Diane Rochette (She/Her) Email & Phone Number

Brampton, Ontario, Canada

Mississauga, Ontario, Canada

Mississauga, Ontario, Canada

Plan and execute audit projects, including performance testing and reporting on the adequacy, efficiency and effectiveness of controls.

Toronto, Canada Area

As systems and process experts, my team partnered with Finance leaders, other Tangerine leaders and key business partners to optimize products and services, business processes, systems and controls. We worked on several key strategic projects, including:- Managed the Finance workstream to plan and execute the separation from ING Groep and design and implement systems and processes to support upstream reporting to our new parent, Scotiabank. - Analyzed, designed and executed the change of fiscal year end to October 31 to simplify financial statement close and reporting processes. - Facilitated the design and implementation of Tangerine cardholder access to Scotiabank ABM network and automated processing of ABM cheque deposit images, resulting in an estimated net benefit of $16.9M over 5 years. - Managed the Finance user acceptance testing and implementation of a complex upgrade to the core banking system to increase operational efficiency and to enable the ongoing development of advanced product features and services for clients.- Led the risk and control self-assessments for all Finance processes, including research, process mapping, risk identification and inherent risk assessment, control identification and residual risk assessment, and development of action plans to address control gaps.

My team was responsible for the daily data feeds to the general ledger, capitalization of assets, all daily and monthly reconciliations, ABM support, Treasury back office and Finance projects. I also managed key vendor relationships, including direct clearer and ABM deposit envelope processor. In this role, my team automated routine accounting processes, ensured account balances were thoroughly analyzed and ensured daily operational processes were well controlled. Our key accomplishments included:- Redesigning the client draft issuance process end-to-end using lean six sigma principles, resulting in a 5 year savings of more than $2 million.- Reviewing, rationalizing, and competitively tendering bank and clearing services, reducing annual bank charges by $400,000 per year and recovering $500,000 in over-billings.- Implementing processes to comply with the CDIC Data and Systems Requirements, saving Tangerine $3.7 million on the 2012 insurance premium by achieving early compliance.- Transforming accounting and reconciliation processes from paper-based to electronic.

Upon promotion to Director, I was responsible for Mortgage Accounting, Investment Accounting and General Accounting teams. During this period, my team:- Implemented system changes for administering a newly acquired mortgage administration business, including data feeds to the general ledger- Integrated the mortgage administration business with Bank's processes

After joining the Finance team, I was responsible for Reconciliations, Accounts Payable, Payroll and Financial Reporting. In addition to daily operational processes, I worked with my teams to:- Automate the process of receiving and depositing pay and RSP contributions to employee bank accounts for 700 employees.- Implement a new corporate credit card provider to automate recording of expenses for management employees.

I joined Tangerine Bank in this Internal Audit role. I planned and executed reviews of the debit card and ABM processes and corporate security; designed a risk-based cyclic audit strategy to ensure adequate review of key service providers, systems and business processes; and developed and implemented a tool to record identified control issues, monitor corrective actions and report current status.

As a consultant, I worked on the following engagements:- Analyzed systems at two manufacturing subsidiaries to identify opportunities for consolidation.- Coordinated the User Acceptance Testing of a human resources and payroll application for a health care facility.- Provided design advice and developed test scenarios to verify the accuracy of Canadian financial planning software.- Developed an information security policy and implementation plan for an insurance claims processor.- Assessed IT processes and system controls for clients with a variety of systems including AS400, UNIX and NT environments.

My operational (value-for-money) audit experiences included:- Assessing the operation and maintenance of a 47 million sq ft property portfolio.- Reviewing the technology processing strategy and planned replacement of information systems at two provincial ministries.- Assessing project management controls over the acquisition, customization and implementation of a new payroll system.- Assessing controls over Government payroll processing, including computerized analysis of payroll information, resulting in adjustments to the financial statements of the Province.- Assisting in the design of an information technology risk assessment methodology and completing the assessment for over 100 information systems.