James Moyer Email & Phone Number

Charlotte, North Carolina, Us

New York, Ny, Us

San Francisco, California, Us

As Business Risk and Controls Senior Manager, provide trusted leadership and direction to a high-performing team of Risk Assessment Specialists, with ownership for overseeing Personal Lending, Student Lending, Consumer Banking, Operations, and Small Business Risk Control Self-Assessment (RCSA) implementation and compliance. This involves working in collaboration with key risk and control partners, 2nd line SMEs, and senior business leaders to ensure viability and accuracy of risk profiles to present clear insights into risks impacting business operating environments. In addition, provide governance and oversight activities over RCSA results to ensure aggregated risk exposures align with business operational risk profiles/appetite and ensure findings are accurately and consistently reported to risk executives & business leaders. Successfully lead the recruitment, onboarding and management of a risk team ensuring stringent and aggressive timelines are met for completion of risk assessments and meeting regulatory commitments.

San Francisco, California, Us

I was promoted to Senior Internal Audit Manager to lead end-to-end development and execution of the annual audit plan within the Personal Lending, Student Lending, Small Business Lending, Practice Finance and Small Business Relationship Banking (SBRB) business lines. I also managed Consumer and Community Bank’s data, model and capital risk management activities. Most notably, I managed a horizontal product audit across 6 lending business lines, led multiple people and process workstreams while managing audit plan execution as part of the merger of the Consumer Lending and Community Banking Audit teams, and developed and implemented a multi-year regional bank coverage strategy including branch audits of operational risks, sales culture and conduct risk exposure.

San Francisco, California, Us

I was hired as Internal Audit Manager to manage delivery of the enterprise retail Basel audit plan coverage and issue management processes, with accountability for overseeing lending lines of business audit execution and activities related to compliance across 7 consumer lending business lines. I also prepared and presented regulatory capital coverage updates to senior managers and regulators, and presented retail Basel team plan status as part of routine, periodic OCC and FRB updates. Most notably, I developed and implemented robust governance standard audit program to address audit coverage gaps across 7 consumer business lines.

During this period, I oversaw, managed and directed regulatory compliance and execution of vendor deliverables ensuring alignment with regulatory, contractual and bank vendor management policy requirements. This involved conducting onsite vendor assessments of control environment, monitoring compliance and leading delivery of regulatory projects and assessments. Most notably, I led US Credit Card monitoring, testing, gap identification and regulatory action planning, identified potential violations in vendor collection practices by analyzing and reviewing dialler collection compliance against state laws and regulations, and monitored adherence of 200+ Retail Credit Card vendors against regulatory laws, regulations and contractual requirements.

As Internal Audit Manager, I oversaw Basel Advanced Measurement Approach (AMA) Operational Risk Enterprise audit plan and issue management process. I worked with senior business leaders across Corporate Operational Risk (COR), Line of Business (LOB) Risk Management and Internal Audit teams to embed robust risk governance policies, procedures and control oversight throughout the organization’s global footprint. In addition, I managed regulatory issue validations efforts at enterprise and business line level, and led an 8 member team. Most notably, I established Subject Matter Expertise regarding Risk Control Self-Assessment (RCSA), Scenario Analysis components, and the bank’s compliance with AMA requirements, and developed and delivered Advanced Operational Risk Management training to over 500 Auditors across 5 live sessions to drive awareness and understanding of AMA.

San Francisco, California, Us

Directed and coordinated Enterprise Payment Operation’s (EPO) risk governance, business continuity and vendor management activities across 16 Wells Fargo production locations which processed more the $393 billion items monthly. Managed the coordination and oversight of internal and external audits, Sarbanes-Oxley compliance reviews, regulatory compliance assessments, business continuity planning, site reviews, risk analysis, and special assignments. Partnered with senior executive leaders throughout operations, risk management and audit to establish and implement effective risk governance policies, procedures, and control oversight activities. Managed relationships and negotiated contracts with vendors to drive down operating costs while ensuring vendor performance met contractual requirements and expectations. Notable Contributions:• Designed and implemented Legacy Wachovia Operation’s first Failure Mode Effects Analysis to successfully assess and assign risk priority numbers to all documented risks, controls, and monitoring systems, resulting in a 25% reduction in FTE time spent on quarterly attestation activities.• Leaderships of governance and oversight activities resulted in five consecutive Satisfactory Internal Audits.• Managed and supervised a team of 7 risk professionals widely recognized as “best in class” by business line management.

San Francisco, California, Us

Managed and coordinated audit planning, testing, reporting, and issue follow-up efforts for Enterprise Operations (EO) Audit entities. Conducted and managed monthly call program monitoring and reporting. Simultaneously completed and managed multiple audits of varying complexity and size throughout the Operations space. Supervised, mentored and managed performance evaluations of audit teams. Built and developed strong partnerships with senior business leaders and executives.Notable Contributions:• Consistently selected by the senior audit leadership team to manage the most challenging and complex audit assignments and the most sensitive and critical line of business relationships throughout enterprise operations as part of audit completion, call program monitoring, special projects, and annual audit risk assessments/ rankings.• Actively involved in college recruiting and team training, recruitment and staff development efforts.• Managed a pre-merger gap assessment project comprised of approximately 20 team members across multiple audit teams focused on identification of key Wachovia merger gaps.

New York, Ny, Us

Prepared, analyzed, and reviewed financial statements and disclosures in accordance with Generally Accepted Accounting Principles (GAAP) for Fortune 500 companies within various industries. Conducted engagements and prepared financial statement reporting for Defined Benefit and Contribution Plans. Routinely completed detailed research and provided recommendations of technical accounting matters to senior firm leaders. Coordinated and led audit engagements throughout all phases of the audit lifecycle for assigned client companies. Performed technical reviews of work papers and supporting documentation prepared by personnel to ensure accuracy and correctness.

London, Gb

Reviewed and audited accounting records, financial statements, and reports to assess accuracy, completeness, and compliance with GAAP for public and not for profit companies. Displayed unsurpassed leadership in all audit phases and completed assigned fieldwork under time and budget constraints.

Masters Of Accountancy, Accounting

Bachelor Of Business Administration - Bba, Accounting And Business/Management

Bachelor Of Business Administration - Bba, Business Administration

Bachelor Of Business Administration, Accounting