In my role as an Audit Manager at Ameriprise Financial Services, LLC., I led financial and compliance audits, ensuring timely completion of reports. Spearheading SOX, MAR, and FDICIA compliance activities across thirty business processes, I identified and mitigated control deficiencies, leading to successful closure of Management Action Plans. Additionally, I conducted risk assessments for SOX and various business processes, enhancing annual audit planning and regulatory compliance.

• Supervised and led audit projects at Ameriprise Financial Services, Inc., ensuring timely deliverables and providing team leadership.• Managed and monitored SOX, MAR, and FDICIA compliance activities, identifying control deficiencies and validating Management Action Plan status.• Conducted risk assessments for SOX and other business processes within department guidelines.

Federal Compliance Single Audits:-MN Dept of Human ServicesInternal Control and Compliance Audits:-MN Judicial Branch-MN Dept of Human Services-MN Dept of Natural Resources-Community Action Programs-Healthcare Eligibility for state and federal programsFinancial Audits:-State of MN Comprehensive Annual Financial Report-Minnesota Sports Facilities Authority• Conducted financial, internal control, and compliance audits in accordance with professional standards• Independently performed complex single audits and participates in special review teams• Review financial data from various sources and performed analytical procedures• Developed audit findings and recommendations to management as well as assisted in the preparation of reports• Managed audits including the planning, staff supervision, testing and report writing• Provided coaching, assistance and mentoring to other auditors• Recipient of the Senior Auditor of the Year Award (2016)

Assisted in planning financial audits by identifying risk areas; preparing audit scope and audit programs. Assessed compliance with financial and state regulations and controls by executing audit program steps; testing general ledger, account balances, balance sheets, income statements, and related financial statements; examining and analyzing records, reports, operating practices, and documentation. Evaluated internal controls by identifying areas of non-compliance and preparing recommendations. Communicated audit progress and findings by providing information to managers, partners and clients. Provided technical assistance to clients to increase knowledge, efficiency and awareness.

Coordinated and implemented specialized circumstances on-boarding all types of domestic and foreign securities. Compiled and validated financial data submitted for monthly and annual U.S. Treasury filings. Reconciled accounts; communicating large cash flows to appropriate groups. Identified, resolved and documented procedural or compliant gaps.

Processed and supported maturities, dividends, optional dividends and client prospectus mailings. Performed a monthly prospectus test and researched report inconsistencies. Researched and adjusted discrepancies related to securities. Provided coaching and back up support for several processes on team.

Processed applications and transactions, communicating incomplete requirements and regulatory information. Quality checker for REITs and Limited Partnership applications and related documentation. Researched and resolved escalated service cases with advisors and clients. Provided training, coaching and process documentation to new associates in various departments. Created and managed a workflow process for the new business department.