Andrew Mueller Email & Phone Number

Andrew is an Associate Director in Protiviti's Risk & Compliance practice. Projects to date have included:- Reviewed an international bank’s flood zone loan portfolio (consumer, commercial, and construction) from 2013-2017 for adherence to internal flood insurance procedures and regulatory requirements. Activities included reviewing documentation used to support original flood insurance decisioning, locating additional documentation from online document repositories if needed, and utilizing the bank’s loan systems to find additional information to update and/or correct original flood insurance decisioning. - Provided project management for a four year HMDA compliance look back review (2011- 2014) for a Top 5 Bank relating to the LAR Action Taken field. Review was in response to a CFPB regulatory enforcement action. Day-to-day responsibilities included overseeing resource models and team structures, developing job aids/ common scenarios for team members and client, creating daily and weekly status reporting, and managing internal time and expense approval and reporting. - Conducted a quality assurance review of home loans that had entered the foreclosure process for a Top Ten Bank. The purpose of the review was to determine if the foreclosure process was performed in accordance with the Consent Order and assess the financial injury that borrowers may have experienced as a result of the foreclosure process.-Managed a loan staff AML lookback for a $30bn regional bank. Assisted the bank in clearing a backlog of approximately 15,000 alerts, investigations, CDD reviews, and EDD reviews. Provided resources to clear alerts as not suspicious or recommend SAR filings and conducted due diligence to recommend periodic monitoring. Ensured Quality Control and Quality Assurance on work performed to confirm consistency and adherence to agreed-upon standards.

Listed skills include Internal Audit, Internal Controls, Risk Assessment, Sarbanes Oxley Act, and 3 others.

• 

  Associate Director

  Protiviti

  Jul 2008 - Present - Greater St. Louis Area

  Andrew is a Senior Manager in the Risk & Compliance practice. He performs regulatory compliance and control reviews for Protiviti’s financial services clients. Projects to Date Include:- Reviewed an international bank’s flood zone loan portfolio (consumer, commercial, and construction) from 2013-2017 for adherence to internal flood insurance procedures and regulatory requirements. Activities included reviewing documentation used to support original flood insurance decisioning… Show more Andrew is a Senior Manager in the Risk & Compliance practice. He performs regulatory compliance and control reviews for Protiviti’s financial services clients. Projects to Date Include:- Reviewed an international bank’s flood zone loan portfolio (consumer, commercial, and construction) from 2013-2017 for adherence to internal flood insurance procedures and regulatory requirements. Activities included reviewing documentation used to support original flood insurance decisioning, locating additional documentation from online document repositories if needed, and utilizing the bank’s loan systems to find additional information to update and/or correct original flood insurance decisioning. - Provided project management for a four year HMDA compliance look back review (2011- 2014) for a Top 5 Bank relating to the LAR Action Taken field. Review was in response to a CFPB regulatory enforcement action. Day-to-day responsibilities included overseeing resource models and team structures, developing job aids/ common scenarios for team members and client, creating daily and weekly status reporting, and managing internal time and expense approval and reporting. - Conducted a quality assurance review of home loans that had entered the foreclosure process for a Top Ten Bank. The purpose of the review was to determine if the foreclosure process was performed in accordance with the Consent Order and assess the financial injury that borrowers may have experienced as a result of the foreclosure process.- Managed a loan staff AML lookback for a $30bn regional bank. Assisted the bank in clearing a backlog of approximately 15,000 alerts, investigations, CDD reviews, and EDD reviews. Provided resources to clear alerts as not suspicious or recommend SAR filings and conducted due diligence to recommend periodic monitoring. Ensured Quality Control and Quality Assurance on work performed to confirm consistency and adherence to agreed-upon standards. Show less

• 

  University Of Minnesota - Carlson School Of Management

  Finance