Marcus Sutton Email & Phone Number

Dallas, Texas, United States

• Performed third-party risk assessments to identify control gaps and ensure timely receipt of supplier evidence for risk remediation.
• Facilitated meetings with the Lines of Business teams and suppliers to interpret policy, address control gap findings, and ensure effective risk mitigation, enhancing the accuracy of the risk assessments and risk.
• Collaborated on implementing risk remediation strategies, maintaining compliance with policies and regulatory requirements, and ensuring compliance with service-level agreements.
• Maintained reporting that tracked the status of risk assessments, assessed privacy control assessment findings, and monitored compliance metrics, boosting my ability to timely manage requests and escalations.
• Implemented advanced data analysis tools to produce improved reporting dashboards to enhance data collection and risk analysis resulting in increased accuracy in compliance monitoring and risk analysis.

Dallas, Texas, United States

• Minimized risk exposure by executing background check risk control processes, before onboarding new employees, ensuring adherence to internal policies, procedures, and regulatory rules.
• Collaborated closely with Line of Business and Compliance stakeholders at all organizational levels on escalated processes and liaised with candidates to obtain clarifying evidence.
• Delivered insightful weekly reports with status updates, metrics, escalation details, and risk control analysis for assigned requests.
• Performed internal audits of employee compliance with internal and external policy and regulatory requirements, delivering findings reports with root cause analysis.

Plano, TX

• Developed and manipulated mortgage, title, and other real estate document templates for software applications, per Client specifications, internal policies, and regulatory rules.
• Provided support to team members, internal units, and clients for product testing, issue identification, and coding updates, ensuring proper document functionality within software platforms.
• Spearheaded successful implementation of updated document templates for the standardized industry documents to the software databases and ensured continued customer access without service interruption.
• Engaged in quality assurance initiatives, supporting product implementation teams, and performing root cause analysis to address quality assurance discrepancies.

Dallas/Fort Worth Area

• Managed and mentored associates on the Business Relationships Support (BRS) team that reviewed businessrelationships for independence threats and ensured adherence to internal policies and regulatory requirements.
• Developed training for a training initiative with an overview of independence policies, processes, technology, and stakeholder engagement, resulting in improved readiness and increased quality measurements.
• Led training sessions for 100+ client-serving professionals, and staff to Partner rank, providing a comprehensive overview of policies, processes, and technology to enhance their understanding of the compliance program.
• Collaborated with the IT group on an enhancement for the TPRM tool to streamline processes and participated in user acceptance testing, which enhanced the accuracy of independence clearance determinations.
• Delivered presentations on the complexities of third-party supplier relationships, the risk program workflows and technology, and ongoing monitoring procedures, as part of Line of Business strategic planning meetings.

Dallas/Fort Worth Area

• Led a team of Business Relationships Support (BRS) associates that reviewed potential business relationships to identify independence threats and ensured compliance with internal policies and external independence rules.
• Identified opportunities for process improvement in the risk control approval processes for potential third-party business relationships, spearheading enhancements resulting in a 25% increase in process efficiency.
• Facilitated communications with engagement teams, responding to questions about the independence process, technology issues, and communicating clearance approval statuses, and other compliance matters.
• Implemented process checklists for business relationships review processes that ensured all clearance approval processes were followed, promoted quality and accuracy, and met deadlines.
• Developed informative pipeline reports with analysis reporting and pivot tables, leading to more insightful consultations with Audit, Advisory, Consulting, and other stakeholder groups.

Dallas/Fort Worth Area

• Reviewed proposed business relationships, such as teaming agreements, alliances, and sponsorships, on the Business Relationships Support (BRS) team, for independence threats and monitored regulatory compliance.
• Analyzed proposed business relationships carefully and followed up with internal teams as needed, to accurately document the analysis of complex business relationships in the TPRM system within specified deadlines.
• Initiated timely requests for due diligence questionnaires and followed up for discrepancies to correctly identify business relationship independence requirements, ensuring the accuracy of the Independence.
• Facilitated consultations with Advisory, Consulting, and Tax engagement teams, external third parties, and Compliance stakeholders to drive collaboration to obtain approval for proposed business relationships.
• Managed approval processes for 15+ business relationships simultaneously for a complex, multi-year engagement worth $100M+, and ensured compliance with internal policy and external regulatory requirements.