Katherine Frankel, Cpa Email & Phone Number

Bethesda, Maryland, United States

Provide financial statement audit and review services to developers, lenders and governmental agencies: -HUD mortgagor and contractor cost certifications-Low-Income Housing Tax Credit (LIHTC) cost certifications-Annual compliance testing according to regulatory requirements

Greensboro/Winston-Salem, North Carolina Area

Greensboro--Winston-Salem--High Point Area

As a Senior Associate in the Broker-Dealer Center of Excellence, supported Assurance engagement teams from planning through the completion phase of the audit, specifically for compliance with SEC and FINRA regulations.

Greensboro--Winston-Salem--High Point Area

Provided advisory services to Commercial Loan Servicing clients: Reg AB ComplianceHUD Quality Control Program (QCP) ComplianceSarbanes-Oxley ComplianceOperations assessment of organizational structure, controls, staffing, servicing system platforms, documentation of processes, policies and procedures

Charlotte, North Carolina, United States

As a member of PwC’s Flex Talent Network, provided support to the engagement team for the below clients: SEC Assurance client - global designer, manufacturer and aftermarket provider of automotive products. PwC Office: Detroit (Remote) Engagement type: Integrated Audit in accordance with PCAOB Auditing StandardsPrivate Client – manufacturer and distributor.

Greensboro/Winston-Salem, North Carolina Area

As a member of PwC’s Flex Talent Network, performed financial statement assurance audits for the following clients: SEC Assurance client - a Canadian multinational financial services companySEC Assurance client – a global developer, manufacturer and marketer of highly-engineered specialty chemicals.

Greensboro/Winston-Salem, North Carolina Area

• Performed walkthroughs of significant processes and ensure required COSO documentation is accurate and reflects relevant risk and key controls;
• Validated and challenged risk assessment conclusions, including assessing appropriateness and completeness of key risk and key controls identified.

Burlington, NC

• Supported a variety of Treasury initiatives, including daily cash management operations, preparing cash and interest forecasts, and analysis of various treasury activities.
• Participated in the oversight of internal controls as they related to various treasury activities, Sarbanes Oxley and audit inquiries.

Winston-Salem, NC

Perform and/or assist with compliance reviews of internal processes and procedures of various business units to support ongoing business line compliance with applicable regulations. Areas included but are not limited to: mortgage, consumer and commercial loans.

Greensboro/Winston-Salem, North Carolina Area

• Performed consulting functions in accordance with the client’s internal audit and compliance scope, as approved by applicable oversight committees for various financial institutions.

Winston Salem, NC

• Maintained a superior knowledge of past, current and emerging compliance regulations and regulator focus.
• Analyzed and communicated new/amended laws or regulations to LOB management. Provided guidance and oversight to the LOBs in carrying out their compliance obligations.
• Oversaw the efforts of LOBs and other risk areas in the development and implementation of policies, procedures and processes to minimize compliance risks.
• Planned and executed compliance reviews, from scope to final product with minimal management involvement.
• Analyzed findings, made recommendations and communicated the findings and recommendations to various levels of management.

Winston Salem, NC

• Provided a leadership role in the delivery of value-added risk-based internal audit assurance and advisory services to the Commercial Loan Credit and Capital Markets lines of business and senior management.
• Served as auditor-in-charge for high-risk, complex audit assignments by assuming responsibility for project management by developing the audit program and scope; organizing and utilizing resources and completing audit.
• Advised management by making appropriate recommendations, reporting results of audits and addressing material issues with senior management.
• Performed walkthroughs of processes and tested key controls pertaining to material general ledger accounts of assigned lines of business to ensure compliance with the Sarbanes-Oxley Act.
• Participated in the development of team members by taking an active role in training and mentoring new and junior audit staff.

Charlotte, North Carolina Area

• Identification of key risks and controls for Wachovia Commercial and Investment Bank structured products businesses to develop and execute effective audit programs.
• Identified key risks and controls for Wholesale Banking structured products businesses to develop and execute an effective audit program.
• Effectively communicated to line of business management audit findings to assist them in strengthening their control environments to ensure compliance with applicable regulations.
• Developed and maintained key relationships with middle and senior managers for assigned areas through communication of risk exposure noted during audit assignments and follow through on commitments to clients.
• Performed walkthroughs of processes and tested key controls pertaining to material general ledger accounts of assigned lines of business to ensure compliance with the Sarbanes-Oxley Act.
• Coached staff by establishing clear roles and responsibilities for each team member and providing formal feedback.

Various

Subject matter expert to a variety of businesses specializing in debt related structured products (GMAC Commercial Mortgage, Wachovia’s Commercial and Investment Banking), due diligence for the issuance of new commercial backed securitizations).

Atlanta, GA

Manager of a team of real estate professionals providing asset management for a portfolio of nine commercial mortgage backed securitizations consisting of 1,800 real estate assets with a balance of approximately $13 billion.