Brian Riddle Email & Phone Number

Charlotte, Nc, Us

-Perform Quality Control with feedback to risk assessable units-Complete Fact Pact Baseline Data to support workshop data analytics-Perform backup Control support for workshops-Complete and evaluate artifacts to support systems of record for internal control, self identification and acceptable rationales

The Business COSO testing team is a component of Enterprise Controls & Oversight in Corporate Controllers.The Business COSO team supports the Company's on-going objective of maintaining an industry leading financial reporting control environment and is responsible fo the the following directives:- Providing assessments of financial, risk, and regulatory reporting control environment-Overseeing compliance with Wells Fargo & Co. COSO based policies for internal controls over financial reporting (SEC and Regulatory Reporting) and strategic planning for on-going compliance with COSO policies-Perform walkthroughs of significant processes and ensure required COSO documentation is accurate and reflects relevant risk and key controls-Perform COSO testing of key controls, including Design Effectiveness Assessment (DEA) and Operating Effectiveness Testing (OET)-Validating and challenging risk assessment conclusions, including assessing appropriateness and completeness of key risk and key controls identified

Business Risk Control Officer-Single Point of Contact for Issue Management Portfolio-Review and evaluate Issue Intake, remediation and corrective action-Maintain system of record for Issues Management-Interface with business, risk control and issue management

-Analyze and document Wells Fargo HR-Employee Relations Audit Issue Management -Lead Employee Relations teams to develop, document and implement audit and regulatory corrective actions within Issue Management guidelines-Design, document and implement HR-Employee Relations business operations audit and regulatory corrective actions -Design and document Business Specific-Controls to mitigate operations corrective actions identified by internal/external audit and regulatory supervision

-Document FINRA Supervisory Controls and Risk System. -Document Shared Drive Structure and Index. -Archive historical data. -Develop Central Repository for Internal an Financial Statement controls. -Facilitate, document and support testing for Disaster Recovery Plan. -Follow up and document execution of external audit firm findings corrective actions. -Present overview and plan of accountability and responsibility to management team. -Document processes and protocols.

-Execute Enterprise Risk Management Audit for Federal Home Loan Bank Des Moines (FHLBDM). -Review and Evaluate Internal Environment and Objective Setting per COSO guidance. -Review Board Level Strategic Planning and implementation processes. -Evaluate Risk Management Organization and implementation throughout the Enterprise. -Ensure that the key operational processes support the Enterprise Risk Program.

Audit Consultant in Banking Enterprise Risk ManagementAudit Consultant with Portfolio Year End ReviewAudit Consultant with Mortgage Lending Team Compliance

Bad Homburg, Frankfurt, De

Lead/Manage North America Compliance Audit (8-10) Develop/Execute Annual Compliance Audit Plan Manage Corporate Integrity Agreement Terms/Condition Manage relationship with Independent Review Organizaiton PWC Manage/Coordinate external firms Develop/Implement Joint Venture Audit Program Develop Risk Assessment Business Profile Participate in Technology Priority Reviews, Medical Records Improvement, Risk Assessment Integrate new acquisitions into audit process

Develop and implement framework and infrastructure for Internal Audit & Corporate ComplianceEstablish IA and Compliance charter, mission, governance committeesDevelop/Implement Internal Audit/Compliance programs and annual planLead Compliance Oversight Committee for Hospital & Physician BoardsImplement SOX for non-profitsCoordinate with external firmsReport to CEO & Audit/Compliance Committee

Lead/Manage Financial/Operational/Compliance AuditDeveloped and executed PHS system-wide integrated risk assessment, control matrix and annual audit planDevelop plans for PHS affiliates (18)Train and mentor audit staffLead audit engagements, special projects and cross functional work across PHS system

Plan and execute project scope of work with senior managementPerform financial review of post-retirement benefits programs for major utility companyAnalyze the process, identify gaps and provide recommendations for re-engineering processes and cost reductionsProject manager systems integration. Pre-implementation review and analysis, evaluate controls, financial projections, resource requirements and operational processes. Ensure project met information systems, consulting and financial objectivesAssist with preparation of financial information for investment and healthcare company. Provide analysis and operation review of key processes

Managed rotating teams of professioinal auditors performing operational, financial and consulting engagements in US, PR, Canada and Europe. Assess business controls, operational efficiency and effective asset utilziation for $6B annual revenuePerform pre-implementation systems (IT) evaluation audits and data center operations reviews. Provide recommendations to improve readiness and controls

Maynard, Ma, Us

Managed and directed devopment of shared services model for Corporate Functions to support a $12.0B Corporation. Responsible for financial and operational excellence of major units; Travel, Relocation, Publishing Services and Fullfilment with $30.0M operations budget and 300 employees.Outsourced $100M non-core work to reduce costs (10-15%)Developed and implemented vendor alliance program to restructure G&A

Certificate Executive Development Pmd, Finance, Operations, International, Hr

Bsba, Mba, Business And Accounting