David Gary Email & Phone Number

United States

Birmingham, Alabama, United States

• Plans and leads BSA/AML/Sanctions internal audits, assessing control effectiveness of controls, operational efficiencies, and regulatory compliance; develops audit scope, objectives, and work plans• Identifies key controls, performing detailed and general reviews of internal audit work paper documentation• Performs and oversees complex testing procedures and audit risk and control assessments• Coaches and drives development of team members; performs talent management activities• Maintains awareness of internal control audit trends to assure audit processes remain effective• Knowledge of and ability to bring a reported problem to successful resolution• Establish and build healthy working relations and partnerships with clients• Knowledge of written communications issues and ability to produce a variety of business documents that demonstrate command of language, clarity of thought, and orderliness of presentation

Birmingham, Ala.

Since joining BBVA in 2010, David Gary has been the primary senior manager responsible for Bank Secrecy Act/Anti-money Laundering and Regulatory Compliance audits. Now one of three Program Managers responsible for directing, and coordinating audit programs and testing procedures, he continues to manage the AML and Regulatory Compliance audits. During his tenure at BBVA, Gary has developed risk-based annual Regulatory Compliance audit plans using risk-based support models and methodologies.Details:• Develop, direct, coordinate and monitor day-to-day IA activities including programs and testing procedures; ensure fieldwork is within scope and deadlines; identify risks are addressed and adequately remediated; manage multiple audits simultaneously, directing audit teams from various disciplines or countries collaborating to complete on-going work; maintain, supervise, hire, evaluate, instruct, delegate duties and tasks, direct, mentor, counsel and monitor audit staff. • Develop flexible, risk-based annual audit plan using risk based support models and methodologies, and ensure its full implementation. • Maintain awareness of changes in operations, regulations and audit practices in order to evaluate effectiveness and efficiency, and influence high standards of ethics, discipline, and professionalism. • Research and keep abreast of legislative issues, new and emerging audit regulations, trends, technologies, tools, and methodology. Elicit information from knowledgeable internal/external sources about areas and functions to evaluate or analyze. • Inform management of emerging trends and successful practices in auditing and controls testing. • Perform special analyses, including compliance, alleged fraud and unethical misconduct.

Birmingham, Ala.

BSA/AML/OFAC Internal Audit Manager. Execute BSA/AML audit program composed of eight base audits; responsible for risk-based BSA/AML audits of more than 40 business lines; manage dedicated staff of three and additional resources who verify the internal control environment operates effectively and provides assurance of compliance with applicable laws, regulations and internal policies; partner with senior IA management to develop a comprehensive risk- based program to test the bank’s policies and procedures for BSA/AML and other regulatory compliance functions; provide quality assurance review of related audit work; manage the process by which audit reports are issued and audit exit conferences are conducted

Identified risk and key controls in regular IA planning and Sarbanes-Oxley (S-Ox) project team; assisted business units development of testing and documentation standards for S-Ox 404; determined work flow and analyzed patterns to determine information reliability; determined risk exposure and internal control effectiveness; conducted exit meetings with various management levels; performed mergers/acquisitions due diligence reviews; as auditor-in-charge and audit manager, oversaw entire audit projects, planning to issuing reports Vice President (VP), IA Manager, Deposit Operations – manage team responsible for performing deposit operations audits (April 2001 – March 2005); Assistant VP, Information Services Division Auditing – perform detailed operational reviews of deposit operations departments at three data centers (October 1999 – April 2001); Assistant VP, Retail Division Auditing - primarily responsible for consumer compliance and loan audits (June 1996 - October 1999); Senior Regional Audit Officer - primarily responsible for Ft. Myers and Sarasota market bank audits and all branches for those markets (August 1993 - June 1996)

Birmingham, Ala.

Worked with a team of bank auditors who significantly increased audit coverage for a troubled savings and loans institution operating in ‘turn-around’ mode; one of three lead auditors reporting to audit director; primarily covered deposit, consumer compliance and mortgage-related functions, writing audit procedures and establishing documentation standards in the audit department; after brief employment with the Office of the Comptroller of the Currency as a National Bank Examiner, performing consumer compliance and loan reviews, was recruited and returned to Secor’s management team as the bank’s Compliance Officer - participated in executive management meeting and planning sessions; established monitoring programs to determine compliance performance; reviewed, amended and created internal procedures

Traveled extensively to perform market bank and branch audits throughout multi-state operations; served as auditor-in-charge for consumer and commercial loans and consumer compliance audits

Greenville And Mobile, Ala.

extensive experience in writing stories under strictly enforced deadlines; interview skills developed

Internal Audit And Regulatory Compliance

National Compliance School – Bank Administration Institute (BAI) National Graduate Compliance School - BAI - Norman, Oklahoma Various.

Bachelor'S Degree, Journalism, History, Religion

Activities and Societies: Student Manager of University Catering Department, Food Services