Thom Casterline, Cfsa Email & Phone Number

Ohio, United States

Financial Services / Internal Audit

Hudson, Ohio, United States

Dallas, Texas, United States

Cleveland/Akron, Ohio Area

Professional experience summary Thomas Casterline is a Senior Manager in the Advisory Services practice of Ernst & Young LLP. He has over twelve years of experience in the financial services industry serving a variety of banking, trust, insurance, asset management clients, primarily in the areas of internal audit, compliance and internal audit professional practices. Engagement experience •Thom focuses exclusively in the Financial Services space on internal audit services. He has led multiple projects related Internal Audit Out-Source / Co-Source, QARs, ERM, Control Transformation, and SOx.

Cleveland/Akron, Ohio Area

Professional experience summaryThomas Casterline is a Manager in the Advisory Services practice of Ernst & Young LLP. He has over ten years of experience in the financial services industry serving a variety of banking, trust, insurance, asset management clients, primarily in the areas of internal audit, compliance and internal audit professional practices.Engagement experience•Thom focuses exclusively on internal audit services. He has led multiple projects related to the planning, execution and reporting of internal audit plans and Sarbanes-Oxley 404 control testing and remediation.

1. Effectively lead and manage the Professional Practices department to maintain excellence by: 1) developing a strategic plan for the department that includes a vision, business strategies, and relevant metrics to measure the performance of the RRG against IIA and RRG Standards and Practices; 2) directing training to maintain quality performance; 3) creating and maintaining a portfolio of metrics used to measure performance, quality, and timely delivery of products and services. 2. Monitor, assess and communicate the effects of emerging auditing issues and guidelines to ensure timely implementation and compliance with the Institute of Internal Audit standards. This will involve monitoring the activities of the IIA, FASB, AICPA as well as participation in industry peer groups. 3. Effectively lead and manage a robust, value-add quality assurance program that leverages subject matter expertise within RRG, covers all aspects of formal risk review activity and continuously monitors RRG’s effectiveness and adherence to the Institute of Internal Auditor’s standards, established company policies and procedures and applicable regulatory guidance. 4. Partner and collaborate with RRG internal teams to deliver best in class risk review and future-state control advisory services by: 1) leveraging Internal Audit expertise and the quality assurance program to effectively identify opportunities for value-add recommendations to improve the organization's operations, 5. Prepare and enhance reporting for the Audit Committee relative to RRG core activities. Support preparation of Board material coordination process.

•Led and managed the resources assigned to the team to deliver excellence by keeping up with the industry and training to maintain quality performance. Effectively cross-trained staff to minimize critical person dependencies and overflow (8 directs)•Independently managed the most complex risk reviews, risk assessments, and projects: Capacity Planning, Trust SAS70, Audit Committee reporting, Annual Planning, and analyzed levels of technology, operational, credit, market, and compliance risk of business units as it relates to the bank•Coordinated interactions with senior leadership within the organization in order to communicate and "sell" difficult concepts and issues as appropriate

•Served as lead in the execution of Internal Audit Co-Sourcing, SOX Readiness, Trust SAS70, and Business Process Improvement engagements. Facilitated workshops with client personnel to obtain process understanding over business needs•Executed financial and operational reviews to meet several objectives including ensuring the reliability of financial data, compliance with laws and regulations, ensuring strong internal audit function, compliance with policies and procedures, and effective / efficient processes. •Obtained understanding of clients’ businesses and recognized multifunctional opportunities to improve client service in connection with engagements. Used tools and methodologies to deliver products and services. Anticipated, identified and resolved engagement issues

· Coordinated and managed risk reviews (serve as the Reviewer in Charge “RIC”)· Independently performed the most complex risk reviews (analyze levels of operational, credit, market and compliance risk), audits and examinations of business unit functions· Relationship Coordinator – built strong working relationships with audit clients· Managed an Auditing staff of up to 4 staff auditors during engagements· Recommend efficient and effective processes for managing risk· Executed annual risk review / consulting plans / test internal controls· Assessment through ‘Risk Based Approach’ / Sarbanes-Oxley, 404 testing / C-CAP (Control Compliance Assessment Process) portal

• Led, coordinated, and facilitated process improvement initiatives to enhance production and processes• Participated in the establishment, organization, and implementation of short and long-range goals and objectives to support the trust business• Participated in the establishment, design, and implementation of policies and procedures• Monitored and evaluated current controls and procedures for effectiveness and potential improvement• Managed and lead resources assigned to the team to deliver excellence (6 directs) • Client Contact / Liaison for Compliance and Internal Audit