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Senior Audit Manager, expert in enhancing the financial and operational environments of complex global organizations, with a focus on optimizing processes and proactively mitigating risk. Possesses demonstrable success in assessing internal controls, identifying risks, and creating comprehensive reports that support organizational decision making in highly regulated environments. Establishes trusted relationships with senior stakeholders and third parties, to drive end-to-end assessments, provide compliant company policies, and present clear industry benchmarking. Instrumental in delivering operational and process improvements through meticulous analysis of audit findings and risk assessments. I am also a trusted people manager with success in directing teams and engaging with stakeholders at all levels in complex control environments to facilitate achievement of objectives. Accomplishments:✔️Managed and developed horizontal consumer LOB assessments through scope development, execution and reporting of new product assessment of 6 lending business lines. Reviewed product lines; analyzed control environments; and approved protocols of new products. Succeeded in delivering audit report early with praise from regulators. ✔️Developed 3-year branch coverage strategy. Developed plan; defined scope; and oversaw audits covering operational risks, sales culture and conduct risk exposure. Succeeded in executing 67 onsite branch visits across 17 regions.✔️Partnered closely with 2nd Line Risk to provide timely audit review, oversight and testing of domestic and international Operational Risk framework implementations in multiple financial institutions.Audit Senior Manager/ Risk ExecutiveEmail: Tennisace72@gmail.comSpecialities:✔️ Consumer Banking and Lending/ Public Accounting (CPA) / Leadership/ Stakeholder Engagement / Operational and Credit Risk / Risk Governance and Oversight/ Hiring, Onboarding and Mentoring/ Team Building/ Risk Control Self-Assessment/ Audit Planning and Management / Audit Testing and Reporting / Enterprise Risk Management /Issue Management/ Risk Analysis and Management/ Operations & Consumer LOB Experience / RCSA / Small Business Lending / Third Party Risk Management / Issue Management and Validation / Leadership and Development / Quality Assurance and Quality Control / Relationship Building/ Regulatory Interaction and Reporting/ Process ImplementationContact me at (704) f97-4511 for any Audit Director opportunities.
Truist
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Senior Audit ManagerTruist Oct 2023 - PresentCharlotte, North Carolina, Us
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Senior Audit Manager - Corporate FunctionsTiaa Mar 2022 - Oct 2023New York, Ny, Us -
Business Risk & Control Senior OfficerWells Fargo Nov 2019 - May 2022San Francisco, California, UsAs 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. -
Senior Internal Audit Manager - Consumer BankingWells Fargo Jul 2015 - Nov 2019San Francisco, California, UsI 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.
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Internal Audit Manager- Basel Capital ManagementWells Fargo Aug 2013 - Jul 2015San Francisco, California, UsI 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.
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Retail & Consumer Senior Compliance Manager – Us Credit CardBank Of America Jun 2012 - Aug 2013During 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.
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Vice President, Operational Risk - Internal Audit ManagerBank Of America Apr 2010 - Jun 2012As 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.
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Operational Risk Manager - VpWells Fargo Jun 2006 - Apr 2010San Francisco, California, UsDirected 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.
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Internal Audit Manager - Enterprise OperationsWells Fargo Sep 1998 - Jun 2006San Francisco, California, UsManaged 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.
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Senior Auditor IiKpmg Nov 1996 - Jun 1998New York, Ny, UsPrepared, 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. -
Staff AuditorErnst & Young Jan 1996 - Dec 1996London, GbReviewed 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.
James Moyer Skills
James Moyer Education Details
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Virginia Tech - Pamplin College Of BusinessAccounting -
University Of Mary WashingtonAccounting And Business/Management
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University Of Mary WashingtonBusiness Administration
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University Of Mary WashingtonAccounting
Frequently Asked Questions about James Moyer
What company does James Moyer work for?
James Moyer works for Truist
What is James Moyer's role at the current company?
James Moyer's current role is Risk Executive / Licensed CPA / Audit Senior Manager – Expert in auditing internal controls and identifying risks and create comprehensive reports that support organizational decision making.
What is James Moyer's email address?
James Moyer's email address is te****@****ail.com
What is James Moyer's direct phone number?
James Moyer's direct phone number is 170449*****
What schools did James Moyer attend?
James Moyer attended Virginia Tech - Pamplin College Of Business, University Of Mary Washington, University Of Mary Washington, University Of Mary Washington.
What skills is James Moyer known for?
James Moyer has skills like Risk Management, Internal Audit, Banking, Financial Risk, Auditing, Internal Controls, Operational Risk Management, Operational Risk, Enterprise Risk Management, Sarbanes Oxley Act, Finance, Accounting.
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