Laura K. Aeh, Mba, Cissa, Cfe, Crma, Cisrm, Cdpse Email & Phone Number

Columbus, Ohio Metropolitan Area

VP, Segment Risk Manager Sr. - Commercial

Columbus, Ohio, United States

Provide strategic leadership and guidance to the company’s Financial Reporting Controls Compliance Team with four direct reports. Notable Accomplishments: Established a reputation for continuously handling increasing responsibilities by: Ensuring our business partners understand and leverage IT Risk Management services where appropriate.  Educating multiple training sessions to IT Risk Management Leadership and other areas of Nationwide on Risk and Auditing of controls. SIF Approval of an annual project (Compliance Champions) to support BSA Teams on control testing  Recruited and retained a team that continued to excel and become promoted in their positions on the team. Managing a team responsible for overseeing and coordinating over 800 annual IT General Control tests, two external audit examinations on an annual basis; with minor findings.  Lead an audit team by establishing workload efficiently to produce consistent and meaningful control testing outcomes.  Lead a team to completion of control testing within the established timeframes with effective quality control scores over 90% each testing period. Effectively onboard new/converted applications when environment shifts to a cloud or third-party environment to ensure risk and controls are in place per regulations and internal standards.

Provides effective consultation services on compliance risks for all major internal and external regulatory audits, program, project, and requests assigned. Continuously matures compliance capabilities, providing thought leadership to and execution against the risk inherent in all compliance and regulatory matters.Notable Accomplishments: Established a reputation for continuously handling increasing responsibilities by serving on the following roles: Compliance Lead: provided IT Compliance support to IT Risk Management and Front Office Infrastructure Team. NY DFS Lead: Established and implemented the NY DFS Assessment with appropriate reporting to the CISO for sign off. Understands and improves current risk posture of assigned Business and IT compliance and regulatory controls. Identifies gaps and inconsistencies with compliance policies or practices, then leads efforts to address and resolve these gaps, applying industry standards and best practices as appropriate. Worked with IT and Business leaders to develop compliance solutions and data governance that effectively and efficiently drives down risk to the organization.  Developed and implemented a successful PCI Compliant by Design program with effective re-usability for the PCI Audit.

Columbus, Ohio Area

Provided continuous review and testing of controls to meet FINRA and SEC Compliance requirements and objectives. Notable Accomplishments: Consistently ensured strict compliance with internal and regulatory rules by successfully reviewing all NISC and NSLLC processes identifying any gaps. Collaborated with NISC and NSLLC Teams to audit controls and processes within each business unit. Communicated exceptions to Chief Compliance Office and Compliance Teams. Created and facilitated various type of compliance training for business partners, often on more complex subject matters. Created and maintained various reports and metrics for trend analysis. Analyzed various regulations impacting the products and procedures of assigned product and/or functional areas by collaboration with our business partners. Performed testing on business unit procedures to ensure compliance with business unit policies. Analyzes results to identify key trends and regulatory compliance.

Columbus, Ohio Area

Worked collaboratively with Audit Teams to identify and document key risks and controls in a complex IT environment. Notable Accomplishments: Planned and executed IT reviews that focused on assessing risk and controls in the Audit Universe. Tested controls to ensure the Test of Design (TOD) and Test of Effectiveness (TOE) were within appropriate compliance regulations and company standards. Tested newly onboard applications to ensure System Development Life Cycle (SDLC) met the appropriate requirements.  Assisted with annual risk assessments for the Audit Universe to strategize next steps for audit cadence.  Used critical thinking to understand and independently execute audits and document results according to professional and internal standards. Used COSO Framework to understand sample testing and at times worked with Data Analytics to identify full population testing where appropriate. Mentored less experienced staff, reviewed workpapers and provided valuable feedback. Developed strong working relationships with business partners within the organization to build trust and influence understanding of enterprise standards and best practices. Performed, with a team of other auditors, the Quality Assurance Improvement Program (QAIP) assessment to ensure audit work is performed in accordance with the charter and the Institute of Internal Auditors International Standards for Professional Practices.

Dublin, Ohio

Ditty Financial has been in business since 1997 and provides professional financial services along with extensive courtroom experience. Ditty Financial also works in the area of divorce litigation and provides financial planning.* Prepare, organize, research, analyze, and report forensic evidence for civil litigation suits.* Conduct in-depth investigations of suspicious financial activity and potential money laundering.* Create timelines, flowcharts and databases to conceptualize analytical outcomes.

Columbus, Ohio Area

Prepared audit scopes, reporting, findings, and presented recommendations for improving the audit teams.Notable Accomplishments: Performed diverse control oversight by testing and documenting results. Verify compliance with SOX provisions and professional regulatory standards.  Determined root cause analysis during testing to ensure exceptions were true findings. Completed audit reporting along with communicating audit outcomes to Leadership.

Columbus, Ohio

Systematically tracked and reported operational risks related to compliance and Key Risk Indicators. Notable Accomplishments: Prepared process mapping, policies and procedures for all controls in scope for the Operational Team. Secretary for Operational Risk Committee along with being a committee member for Loss Mitigation. Prepared quarterly reporting for risk rationalizations to risk owners, determine Key Risk Indicators (KRI's) and trends. Completed BSA/AML annual risk assessment.

Columbus, Ohio Area

* Provide instructional support, such as course requirements and videoconferencing, for distance students.

Columbus, Ohio Area

Franklin University has been in existence since 1902. The university provides post-secondary education to over seven thousand non-traditional students per year a way to enhance their educational needs and to advance in their career capabilities. Notable Accomplishments: Responsible for leading a motivated team of 7 (Graduate) and 10 (Undergraduate) to streamline a number of processes, policies and procedures through continuous auditing efforts, exceeding university goals at an average of over 20% per year.  Administered the implementation of a new proprietary systems 4 months ahead of schedule to increase efficiencies, conduct systematical analysis, and set key performance indicators KPI’s based on continuous auditing processes. Prepared strategic metrics for the Graduate/Under Graduate Teams to recruit and retain students on a monthly basis. Conducted quarterly sessions on Graduate and Undergraduate Programs to potential students with the team and our faculty partners.

Currently Teach Financial Statement Fraud

Columbus, Ohio Area

The Grange Bank was a subsidiary of Grange Mutual and Casualty Company offering banking products to its customers and hundreds of their insurance agents.Notable Accomplishments: Coordinated project efforts to place ATM machines along with maintaining vendor relations. Implemented and trained all employees on a new debit and credit card system. Wrote policies and procedures in partnership with the Accounting Department ensuring GAAP standards were met. Coordinated efforts with Grange Insurance Operations & IT to open an in-store bank branch facilities. Created SQL ad hoc reports using interface software, such as Hummingbird Bi Query & Crystal Reporting for quarterly review of interest rates for deposit and loan products with senior leadership.

Columbus, Ohio Area

Telhio Credit Union was established in 1934 and is a not-for-profit organization that offers financial products to its members. Total Assets for Telhio (according to their 2009 annual report) are at $433M.Multiple Positions HeldNotable Accomplishments: Examined, evaluated, and audited auto loan and lease agreements. Planned, directed, and coordinated the activities of workers in a bank branch and credit department. Established procedures for custody or control of assets, records, loan collateral, or securities to ensure safekeeping. Compiled statistical, financial, accounting or auditing reports and tables on a proprietary system pertaining to such matters as cash receipts, expenditures, accounts payable, and profits and losses. Reconciled, noted, and reported discrepancies found in general ledger accounts. Recruited, interviewed, and selected employees for multiple positions.

Mba, Business Administration

Specialization: Finance

Bachelors, Business Administration

Summa Cum Laude