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Click here or scroll down to respond to this candidateCandidate's Name
Olathe, KansasPHONE NUMBER AVAILABLEEMAIL AVAILABLEA Senior Technology and Business Analyst, compliance and regulatory professional with extensive experience in Data Governance, Mortgage Servicing, Internal Audit, Compliance Management and Industry Review and Analysis. Significant experience in audit preparation/management and resolution and execution of controls and risk-based compliance programs.Job Related Summary:10+ years of experience as a Senior Technology and Business Systems Analyst.15 years in Technology Audit Management, Mortgage Servicing, Internal and External Audit, Compliance Management and Industry Review and Analysis.Experienced with Strong technical writing/documentation and leadership.Local Candidate (Preference: Remote).Excellent communication, leadership, analytical and interpersonal skills.Summary:Solid internal/external financial reporting experience, budgeting, variance analysis and complaints management.Expertise in technology audit management ensuring compliance with internal, external and regulatory review and exams requirements.Contract and Vendor Review, Negotiations, Communications, Audit, etc. - Develop, maintain and monitor compliance with regulatory oversight e.g., Federal Res., SSAE16 SOC1, OCC, CFPB, ECOA, FHact, Dodd Frank and Sarbanes Oxley.Knowledge of UDAAP, AML/KYA, RESPA, HMDA, TILA and HUD1, training, testing applications and guidelines.Significant experience and knowledge of Freddie Mac, Fannie Mae, Ginnie Mae and VA, guidelines and procedures.Proficiency with Microsoft Office Suite - Excel Pivot Tables, PowerPoint, Word and Access design and queries.Coordinate year-end audits, furnish PBC schedules, TBs and Q&As - Respond to audit comments and approve draft audit reports and analyze compliance with Pool Servicing Agreements.Auto Industry consultant to small manufacturers for Tier1 and OEM contract negotiations and ISO Certification.Significant knowledge of SAS, WIZ, Fidelity MSP, Web Direct, LPS, Desktop Underwriter, Vendor Scape, SharePoint, RCA Archer eGRC, Pacer, MERS, HSSN, AS400, PeopleSoft, Encompass, Oracle, QuickBooks, Great Plains and FXR Reports.Advanced familiarity with cloud-based platforms AWS, Azure and Google App Engine.Education:University of St. Mary, Leavenworth, KansasBachelors of Science, Accounting - Minor in EconomicsProfessional Experience:TATA Consultancy Services for Citi Group, Irving, TX January 2021 - March 2024Engineering Exec - Citi Risk & Control (Technology Audit Mgmt.)Responsibilities:Audit liaison between internal, external and regulatory audit teams and Citi technology impacted entities (North America & Global).Prepare weekly summary reports for all audits to Senior Management for Citi Risk and Control.Develop and implement audit plans and strategies to ensure agreement between audit and technology teams.Lead and manage technology teams from audit pre-planning through final reporting.Brief all technology senior management on the expectations for the upcoming audit and teams needed to execute on the review.Review and approve with senior management, critical tech processes and applications included in the audit exam.Confirm technologys preventative and detective controls for data security and completeness.Disseminate all audit deliverable and meeting requests to senior mgmt., app developers and other experts (Review and approve for reasonableness).Ensure all technology audit findings and observations, have appropriate corrective action plans and agreement to ownershipEnsure Senior Management understanding of the final audit rating and agreement with results.Audits managed for technology teams include: Citi ATM, Citi Retail Services, Money Movement, Mortgage Sales, Transaction Processing Systems, Retail Branch Operations, Business Monitoring, OCC, CFPB and KPMG.Capital One, Plano, TX (Consultant) April 2020 - October 2020Sr Business Systems Analyst - Data GovernanceResponsibilities:Translate Corporate Policies, Standards and Procedures into functional requirements with clear operational definitions for senior ops, tech, and data teams. Translate all narrative corporate policies into a database, draft operational definitions and then manage workflow for Senior Engineers and Architects approval of those translations.Deliverable with the Controls team to map (create a link between) existing business, tech and data controls and their metrics to the appropriate requirements to create a picture of how well the business is caring for the requirements overall.Remediation & advisory teams assistance to drive root cause analysis to determine if breaks/failures were tied to unclear requirements, insufficient control coverage or poor control design and then drive close loop process improvement with appropriate spaces to create a self-healing system.Assist with control design testing - operational effectiveness & design effectiveness for existing controlsAT&T (Xandr), Richardson, TX (Consultant) August 2019 - January 2020Sr Business Systems Analyst - Data GovernanceResponsibilities:Assisted in the development of applicable privacy by design, security, regulatory and technical controls specific to CCPA, GDPR and Consent rebuild for AT&T's Cloud Based Platform AWS.Developed and executed a risk-based compliance monitoring and quality assurance program for Xandr Data.Created and managed various testing schedules to ensure all test results are completed within established timeframes and documented within systems-of-record.Prepared workflow analysis using the engineers and architects schematics.Documented required corrective action based on any findings and issue reports to senior management in NYC.Interacted daily with Xandr data Architects and Engineers responsible for ensuring platform data is free of blacklist items, consumers personal data and federal, State, CCPA and AT&T best practices through front to back, back to front and end to end, testing of consumer consent elections.Developed and maintained the monitoring system for KPI inclusion in executive management reporting processes. Established and maintained strong relationships with business products and perform risk and privacy impact assessments.USAA, Addison, TX (Consultant) November 2018 - May 2019Sr Business Systems Analyst - ComplianceResponsibilities:Managed comprehensive audits of USAAs Issue validation program focused on regulatory validation and significant management identified issue/audit validation across the USAA banking and non-banking operations (Enterprise).Led effort on behalf of audit testers to comply with regulatory enforcement actions, including a Consent Order. Through the appropriate channels, provided the Finance and Audit Committee of the USAA Board of Directors, CEO and members of USSA Board of Directors, the CEO and members of USAA management with independent, objective assurance services regarding the effectiveness of programs and processes implemented to the address issues across the enterprise and regarding the organizations adherence to regulatory enforcement action.Reviewed Restitution Whitepapers prepared by BCM management for identified issues and ascertain the adequacy of member restitution and/or corrective action and ongoing management of analysis of existing controls.Assisted in development and ongoing maintenance of the Metric Analysis for each functional area. Specifically, type of issue/problem, response time, department totals, high vs low risk issues and monthly stat reporting and analysis.Directed various aspects of the validation testing program, to include developing and updating test audit scripts, business management controls (BCM) validation testing, methodology, procedures, ongoing assessment of business risk, a risk based audit plan and audit methodology that mirrors current, professional internal audit standards and company best practices.MoneyGram, Inc., Frisco, TX June 2017 - April 2018Sr Business Analyst - SOX Internal AuditResponsibilities:Met with MGIs process owners and external auditors KPMG in efforts to conduct professional level SOX 404 top-down financial risk assessment via Interim and Roll Forward testing for daily, monthly and quarterly controls.Ensured reasonableness of controls ensuring accuracy of Forms 10K (Annual) and 10Q quarterly reporting to the SEC.Re-examined effectiveness of existing financial controls for each MGI entity and operational units.Documented the results of the examination and offer recommendations for improvement and further compliance with federal, state and MGI best practices.Beal Bank, Plano, TX (Consultant) June 2016 - February 2017Sr Business Analyst - ComplianceResponsibilities:Conducted professional level due diligence examinations of Pool Loan Sales and Purchases.Reviewed each pool contract and loan packet to ensure compliance with and accuracy of the various indexes used in the determination of loans sold and purchased.Included an analysis of underwritings backend ratios, appraisal values, note types and profitability margins.Documented the results of our assessment communicating findings to Senior Management.This process required knowledge of government regulations impacting servicing guidelines.Nationstar Mortgage, Dallas, TX (Consultant) September 2015 - May 2016Sr Auditor - Internal AuditResponsibilities:Conducted professional level audit work individually or as a team leader reviewing goals, performance objectives and impact of a variety of financial, operational and compliance programs in conformance with company policies and procedures.Developed audit test programs and perform audit tests to evaluate the design and operating effectiveness of internal controls.Performed research to understand and summarize laws and regulations or other requirements and determined if functions and programs being evaluated are complying.Prepared audit findings and recommendations that clearly communicate the risks, in terms of impact to the business and root cause and key audit issues from a senior management and Audit Committee prospective.Ocwen Financial, Dallas, TX (Consultant) May 2015 - August 2015Sr Project Manager - ComplianceResponsibilities:Reviewed and approved Audit/Testing Scripts used to assess functional area compliance with UDAAP and FDPA guidelines under Dodd-Frank, to include CFPB and Fair Lending.Provided guidance to the business units in assessing and interpreting all new or changed laws, regulations and corporate policy, to determine impact on processes, procedures and training.Constructed test of controls, evaluated outcomes and analyzed resulting issues through statistical analysis and reported issuance to management - Also reviewed Pool Servicing agreements for compliance.Responsible for a variety of compliance functions including monitoring, testing, design, development and oversight of compliance and control programs.Conducted compliance-related monitoring procedures and reviews to ensure all risks were identified, controls were effective and policies complied with.FIS & USAA, Dallas, TX (Consultant) May 2014 - March 2015Sr Compliance Analyst - ComplianceResponsibilities:Assessed high risk issues involving USAAs operational compliance with federal and state TILA, RESPA, HMDA, ECOA and FACTA guidelines. Audited/Identified high risk compliant issues and address as required thru FIS Project Managers.Led all analysts in volume of files tested/reviewed - Specifically. Bucket 5 test validating Change of Circumstance and Timely disclosure of the Good Faith Estimates and accuracy to HUD1.In a QC capacity reviewed staffing decision on previously tested closed loans ensuring accuracy of all decision.MoneyGram, Inc., Dallas, TX December 2013 - February 2014Project Manager/Compliance Analyst - Global Due Diligence AML/KYCResponsibilities:Conducted QA analysis of staff consultants charged with Global Due Diligence reviews of agent or customer on boarding.Ensured that appropriate decisions were made in adherence to AML standards and procedures and that risk-based compliance testing and quality assurance findings were correctly recorded into the QA database.Escalated any remarkable items as part of the agent review process, communicating the findings to management.Developed and maintained a comprehensive understanding of MGs compliance policies and procedures for risk-based compliance testing and quality assurance relating to anti-money laundering and counterterrorism guidelines.Specifically, FinCEN, FTC, BSA/AML KYC and the USA PATRIOT Act. |
