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Click here or scroll down to respond to this candidateCandidate's Name , CISA, CRISCPHONE NUMBER AVAILABLEEMAIL AVAILABLECareer Summary 22 years in Financial Services Big 4 Audit experience Risk Management background 16+ Audit experience Excellent relationship management Strong leadership skills 6+ years of management experience Strong organizational skills MBA 6+ years of executive reporting Exceptional communication skills IT/Compliance/Analytics experience Experience:TIAA: Charlotte, NCBusiness Unit Risk and Control Manager July 2015 Nov 2020Developed first line risk/compliance programs within Client Services and Technology (CS&T). The programs were Risk Assessments; Policies and Procedures; Governance /Reporting. Assisted with Training/Communication, Issue Management and Regulatory Change Management.Leading the documentation project under our Compliance Modernization initiative enhancing standard operating procedures and other supporting documents. Impacting over 2,000 documents and 3,000 employees.Enhanced the teams dashboard reflecting the current initiatives, programs, accomplishments and watch items.Improved the Client Services Groups (CSG) risk assessment process, combining the regulatory and operational methods.Developed a compliance program for the Broker-Dealer entity ensuring adequate first line oversight for CSG, including de- velopment and review of Written Supervisory Procedures.Responsible for driving Archer use within the group and populating the missing gaps to ensure adequate reporting.Assisted with the rules and regulations impacting CSG, providing the business areas of focus to facilitate prioritization.Created Compliance reporting and communications related to the CSG process maturities. BANK OF AMERICA: Charlotte, NCSenior Group Operations Manager October 2013 April 2015Saved approximately $1 million in litigation costs by having effective communications with the Attorney Generals Office reviewing the outstanding cases minimizing the risk of legal action against the bank.Developed management reporting to facilitate trend analysis and to proactively manage cases, assisting with the 80% reduc- tion in complaints.Created and presented executive reporting on a weekly and monthly basis indicating the status of complaints, accomplish- ments, watch items, challenges and the plan for the next 90 days.Educated non-profit counselors on how the bank may assist customers and identified opportunities for improvement.Established strong working relationships with senior management (Market Presidents) and Local Market Managers to identify quick solutions regarding customer complaints. Reducing consumer complaints to zero. Business Control Manager February 2010 - October 2013Developed reporting for Home Loans executive management which enhanced awareness and resulted with zero aged issues.Effectively managed 50+ outstanding Legacy Asset Servicing (LAS) issues on a weekly basis to ensure timely resolution by the responsible parties. This resulted with zero aged issues or Matters Requiring Attention in 12 months.Reduced process completion time by 10% by streamlining the issue management processes across the LAS groups.Provided credible challenge to management for self-identification and remediating issues in a timely manner. As a result, ap- proximately 70% of issues were self-identified.Consulted leadership in LAS groups to follow changes in issue management policies and standards. Reviewed 100+ issues to reevaluate the severities.Senior Audit Consultant September 2001 - February 2010Reduced the banks risk exposure by $1 million using automated test queries with Audit Control Language (ACL) & Teradata SQL Assistant to proactively identify regulatory violations related to non-interest bearing accounts and wire exceptions (lim- its, access, duplicate ids, etc.).In-Charge for the following audits/assessment: UNIX/Windows, General Controls, Applications, Access (logical), Business Continuity, Models, Fee Assessment, Insurance, Home Equity, Delaware Operations and Reverse Mortgage of America.Assisted with the following audit reviews/due diligence: Regulation Z, First Mortgage, Fulfillment, Servicing, SOX, HUD/USAP and Countrywide.Increased audit assignment productivity by 10-15%, improved teamwork and desire for success from coaching the audit staff. CROSS COUNTRY BANK: Wilmington, DEFinancial/Operational/Information Technology Auditor October 1999 September 2001Supported management team to complete the annual audit plan by conducting medium and high-risk audit assignments. These reviews included Wire Transfer, Finance/Accounting, Call report, Website, and Third-Party vendor reviews.Executed individually a general client/server review and an electronic banking audit, which resulted in no issues from the Federal Deposit Insurance Company.Performed ad-hoc reporting to assist in identifying possible audit exceptions by analyzing over 1 million accounts using ACL. ERNST & YOUNG LLP: Philadelphia, PAInternal/Information Systems Auditor February 1998 October 1999Planned and performed IT and operational audits for internal audit clients. As part of the reviews, security assessments were completed for AS/400, DB2, ACF2 and RACF. Also, ACL was used to recalculate account receivables aging, identify anomalies in payments and compare differences and similarities between client files.Measured the adequacy of the design and compliance of the internal control systems.Conducted high level IT audits, which involved general control reviews, analyzing and gaining an understanding of the cli- ents technology structure. This included conducting interviews with key IT management to assess and test the physi- cal/environment controls, operating system/ application security, logical access, change management, business resumption plan, disaster recovery plan, system development life cycle, back-up/recovery and network controls.Maintained a strong client focus and developed productive working relationships. PNC BANK: Philadelphia, PAInternal Auditor June 1994 February 1998Assisted in planning, performing and leading audit engagements, these included Check Processing, Wire Transfer, Central Adjustments, Trust and Mutual Funds.Analyzed various banking business processes to evaluate controls and provided recommendations of improvement.Involved in special project with the Central Adjustments department to resolve $10 million in discrepancies.Used Culprit software to produce reports and assist with audit testing for the financial and operational audit teams.Chosen by Audit Director to represent staff auditors opinions. Education: Drexel University James Madison University Bachelor of Science in Business Administration Masters of Business Administration Major: Accounting and Finance Information Security 1994 2008Certification: Certified in Risk & Information Systems Control (CRISC) 2013Six Sigma Lean 2008Six Sigma Green Belt 2007Certified Information Systems Auditor (CISA) 2000Six Sigma Black Belt candidate - |
