Quyen Ngo Email & Phone Number

Los Angeles, California, United States

Actively supports and provides real-time 2LOD review and challenge (R&C) of gap assessment and remediation plans/activities across multiple bank functions that govern and/or drive changes across the firm, including but not limited to: Data, Technology, Policy Governance, Governance Committees, Product, Pricing, and Process.Selected Achievements and Role Highlights:● Leverages extensive experience and skills across all three lines of defense to assess/validate gaps and evaluate the reasonableness of remediation activities across multiple bank functions that govern and/or drive changes. Completed R&C of gap assessments to Enterprise Change Risk Management Program for the areas of Data, Technology, Policy Governance, Governance Committees, Product, Pricing, and Project Management Office.● Cultivates relationships across all lines of defense, including EVPs/SVPs and Business Control Officers, managers and SMEs of my supported functional areas, and colleagues met in Colleague Resource Groups. This wide spectrum of relationships has enabled me to keep a pulse on strategic, organizational, and tactical levels of change occurring in the organization. It also supports my objective to be a trusted partner who can offer insights, alternative solutions, or a warm referral to someone who can help.

Stood up a new function, including selecting, developing, and retaining diverse and high-potential colleagues. After leading the team through multiple pivots (and management changes), we organized ourselves in June 2023 to support a critical business need: documenting business processes and controls, which serve as foundational elements for an end-to-end understanding of how the firm serves clients and manages risks. Selected Achievements and Role Highlights:▪️ Led 8 professionals to document business processes that aligns with BPMN 2.0 industry standards, identify operational risks and controls, and capture process pain points.▪️ After 6 months of repositioning the team to this endeavor, we produced at 3x the pace and 2x the output of our pilot engagements, all without sacrificing work quality or stakeholder experience.▪️ Influenced multi-level relationships including SVPs, line management, 1LOD and 2LOD risk stakeholders across the firm to achieve buy-in and make progress toward solutions, such as how to collect/document a Master Process Inventory, how to define process hierarchy levels, how to align with our parent company's process/service taxonomy, etc.▪️ Within 2 months of agile execution to document a first-line Master Process Inventory, we were able to collect and organize 1500+ business processes in alignment with the parent company's taxonomies.🎯 Given the process documentation factory and an initial master process inventory have been set up, I opted to re-orient to a new role in 2LOD Enterprise Change Management.

Los Angeles, California, United States

Lead a team to (i) perform walkthroughs of processes and controls, (ii) evaluate the design and operating effectiveness of key internal controls and (iii) analyze, articulate, and visualize the results in Tableau dashboards.Selected Achievements:▪️ Thrived as 1 of 2 founders of the enterprise controls testing program, covering deposit, lending, wealth management, marketing, digital products, and more; developing and implementing the program within a year▪️ Developed a fuzzy match Minimum Viable Product using PowerBI, which supported a decision to build a data-driven tool that saved 30% billable consultant hours for a key year-end deliverable▪️ Created a 100 days roadmap to success for onboarding our new hires and getting them connected with SMEs▪️ Empowered team to develop micro-learning products, such as concise videos to replace 30 min meetingsRole Highlights:◦ Influences 15+ cross-functional relationships to complete prioritized control testing deliverables and builds trust and solutions with business leaders, operations, third-party consultants, and subject matter experts in all lines of defense◦ Manages a Data Analytics Specialist and helps him with understanding cross-functional customer needs, strategic prioritization, backlog management, and incremental improvement of Tableau dashboards◦ Leads 3 testers to obtain understanding of processes and evaluate control design and operating effectiveness◦ Builds relationships across the organization to learn how each area works, including acting as mentor/mentee

Greater Los Angeles Area

▪️ Instrumental in revamping compliance audit programs and test scripts to reflect CNB’s large bank risks ▪️ Led team on Informational Technology integrated consumer compliance and BSA/AML control reviews▪️ Adapted to changing requirements in a highly complex, large bank while managing project timelines ▪️ Wrote clear and concise audit scope documents, executive summaries, and audit findings that consider risks, business impact, root causes and trade-off of findings, and the organization’s risk appetite ▪️ Cultivated trusting relationships with stakeholders across all departments to understand their priorities, connect the dots, and identify advisory opportunities (e.g. bringing solutions from one unit to another).▪️ Collaborated with management to evaluate risk and prioritize implementation of recommendations to strengthen compliance maturity for programs and products▪️ Led agile and impactful initiatives that improve workflows and employee engagement, such as:* A backlog system with Microsoft Sharepoint/Lists to centralize the tracking of continuous monitoring inquiries, which replaced back-and-forth email exchanges.* Combination of two planning documents into one integrated view of risks, controls, and key considerations with the use of custom views in Microsoft Excel, which reduced duplicative efforts in input and potential for copy-and-paste errors.

