An integral member of the Internal Controls Testing (ICT) Program, which is a first line, risk-based approach to test the effectiveness of key controls across business operations.Developed and maintained the ICT program documentation, tools and templates.Supported the continuous improvement and enhancement of the ICT program framework and methodology.Communicated the testing findings and recommendations to the relevant stakeholders and management.Analyzed the root causes and impact of control failures and exceptions.Provided recommendations and guidance to improve the design and effectiveness of internal controls.Reviewed and validated the control ratings and risk assessments assigned by the business units and corporate functions.Challenged and verified the evidence provided by the control owners to support their control assertions.

Performing risk-based control testing to assess internal controls for design and effectiveness.Documenting testing results and collecting and archiving testing evidence.Performing ICT walkthroughs with business units and corporate functions.Working with business units and cooperate functions to remediate control gaps/deficiencies.Collaborating with the Operational Risk Management team to address any challenges and to provide biweekly status updates.Reporting on testing status to various working groups/committees.

• Conducted client meeting• Auditing and helping non-for-profit client maintain their IRS status• Planning and performing operational and financial audits• Identifying business process risks• Developing testing methodologies to evaluate the adequacy of controls• Documenting the results of evaluations• Developing recommendations and reports based on audits and presenting these ideas to senior management

. Cultivate and support a sustainable and repeatable control environment, continuing to improve opportunities that are identified.· Identify and immediately escalate control gaps; ensure findings are applied consistently across all Cards marketing functions.· Drive Issues Management for Branded Cards Marketing to ensure consistency with preventative controls and sharing of information across Cards and Business Partners.· Manage the control model, ensuring all “new” initiatives are reviewed in the appropriate governance forums. · MCA Support and Testing – Assist with the implementation of effective controls and control management routines through education sessions and on-going MCA testing of assigned processes. · Procedure Manual Management – Quarterly management and process step detail reviews of assigned procedure manuals. · Issues Management – Support Issues Management routines and required documentation for business contacts and Risk partners. · Governance Support – Support all governance routines. Includes planning/prep sessions with business, consulting on MCA guidelines and presentation documentation, remediation on plan design. Support communications with Legal and Compliance – including regulatory and policy updates that may impact businesses. · Line of Defense Support – Support 2nd and 3rd lines of defense planning/prep sessions, remediation plans, and formal responses. · Projects – Assist with major projects that impact cross-functional businesses. Ensure all Control Leads are kept abreast of project plans and impacts to ensure cross-functional updates are executed flawlessly.

• Performed detailed reviews and assessments of client operations to identify opportunities and effectively improve internal controls and advance risk management processes.• Presented senior management and executives with findings of audits along with recommendations for implementation of improvements and strategies for process efficiency.• Coordinated on-site engagement teams to facilitate efficiency in audit planning, test execution, and documentation of current and prior and years files, reviews, and company information. • Coached and mentored peers and trainees through all aspects of the audit to ensure optimal results.• Executed Statements on Standards for Attestation Engagements (SSAE 16) to report on controls of Statement on Auditing Standards (SAS 70) for leading entities in the financial industry providing services for: • Mutual Fund Accounting and Administration• Broker Dealer Services• Certificate of Deposits Account Register Services (CDARS)• Insured Network Deposits (IND)• Colson 503 (4)• Government National Mortgage Association (GNMA) Mortgage Backed Securities• Alternative Investment Services• Troubled Asset Relief Program (TARP) and Small Business Lending Fund (SBLF)• Unit Investment Trust Services. • Established and maintained productive relationships with clientele to ensure account retention and business growth.

• Managed and maintained individual and organizational investment portfolio records.• Reported Hedge Fund Accounting investment portfolios financial activities.• Processed and maintained security and portfolio investment records.• Reconciled partnership investment funds.• Verified bank and investment-report data.• Administered security investments.• Maintained records of third-party investment activities.• Processed ledger trades and logging activities.• Anti-Money Laundering/ Identify Theft training.• Safeguarding Information Privacy/Business Risk Escalation training.