Gavin Shaffer Email & Phone Number

Salt Lake City, Ut, Us

Ogden, Utah, United States

Risk assessment: Identify and evaluate potentialrisks that could adversely affectthe organization's objectives, such as financialrisks,operationalrisks, and compliance risks.Internal control evaluation: Review and assess the adequacy and effectiveness of internal controls, including financialreportingcontrols, information technology controls, and operational controls.Audit planning:Develop audit plans and programs to address identified risks and determine the scope and objectives of each auditengagement.Testing and analysis: Conduct detailed testing and analysis of financialtransactions, processes, and controls to assess compliance,accuracy, and efficiency. Thismay involve sample testing, data analysis, and interviews with relevant personnel.Documentation: Prepare comprehensive audit workpapers and reports that document auditfindings,recommendations, andconclusions.Compliancemonitoring: Monitorthe organization's compliance with applicable laws,regulations, and internal policies, and identifyareas where compliancemay be lacking.Process improvement: Identify opportunities to improve operational efficiency, enhance internal controls, and streamline processesthrough recommendations based on auditfindings.Communication: Present auditfindings and recommendations tomanagement and stakeholders, and collaborate withmanagementto develop action plans for addressing identified issues.Follow-up: Track the implementation of auditrecommendations and assess the effectiveness of corrective actions taken bymanagement.

Greater Salt Lake City Area

• Manages the execution of risk based audit activities.• Consults with mid-level management on risk mitigation strategies and identifying control solutions.• Develops risk based audit strategies and programs in collaboration with department subject matter experts.• Follows up on outstanding audit issues and escalates emerging concerns.• Completes audit workpapers for compliance with department policy and IIA standards.• Prepares communication that is complete and comprehensive, containing the critical information that others need; including audit reports and management memos.• Develops data analysis and continuous auditing strategies.• Effectively presents conclusions written and verbally to senior management with the risk perspective of the Audit Committee.

Murray, Utah, United States

● Foster teamwork by supporting and contributing to those within the branch. ● Maintain the integrity of the bank by keeping up to date on all licenses, regulatory requirements while adhering to bank policy and procedures. Maintain the highest level of quality when assisting clients and contractors with loans and deposit accounts.● Promote organic growth by seeking out those that can benefit from the products that we offer while expanding our local presence. Meet assigned goals to promote growth, both locally and overall.● Hire and coach employees within the branch to help them achieve goals. Ensure that everyone within the branch maintains the highest standards.● Ensure that the facilities are kept clean and organized both inside and out.

Greater Salt Lake City Area

 Engage, service, educate, and deliver solutions to small business owners, plan participants, and other retirement customers regarding their accounts and other services.o Consult with retirement customer advisors: retirement plan administrators, accountants, attorneys, financial advisors while servicing customer accounts.o Assist customers with complex retirement transactions: return of excess contributions, minimum required distributions, plan contributions, distributions to beneficiaries, participant eligibility, tax reporting, etc.  Identify guidance opportunities to ascertain the customer’s retirement plan and guidance needs.o Retirement plans, portfolio review, income planning, annuity products, etc. Learn and maintain technical product knowledge of IRS rules/regulations and all retail retirement products.o Retail: Profit Sharing and Money Purchase Keoghs, SEP-IRA, SIMPLE-IRA, Traditional IRA, Rollover IRA, Roth IRA, SE401(k), Investment only plans. Provide support across channel by assisting the branch and other business partnerships through consultation calls.

Greater Salt Lake City Area

Engage with customers by providing outstanding service when they call in to our regional center while responding to their inquiries and requests for information and assistance with their brokerage accounts. Educate and empower our customers through insightful conversation and leveraging online resources. Provide expertise on inquiries pertaining to retirement, taxation, and the markets. Partner across the organization to deliver world-class service and ensure continuous process improvements.

Greater Salt Lake City Area

Ensure the accuracy of trades. Enter trades accurately by hand when needed. Help resolve discrepancies between counterparties. General understanding of how options and hedges relate to each other. Provide the client with a better experience by acting in an advisory role when necessary. Assist sales department to better understand the client’s needs. Complete special projects as assigned by supervisors.

1706 East 1300 South Salt Lake City, Ut

Maintain a high quality of standards in preparing orders to specificationContinually expand my knowledge of all aspect of the delicatessen to better assist other associatesMaintain a clean work station and assist in the general hygiene of the entire delicatessen

Enforce mall regulations and deter crime by patrolling mall grounds: inside and outDirect mall patrons, assist in locating other members of their partyContinue ongoing training to provide reliable service to patrons, management and college events in the mall

5625 South Waterbury Way Salt Lake City, Ut

Ensured quality customer service and accuracy on customer transactionsImproved customer serve by making an extra effort to learn customer names and improved transaction speed and accuracyMaintained a balanced cash drawer, kept a daily balance of the ATM and added cash weekly.Balanced and maintained the branch cash vault including ordering money and distributing cash to the tellers as neededMet referral goals monthly and achieved honors in contestsAided Assistant Manager in compliance and security for the branch Entrusted with training of new bank personnel

Master Of Business Administration (M.B.A.), 3.9

Bachelor Of Science, Finance

Dec. 2011) Relevant course work includes Statistics: regression analysis, creating charts and graphs from that analysis that others can.

Associate Of Science, General Studies