Sara M. Dent, Cpa, Cisa, Cia, Crisc, Crcm Email & Phone Number

Saint Paul, Mn, Us

Minneapolis, Minnesota, United States

Minneapolis, Mn, Us

• Responsible for the review, editing and quality control of CAS audit reports, issue validation memos, regulatory validations, and regulatory deliverables. • Manages 17 quarterly regulatory agency (FRB/OCC/CFPB) meetings, which includes planning, coordination, production, and preparation of final materials. • Renovated regulatory agency meeting project management, including creation of procedures, formalizing a task RACI, developing and delivering training to managers and above, and standardizing deliverable templates.• Delivered professional and polished presentations, project plans, and deliverable walkthroughs to CAS’ senior leadership, including the CAE.• Developed the 2024 KPI Refresh project plan to establish KPI metrics adhering to the new IIA Global Audit Standards and develop formal reporting for board-level and CAS leadership review to effect change and achieve strategic goals.• Demonstrates impeccable attention to quality and deadline adherence for recurring deliverables, Board-level materials, and ad hoc leadership requests

San Francisco, California, Us

Chief Operating Office (2023-2024)• Shared Services CRO Transformation lead, overseeing regulatory and operational risk identification, independent challenge and response as previously siloed Consumer Lending (CL) operations merged into one function.• Lead risk partner for CL Compliance, included issue management, regulatory exam coordination, quarterly and ad hoc presentations to the OCC/FRB/CFPB, and facilitating tollgates for key Bank issues impacting the organization. • Role included risk assessments, gap analyses, controls development, issues identification and management reporting for various operational units.• Worked in partnership with business line issue coordinators, internal audit, compliance risk, external auditors and technology stakeholders in a matrixed environment, requiring decision influencing and negotiating skills.• As lead risk officer for the Credit Bureau Management, gained in-depth application of FCRA, ECOA, UDAAP, ADA, and CRA regulations.

San Francisco, California, Us

-Member of the Control Executive senior leadership team for Consumer Lending, and accountable for the supervision and management of all front line risk activities across all risk types for CL Shared Services. -Responsible for driving front line risk and control self-assessments, ensuring the businesses consistently drive issues management discipline and reporting, ensuring the CLSS business operationalizes all front line and corporate risk programs, and driving successful closure and sustainability of enterprise consent orders across Consumer Lending in partnership with front line teams as well as enterprise partners in Independent Risk Management.

Minneapolis, Mn, Us

• Senior leader of the audit team, developing one-year and five-year audit plans to evaluate operational and regulatory compliance based on a cross-LOD risk assessment involving business leaders and SMEs.• Key audit projects included evaluating the robotic process automation (RPA) rollout; assessing the documentation requirements of the SDLC process against industry best practices; in-flight QAR of the Firm’s Workday implementation; and establishing baseline ITGC requirements cross-LOB.• Leveraged statistical, BI and data lake mining education to develop a suite of CAATs (computer-aided audit tools) to improve percentage of continuous audits, trends, identifying deviations from normal, and quantifying impact.• Primary lead for the new internal Bank function; included collaborating with OCC Officers on OCC/CFPB/FRB/Basel framework mapping.• Internal projects included regulatory controls framework analyses and audits (BSA/AML, Regs B/D/E/F/J/O/W/Y/Z, UDAAP, Privacy/GDPR/CCPA, and FFIEC).• Managed a team of six staff, which included individual development, training, and performance management.ducts, applications and the transition to AWS cloud.

Brussels, Bourgetlaan, Be

- Chief Audit Executive responsible for ensuring a sound internal control environment and identify process improvements in both corporate and franchised hotel functions.- Managed the internal complaints and allegations hotline, which included cataloging complaints, assigning ownership, and evaluating independent party assessments to determine course of action.- Responsible for preparing and presenting audit plan, reports, and arising issues to the Executive Leadership team and Beijing-based owners prior to corporate re-organization.- Managed the annual risk assessment for the enterprise, including establishing the audit universe via executive interviews and client surveys to develop the 2018 audit plan.-Responsible for coaching and leading a team of professionals, including co-sourced resources and guest auditors.- Prepared Technical Accounting memoranda for complex transactions, new accounting standards and business acquisitions and divestitures.- Researched and provided guidance for treatment of accounting issues, new accounting pronouncements, acquisitions and divestitures, including ASC 606 and ASC 842.

- Managed and conducted process improvement, risk management, technology assurance, co-sourced and outsourced audits for large financial institutions, including RBC, TD, the Bank of Montreal (BMO), Optum/UHC, Cooperators Insurance, Great-West Life, US Bank, Thrivent Financial and multiple provincial credit unions.- Performed independent reviews of acquisitions; included controls assessment, documentation, and implementation in collaboration with local operational teams.- Educated and trained internal clients regarding control design, implementation and evaluation; included development of training materials and leading workshops.

Gb

- Led the technology risk advisory practice in the Manitoba and Saskatchewan provinces, which included process improvement, outsourced internal audit, compliance and risk management projects.- Managed and delivered over 40 client projects with 1 to 6 team resources staffed on each engagement, including SOX 404, SSAE16, NI 52-109, and internal audits, including controls evaluation and remediation strategies.- Prepared proposals and delivered presentations to upper management in large public companies, government entities and private SMEs.- Managed a staff of seniors and staff, including coaching, recruiting, and development.

Ann Arbor, Michigan, Us

- Focus on International Trade Policy and Microeconomics- Management and Budget Analyst in the Office of the US President - Awarded the Arthur C. Bromage Fellowship ($50,000) for demonstrated merit - Taught graduate-level courses in Microeconomics and Cost-Benefit Analysis- Courses included economics, advanced statistics, international finance, and strategy.

Washington, Dc, Us

4, Ie

-Designed the company’s Sarbanes–Oxley internal controls framework to develop, document and evaluate financial and operational controls.-Created a controls design and implementation handbook to assist and train managers in developing best-practice controls procedures and measuring compliance. -Audited business unit procedures to assess effectiveness and compliance.-Applied risk management strategies to reduce compliance costs in multiple units while ensuring a sound internal controls environment.

Dublin, Ireland, Ie

- Managed internal controls testing projects at 8 operating companies with annual turnover of $5.5 billion; included development of testing programs, scheduling and supervising of team resources, and communication of results and recommendations to financial and operational management. - Managed internal audits of over 30 autonomous production entities in the building materials industry, which evaluated performance and conformity with company policies and budgets to improve effectiveness and efficiencies. - Supervised financial, operational and compliance audit projects; provided consulting services to management; and provided input to development of the global audit plan.- Provided training, coaching and guidance to Group Internal Audit staff concerning effective internal audit and consulting engagements.

Worldwide, Oo

- Participated in an extensive financial restatement and audit consulting project for a Fortune 100 company based in the Atlanta area.- Managed budget and progress reports for multiple audit and taxation engagements.

Masters In Public Policy, Economic Policy & Government Relations

Bsba, Accounting & Finance

Bs, Economics | Political Science (Double Major)