Angelo Derosa Email & Phone Number

Mountain View, California, US

• Manage the compliance programs for QB Capital, Intuit Turbo, Intuit Mint, and Intuit Insurance.
• Manage a team of compliance professionals with responsibility over career development.
• Ensure compliance with operational policies, control procedures, and regulatory requirements.
• Develop strong key stakeholder relationships with various levels of management and be a key trusted partner/adviser.
• Identify control weaknesses through Risk and Controls Self Assessments (RCSA) and provide recommendations on preventative controls to be implemented.
• Respond to regulatory inquiries.

Chicago, IL, US

• Managed the audit process over Corporate Functions (Finance, Human Resources, Strategy, Compliance and Legal)
• Reduced open item exceptions by 30 percent within the first month.
• Supervised and coached staff throughout the audit
• Managed a team of audit professionals with responsibility over career development.
• Responsible for the development/enhancement of audit methodologies and workpapers.
• Reviewed workpapers for quality and completeness ensuring key risks are covered.

New York, New York, US

• Responsible for testing the overall effectiveness of controls and adherence to federal regulations for Goldman Sachs Bank.
• Built trusting relationships through collaboration with key stakeholders in order to improve weaknesses.
• Acted as Subject Matter Expert (“SME”) for the consumer business (Reg E, D, DD, P, S-P, O, W, Z, V, B, UDAAP).
• Maintained current working knowledge of federal and state regulations and polices
• Collaborated with internal legal counsel, operational leadership, and other SMEs to ensure that laws, regulations and policies are being adhered to.
• Provided guidance to business partners relating to the development of controls for critical business processes to mitigate compliance/operational risk.

Norwalk, CT, US

• Responsible for testing the overall effectiveness of controls and adherence to federal regulations for GE Capital and its affiliates.
• Extensive testing in the BSA/AML functional areas with identified control weaknesses.
• Utilized data analytics to review large data populations for potential control breakdowns.
• Built trusting relationships through collaboration with key stakeholders in order to improve weaknesses.
• Acted as a SME for the consumer business (Reg E, D, DD, P, S-P, O, W, Z, V, B, UDAAP).
• Maintained current working knowledge of federal and state regulations and polices.

San Francisco, CA, US

• Managed the overall effectiveness of the day to day operations for all East Coast offices.
• Performed annual assessments on all offices to determine overall risk and adherence to federal regulations (BSA/AML-CIP/EDD¸E, DD, P, and CC) as well as internal policies and procedures.
• Provided individual/group training to bankers based on weaknesses identified through assessments and monthly office visits.
• Reduced account opening exceptions by 60 percent within the first three months of employment.
• Created a company wide incentive based program to promote operational effectiveness across all offices.
• Built trusting relationships through collaboration with key stakeholders in order to improve weaknesses.

Stamford, CT, US

• Assessed the effectiveness of internal controls and compliance with laws, regulations, policies, and procedures while adhering to IIA standards.
• Contributed to the audit scope and planning process
• Identified major BSA (CIP/CDD), Regulation DD, and Cash Management weaknesses and provided effective solutions to correct the issues.
• Contributed to a cost savings of $93,000 due to independent testing of ALLL.
• Assisted in the testing of SOX Section 404 and outstanding audit items.
• Audits completed: BSA/AML, Regulation E, Regulation DD, NACHA, ALLL, Cash Management, Office of the President, and the Customer Call Center.

Charlotte, NC, US

• Performed Independent research that would potentially net the bank several million annually in additional income and presented it to the CEO.
• Processed transactions while adhering to the following regulations: DD, E, BSA/AML- CIP/CDD, P, and CC.