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Certified Enterprise Risk Professional, CPA, Certified Bank Auditor and consultant to financial institutions. Skilled in leading teams of executives and Directors through the development of enterprise risk management and operational risk programsn compliance & internal audit organizational transformation, compliance with regulatory enforcement actions and initiatives to improve operational efficiency and profitability. On faculty of Southwest Graduate School of Banking at SMU 2013-2021 & LSU Graduate School of Banking 2001 to 2015 teaching bank risk management. Instructor on risk management and other topics for the LSU Professional Masters of Banking program 1998 to 2002 and on retail banking and lending topics for BAI Graduate School of Retail Banking. Have spoken on risk management for American Bankers Association, Independent Community Bankers Association and Bank Administration Institute & over 20 state banking associations, as well as CUNA and NAFCU Credit Union conferences. Internationally I have spoken at Federación de Bancos Latinoamericanos (FELABAN), Congreso Latinoamericano de Tecnología e Innovación Financiera (CLAB), Asociación Bancaria de Colombia (Asobancaria), Central Bank of Paraguay and at security and risk management conferences in Argentina, Paraguay, Peru and Chile for the Bureau Internacional Informacion y Negocios. Authored articles on risk management for ABA Banking Journal, Banking Exchange, Bank Marketing and other publications. Co-authored a Technology Planning Guide for Bank CEOs, published by the ABA.
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Director360Factors, Inc. Sep 2021 - PresentAustin, Texas, Us -
Executive Director/CeoCadre, Strategic Risk Management, Llc Jun 2016 - PresentCADRE, innovative risk management (ERM, GRC) solutions for banks, credit unions and other financial institutions. Company assists financial institutions in developing risk-based strategic plans, comprehensive risk appetite statements and related forecasts and forward-looking KRI dashboards. CADRE's professionals prepare enterprise-wide risk assessments, lending process and credit risk management reviews, strategic planning, process and profit improvement engagements, compliance assessments and IT security projects for commercial banks and credit unions. We help FIs successfully manage compliance with regulatory enforcement actions, developing needed business and capital plans, Board and management assessments and policies, procedures and controls. We also complete comprehensive compliance, BSA/AML and other audits. Have completed FFIEC Cybersecurity, COBIT based IT Risk Assessments, Information security Risk Assessments and COSO based SOX 4040 Assessments.
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Managing Director - Risk ConsultingStrategic Risk Associates Mar 2019 - Sep 2021Glen Allen, Virginia, UsProvide the following consulting services to banks, credit units and other financial services companies: ♦ Enterprise Risk Management / Governance program development and assessment, including Risk Appetite Development and KRI/KPI Dashboards♦ Operational Risk Management programs♦ Risk assessments - Enterprise Risk, Credit Risk, BSA/AML, Compliance, ♦ Information Technology, Information Security and Cybersecurity (FFIEC CAT) Assessments♦ Business impact analyses and business continuity plan development♦ Internal audit improvement and co-sourcing♦ Troubled Bank Assistance (regulatory enforcement action remediation)Have completed FFIEC Cybersecurity, COBIT based IT Risk Assessments, Information security Risk Assessments and COSO based SOX 4040 Assessments. -
Adjunct Faculty Instructor On Risk ManagementSw Graduate School Of Banking May 2012 - May 2021Dallas, Tx, UsInstructor for risk management in banking -
Managing Director, Southern Region Fis RiscFis Nov 2013 - May 2016Jacksonville, Fl, UsManaged a team of 14 professionals providing audit, compliance and risk management services in 11 states and Puerto Rico. • Coordinated sales activities with six sales consultants, significantly exceeding sales goals of $6 million in 2014, 2015 and 2016. • Improved staff utilization rate from 67% to 96%.• Increased net revenue margin from 20% to target 35%.• Increased annual recurring revenue to 50% of revenue goals.Worked with commercial banks and credit unions to perform compliance and internal audits, complete IT security risk assessments, develop enterprise-wide and credit risk management programs and improve operations and earnings. Assisted banks with resolution of regulatory enforcement actions. -
Adjunct Faculty Instructor On Risk ManagementGsblsu / Graduate School Of Banking At Lsu May 2001 - May 2015Baton Rouge, La, UsInstructor for Risk Management elective at LSU Graduate School -
Practice Director, Risk ManagementAbound Resources, Inc. Apr 2011 - Oct 2013Austin, Tx, UsCreated Risk Management Practice in 2011. Completed projects for banks, credit unions, thrifts, mortgage companies and other financial services companies, including Enterprise-wide Risk Assessments, Business Continuity Planning, SOX 404 Risk Assessments, Information Security and IT Risk Reviews, Regulatory Enforcement Action Compliance, Bank Secrecy Act / USA Patriot Act Compliance Risk Assessments, Reviews and Audits and others. Frequent speaker for American Bankers Association, state banking associations and industry trade groups -
Managing Director, Risk ManagementCornerstone Advisors, Inc. Feb 2010 - Mar 2011Scottsdale, Az, UsPerformed risk and compliance assessments and lending process and profit improvement reviews for U.S. financial institutions ranging in assets from $400 million to $11 billion. Developed member business (i.e., commercial) lending program for $4 billion credit union. Resolved four regulatory enforcement actions and created Enterprise Risk Management function for $11 billion, Los Angeles-based, multi-state commercial bank. -
Director Of Risk Management ServicesBrintech, Inc. Jul 2003 - Dec 2009Launched Risk Management Practice, generating sales of $1.8 million in year one, increasing to $2.7, $3.5, and $4.5 million in following years. Managed a team professionals and contractors in multiple business lines to complete enterprise-wide risk assessments, lending process and credit risk management reviews, strategic planning, process and profit improvement engagements, compliance assessments and IT security projects for commercial banks and credit unions. Developed tools and methodologies used by company, including ERM software systems. Successfully managed compliance with Consent Decrees and Written Agreements for banks, developing needed strategic business and capital plans, Board and management assessments and policies. Projects include Enterprise-wide Risk Assessments, Business Continuity Planning, Sarbanes-Oxley Section 404 and FDICIA Risk Assessments, Information Security Reviews, Regulatory Enforcement Action Compliance, Bank Secrecy Act / USA Patriot Act Compliance Risk Assessments, Reviews and Audits, IT Audits, Operational and Earnings Improvement Assessments and others. Subject matter expert for development of ERM, Audit, BSA, Information Security, SOX 404 Compliance, COBIT-based IT Risk Assessment and other systems. Frequent speaker for American Bankers Association, state banking associations and industry trade groups
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Senior ConsultantAlex Sheshunoff Management Services Sep 1997 - Jun 2003Created the Risk Management Practice for firm in 2002, generating annual sales of $1.2 million the first year. Prepared technology plans for US banks. Managed the the core selection and implementation engagement for a $3 billion commercial bank, completing the project on-time and under budget. Managed the conversion of acquired branches for an Alaska bank. Completed risk assessment and strategic planning engagements for U.S. and Foreign Banks (Colombia, Malaysia, Taiwan). Participated in operational and earnings improvement projects. Completed business continuity planning, Y2K projects. Managed the resolution of a Cease & Desist enforcement action over a two year period for a US commercial bank, requiring BSA lookback, multiple fraud investigations leading to the termination of eleven officers and employees, restructuring of the deposit portfolio and recapitalization of the Bank.
