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Click here or scroll down to respond to this candidateCandidate's Name
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Phone: PHONE NUMBER AVAILABLEEmail: EMAIL AVAILABLEEXECUTIVE PROFILEA compliance and controls professional with a career ensuring that an organization is operating in accordance with applicable rules, regulations, and internal policies and procedures. Extensive experience in government administration, public and private sectors. Highly skilled in conducting examinations, investigations, risk assessments, testing internal controls, and serving as the point of contact for regulatory inquiries.Prior roles have included Director of Compliance, Director of Financial Services, Controller, Manager of SOX Testing and Remediation, DOL Investigator, CFPB Compliance Examiner, Internal Control Consultant, and more.Areas of expertise include Consumer Protection Regulations, SOX Regulations, NAIC Regulations, ERISA Regulations, Internal Controls, Risk Assessment, Controls Testing, Financial information systems and Project Management.EDUCATIONMS, Information Systems, Roosevelt University, Chicago, ILBS, Accounting, Purdue University, West Lafayette, INPROFESSIONAL EXPERIENCEINDEPENDENT EXTERNAL CONSULTANT COMPLIANCE AND RISK MANAGEMENT, 2022 PresentConsult and provide guidance and expertise in influencing a culture of strong controls to ensure compliance with applicable industry rules, regulations and internal policies and procedures.INTERNAL CONTROL CONSULTANT FINANCIAL REPORTING & ANALYSISAt HEALTH CARE SERVICE CORPORATION (HCSC), 2022 2023Ensured Model Audit Rule (MAR) requirements were met by review of internal controls and control documentation, conducting walkthroughs with business process owners and monitoring compliance activities. Reviewed controls gaps and remediation plans identified by management, performed controls testing per the National Association of Insurance Commissions (NAIC) financial regulations, advised on identifying risks and balancing risk appetite with regulatory guidance.FTI Consulting, 2022DIRECTOR, FINANCIAL SERVICESApplied expert consumer protection regulations experience as a former CFPB examiner to client projects. Reviewed compliance programs, performed controls testing, and advised clients on managing regulatory risks, Assisted in reviewing clients compliance documents including policies and procedures. Consulted and provided insight related to risk mitigation, process improvements and best practices. Represented the firm as a Speaker at the 2022 Consumer Data Industry Association (CDIA) Annual Conference. Spoke on the topic of CFPB Exam Readiness. Also represented the firm at 2022 American Bankers Association (ABA) Conference.Consumer Financial Protection Bureau, 2014 2022COMPLIANCE EXAMINERExamined banks and non-bank financial services companies to ensure compliance with consumer protection regulations. Conducted over 30+ examinations as a member of examination team and as an Examiner-in-Charge. Evaluated adequacy of board and management oversight and compliance programs to determine risk areas of violations and performed controls testing. Provided a Supervisory Report of examination findings.Candidate's Name PAGE 2US Department of Labor, 2010 2014EMPLOYEE BENEFITS INVESTIGATORInvestigated and enforced compliance of federal regulations related to Employment Retirement Income Security Act (ERISA) and Affordable Care Act (ACA). Individually planned and conducted financial investigations of employee benefit plans, examined records, plan documents, and financial statements. Performed on-site investigations, interviewed process owners, and examined business documents. Provided a Report of Investigation findings.AVIV Asset Management, LLC, 2007 2009DIRECTOR OF COMPLIANCEImplemented and administered Sarbanes-Oxley (SOX) Compliance Program for pre-IPO healthcare real estate investment trust firm. Created SOX Program Management Office (PMO) for identifying, documenting, and testing internal controls that impact financial reporting. Served as PMO contact for employees, external auditors, and potential investors. Drafted internal control narratives, control risk matrices, and testing templates for each business process. Collaborated with CEO and other key stakeholders to remediate any non-compliant controls and discussed companys risk appetite for appropriate escalation and remediation of known or potential issues.Career Education Corporation, 2006 2007SOX MANAGER, TESTING AND REMEDIATIONManaged the internal controls testing, documentation and remediation of controls for the Schools Sarbanes-Oxley (SOX) Compliance Program., managed a team of SOX Analysts & Consultants responsible for testing and remediation of internal controls, worked in partnership with Internal Audit to keep abreast of any of changes(organizational, audit results, regulations, upcoming projects, staffing etc.), traveled to university locations to perform on-site SOX testing.VOLUNTEERISM Board Member of the Womens Board of the Chicago Symphony Orchestra, 2024 Present Board Member, Immediate Past President of the Womens Board of the Chicago Urban League, 2017 Present Advisory Board Member of Jazz Desires Corporation, 2017 PresentForm |