Remote

A product management bootcamp where I am teamed up with a designer and two developers to ship a product from scratch. ▪ Drove vision to take Right Your Resume, a tool that streamlines career pivoters’ resume tailoring process, across the entire product management lifecycle from ideation to Minimum Viable Product (MVP)▪ Led a cross-functional team of two developers and a designer through agile sprints and kanban boards▪ Conducted 10 user interviews to validate problem space and 5 user testing to improve user experience▪ Wrote user stories and product spec to drive clear communication of features and acceptance criteria▪ Managed the product backlog and prioritize features on product roadmap for rapid development▪ Practiced storytelling by celebrating progress on Linkedin Check out our team's MVP at https://www.joincolab.io/projects/right-your-resume

Seal Beach, Ca

Promoted to Team Lead (transitional role to Manager) in June 2019. Led a dedicated team of three responsible for performing complex and technical compliance audits in a $7.7 billion bank with 25 branches in California.● Integral in building the team's expertise and products while Internal Audit underwent a complete turnaround● Performed data validation and rules tuning audits of the automated suspicious activity monitoring (SAM) system and three OFAC sanction screening systems● Performed compliance audit risk assessments and planning, including evaluation of inherent risks, regulatory/environmental changes, prior audit results, and resource availability and capability.● Performed ongoing monitoring and research of evolving regulatory requirements and industry best practices against internal control processes and systems for data gaps, discrepancies, or other compliance-related issues● Managed complex projects that evaluated compliance with BSA/AML/KYC/OFAC, Beneficial Ownership Rules, Compliance Management Systems, Fair Lending, UDAAP, Marketing Compliance, Flood Insurance and Escrow Rules, Automatic Exemptions from Garnishments and Levies, Right to Financial Privacy, and the alphabet soup of regulations, such as: : * Equal Credit Opportunity Act (Regulation B)* Fair Credit Reporting (Regulation V)* Truth in Lending (Regulation Z)* Truth in Savings (Regulation DD)● Selected for the Bank’s Leadership Program (2017-2018) which enhanced participants’ emotional intelligence, communication, and coaching skills. Mentored two peers; one of which was soon promotedSelected Contributions/Achievements:● Revamped the BSA Department audit program in 2012 and has since improved risk-based steps in 2018, which resulted in a 20% reduction of fieldwork days compared to the prior six years’ average.● Developed the audit program, with heavy use of Cognos data queries, to validate the data integrity of the Bank’s BSA software system in 2018.

Seal Beach, Ca

Seal Beach, Ca

Long Beach, Ca

Member of a small team, including contractors, responsible for reviewing key operational controls and processes of small to mid-sized banks. Role included supervising and training contractors, documenting and reviewing workpapers, and drafting audit reports. Reviewed areas included the following: Branch Operations, Operations Administration, Bank Secrecy Act, Finance & Accounting, Loan Operations, Trade Finance, Investments, Remote Deposit Capture, and Wire Transfers.

Los Angeles, Ca

Member of 10-person team responsible for managing and monitoring BSA compliance for an ethnic bank based in Koreatown, Los Angeles, CA. Responsibilities included: improving desktop procedures to create operational efficiencies, analyzing reports to identify red flags for further review, and facilitating BSA/AML training for bank employees.● Assisted the BSA Manager and staff in performing daily functions, including review of ongoing cases, conducting in-house training, and preparation of materials for Board of Directors reporting.● Developed and assisted with implementation of risk-based criteria and methods to reduce the number of false positives in the Bank’s BSA/AML monitoring reports.

Temple City, Ca

Member of 30-person department responsible for managing and monitoring BSA compliance for a bank with domestic offices primarily in California and New York and overseas offices in Hong Kong, Shanghai, Beijing, and Taipei. Responsibilities included: reviewing and filing timely Suspicious Activity Reports (SAR), reviewing account documentation for CIP and CDD deficiencies, and assisting with training of new BSA personnel.

Bachelor Of Sciences, Cognitive Sciences, With Specialization In Computing

Education record