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DirectorRisk Concepts Ltd. 1994 - 1997Risk Management and Due Diligence Reviews of U.S. and Foreign Banks for domestic and foreign insurance underwriters and brokers Risk Management and Due Diligence Reviews of Foreign Banks, Thrifts, Stock Brokerage Operations and others in Mexico, Central America (El Salvador, Panama), South America (Colombia, Venezuela, Ecuador, Peru, Argentina, Bolivia, Paraguay, Chile)
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Owner/PartnerBinkelman, Proctor And Co. And Cadre Jul 1985 - Mar 1994Prepared Risk Management and Due Diligence Reviews of approximately 400 U.S. and Foreign Banks (Mexico, Colombia, Argentina, Chile, Peru, Paraguay, Bolivia, Ecuador, El Salvador and Venezuela) for domestic (e.g., AIG, Chubb, Scarborough, others) and foreign insurance underwriters (e.g., Syndicates at Lloyds, London Underwriting Center, Munich Re, Swiss Re and others). Performed multi-client best practice reviews for brokers of Bolsa de Bogota, the Bogota, Colombia Stock Exchange and for MasterCard's participating banks and co-ops in Colombia.Completed bank acquisition due diligence and valuation projects, credit quality reviews, audits and other engagements. Also performed outsourced internal audits and managed the resolution of regulatory enforcement actions. Investigated bank frauds, including a $14 million loan fraud involving 5 commercial banks’ and prepared resulting insurance claims.
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Risk Management ConsultantWbk. Ltd 1984 - 1985 Risk Management and Due Diligence Reviews of approximately 40 U.S. Banks for domestic (e.g., AIG, Chubb, Scarborough, others) and foreign insurance underwriters (e.g., Insurance Syndicates at Lloyds of London, London Underwriting Center and others)
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Financial ConsulatntFirst Union National Bank Sep 1980 - Jun 1984Us Project Management Specialist Compliance Projects (e.g., Organization-wide documentation of controls for Foreign Corrupt Practices Act of 1978) Integration of Acquisitions (e.g., Discount Stock Brokerage companies in Winston-Salem, NC and Hallandale, FL) Other Projects, including: Product Development Earnings Improvement/Expense Reduction Organizational Restructuring Technology Acquisition, Implementation and Conversion projects -
Auditing OfficerC&S National Bank 1979 - 1980 National Bank Department, Affiliate and Correspondent Bank Audits Managed teams of 4-8 Auditors in Macon and Albany, GA Offices
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AccountantTheriot, Milford And Dunn 1978 - 1979 Bank Financial Statement and Internal Audits (e.g., Calcasieu Marine National Bank, Cameron State Bank) Tax and Accounting Advisory Services Audits of Commercial Entities (e.g., Restaurant Franchise, Real Estate Development Company, Oil Tool Rental Companies) and Non-Profit Organizations (e.g., Union).
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AuditorColumbus Bank & Trust Company May 1972 - Aug 1978 Branch, Operations, Loan, Trust, Credit Card and other business unit audits Correspondent Bank Audits Trained as EDP Auditor by Peat, Marwick, Mitchell and Co (now KPMG).
Ken Proctor Skills
Ken Proctor Education Details
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Columbus State UniversityBusiness Administration
Frequently Asked Questions about Ken Proctor
What company does Ken Proctor work for?
Ken Proctor works for 360factors, Inc.
What is Ken Proctor's role at the current company?
Ken Proctor's current role is CPA, CBA, CERP.
What is Ken Proctor's email address?
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What is Ken Proctor's direct phone number?
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What schools did Ken Proctor attend?
Ken Proctor attended Columbus State University.
What are some of Ken Proctor's interests?
Ken Proctor has interest in Economic Empowerment, Civil Rights And Social Action, Poverty Alleviation, Disaster And Humanitarian Relief, Human Rights, Animal Welfare.
What skills is Ken Proctor known for?
Ken Proctor has skills like Risk Management, Financial Risk, Banking, Enterprise Risk Management, Financial Services, Executive Management, Internal Audit, Management, Credit, Strategic Planning, Finance, Credit Risk.
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