Danielle Carlson Email & Phone Number

Brockton, MA, US

San Francisco, California, US

• Responsible for LendingClub’s SOX, FDICIA, SOC1 and SOC2 Internal Control Programs, including oversight of multiple third-party providers
• Instrumental member of the M&A team responsible for transitioning Radius Bank’s Internal Audit and Internal Control Programs into LendingClub’s third line of defense structure
• Developed and lead the SOX readiness initiative with LendingClub’s acquisition of Radius Bank, including control rationalization, gap identification and remediation activities going from FDICIA to SOX 404
• Effective and engaged partner to all functional business units for continuous risk management improvement
• Evaluate financial control implications with large scale projects, new product offerings and changes to processes and the control environment

San Francisco, California, US

Boston, MA, US

• Responsible for Radius Bank’s Internal Audit and Internal Control Programs inclusive of Operational, Financial, Compliance, and Technology areas
• Developed and deployed a strategy to implement and maintain an Internal Control Program across the institution compliant with FDIC and external auditor requirements
• Assessed and redesigned existing Internal Audit Program to better align with the bank’s dynamic environment and strategic objectives
• Responsible for the analysis and communication of complex issues, including recommended resolution strategies, to management, executive leadership and the Board of Directors
• Lead ongoing cross functional team projects to improve processes, create efficiencies and reduce waste

Boston, MA, US

• Directly managed Santander Bank SOX Internal Control Program with oversight of subsidiaries’ control programs within the Santander Intermediate Holding Company (IHC)
• Facilitated partnership between IHC internal control directors, business units, risk management and corporate functions
• Served as relationship and reporting manager for executive management, Board of Directors, Audit Committee, internal/external auditors, U.S. regulatory agencies and parent company
• Developed and deployed a strategy to implement a consistent IHC control and testing program infrastructure ensuring five US entities achieved operating, governance, communication and reporting uniformity to comply with.
• Maintained proactive awareness of risk and control trends, concentration and distribution and reported status of control program execution, progress against plan and key risks/control deficiencies requiring attention.
• Defined internal control business requirements as part of the Company’s plan to identify, acquire and implement a new technology/GRC solution for internal control

Boston, MA, US

• Responsible for Controls Assurance Program including Sarbanes-Oxley (SOX) and SOC1 including facilitation of ongoing certifications, external audit engagements and program initiatives and enhancements
• Designed and implemented key control testing framework across multiple control programs
• Identified and evaluated new/modified processes and controls and implications to associated control programs
• Performed control assessments, testing and risk reviews and delivered results to internal and external stakeholders
• Designed and implemented risk metrics and indicators and monitored to identify potential risk issues, trends and exposures

Boston, MA, US

• Responsible for establishing Global Risk Framework to support transitioning operational functions between global locations while maintaining onshore responsibilities
• Developed and implemented Operational and Risk Readiness protocols for current and future transitions
• Trained Operational and Risk Management on Risk & Control Program requirements and responsibilities

Boston, MA, US

• Managed resolution of complex issues and assisted with development and implementation of prevention strategies
• Conducted quality assurance testing, including incident back-testing and quality control assessments
• Identified operational risks by analyzing incident root causes and trends and provided recommendations to enhance quality of operation
• Partnered with firm-wide organizations to enhance incident management process, technology and reporting capabilities

Boston, MA, US

• Oversaw high volumes of fund accounting processing ensuring timeliness, accuracy and completeness
• Managed complex fund events including launches, conversions and mergers
• Reduced operational incidents by enhancing processes, designing and implementing controls and creating detailed policies and procedures
• Supervised various levels of associates while providing challenging opportunities to promote continuous learning and development