005 William Chaffee, CIA, CFSA is skilled in: SOX, Accounting, Accounts Receivable, Auditing, Inventory Management, Customer Relations, Profit, Customer Service, Audit, Internal Controls, SEC reporting, General Ledger, Internal Audit, Financial Reporting, Balance