Manage a team of 20 onshore and offshore SOX control testing and issue management professionals covering SEC and regulatory reporting controls for the Consumer businesses of the enterprise; Collaborate with senior business and accounting leaders to promote effective risk management and process improvement; Develop and manage annual Sarbanes-Oxley testing plan; Coordinate with external audit partners to drive efficiency in the annual audit engagement; Monitor and report progress against testing… Show more Manage a team of 20 onshore and offshore SOX control testing and issue management professionals covering SEC and regulatory reporting controls for the Consumer businesses of the enterprise; Collaborate with senior business and accounting leaders to promote effective risk management and process improvement; Develop and manage annual Sarbanes-Oxley testing plan; Coordinate with external audit partners to drive efficiency in the annual audit engagement; Monitor and report progress against testing plan to leadership; Actively develop and coach team members. • Led successful implementation of accelerated testing to achieve strategic focus of executive leadership • Key contributor to high priority executive leadership project, achieving success with minimal guidance • Challenged scoping to achieve control rationalization to help offset increased testing within short deadlines • Key participant in team quality assurance testing to help improve testing documentation and the overall process • Completed a significant accounting area deep dive with external auditors to identify efficiencies and align testing scope • Deployed contractors and performed additional team roles to successfully complete testing while team was short-handed • Actively coached a low performer through setting clear expectations to improve to one of the top testers on the team • Volunteered to lead monthly meeting of peer managers to tackle challenges and improve team alignment • Took additional role interviewing applicants through a period of staff attrition, helping the team rebuild with key talent • Implemented 360 feedback program with team to identify improvement opportunities Show less

Provided credible challenge to business partners through the course of control testing and issue validation, recommending best practices, risk management guidance, and process improvements; Supervised testing team, actively coaching for improved performance; Proven ability to quickly learn and drive value within each business group covered, including Consumer Lending, Consumer & Small Business Banking, Model Risk, Operational Risk, Human Resources, Investment Portfolio, Enterprise Risk Appetite… Show more Provided credible challenge to business partners through the course of control testing and issue validation, recommending best practices, risk management guidance, and process improvements; Supervised testing team, actively coaching for improved performance; Proven ability to quickly learn and drive value within each business group covered, including Consumer Lending, Consumer & Small Business Banking, Model Risk, Operational Risk, Human Resources, Investment Portfolio, Enterprise Risk Appetite reporting, Legal, and Liquidity. • Displayed heightened team leadership during departure of key leaders driving promotion to manager • Led early deployment of offshore testing, creating blueprint for team to follow to achieve corporate strategy • Drove control rationalization efforts with business partners to significantly reduce control testing and realize efficiencies Show less

SOX Consultant: Performed Sarbanes-Oxley control testing in Wholesale, Market Risk and Credit Risk for top global bank. • Immediately stepped into role and completed interim testing of 80 controls with tight deadline and minimal oversight • Contributed significant support across the team as a reviewer of control testing Issue Management Consultant: Actively managed portfolio of Anti-Money Laundering (AML) issues and risks for top global bank, collaborating with business partners… Show more SOX Consultant: Performed Sarbanes-Oxley control testing in Wholesale, Market Risk and Credit Risk for top global bank. • Immediately stepped into role and completed interim testing of 80 controls with tight deadline and minimal oversight • Contributed significant support across the team as a reviewer of control testing Issue Management Consultant: Actively managed portfolio of Anti-Money Laundering (AML) issues and risks for top global bank, collaborating with business partners to monitor action plans. • Expanded role to become team SME in the AML regulatory and audit reporting system of record • Created team operational procedures Show less

Partnered with business customers and senior leaders to promote best practices, process improvements, and successful issue resolution; Planned and managed engagements covering all divisions of the corporation, taking ownership of operational and financial audit projects with highest risk and complexity. • Managed Sarbanes-Oxley testing program, performing planning and review of staff testing • Developed a staff of new auditors through ongoing coaching and feedback • Incorporated… Show more Partnered with business customers and senior leaders to promote best practices, process improvements, and successful issue resolution; Planned and managed engagements covering all divisions of the corporation, taking ownership of operational and financial audit projects with highest risk and complexity. • Managed Sarbanes-Oxley testing program, performing planning and review of staff testing • Developed a staff of new auditors through ongoing coaching and feedback • Incorporated the use of data analytics in the performance of audits • Supported ongoing audit reporting through regularly updated audit issue tracking Show less

Chief Audit Executive and other Audit leadership roles; Coordinated regularly with executive management; Assisted management in assessing risk and identifying opportunities to better achieve goals; Managed external audit relationships and Regulatory reviews of the Internal Audit function. • Implemented Enterprise Risk Management (ERM) program, successfully transitioning to management / Board adoption • 70% reduction in SOX key controls, most notably in ITGC, in first year of ownership… Show more Chief Audit Executive and other Audit leadership roles; Coordinated regularly with executive management; Assisted management in assessing risk and identifying opportunities to better achieve goals; Managed external audit relationships and Regulatory reviews of the Internal Audit function. • Implemented Enterprise Risk Management (ERM) program, successfully transitioning to management / Board adoption • 70% reduction in SOX key controls, most notably in ITGC, in first year of ownership • Broad coverage of corporate finance/treasury functions, regulatory and risk reporting through Audit and ERM activities • Advanced a risk-based audit methodology, developing a risk assessment to drive audit schedule • Developed staff members to achieve positions of greater responsibility Show less