Mr. Smith was progressively promoted within the firm during tenure within the bank from IT Audit Lead to Consultant, and most recently to the current role of IT Audit Manager. In the Manager role he was responsible for oversight, planning, and delivery of integrated technology audits, and targeted IT audit assessments within the Wealth and Institutional Client Services Division. Mr. Smith provided oversight and people management of 4 direct reports, providing direction for audit scoping decisions, and mentorship. Mr. Smith served collaborated with senior level and mid-level management to determine and direct agile project review activities and project level assurance. Mr. Smith supported the Wealth and ICS Technology modernization efforts; providing assurance support reviews over container technology integration, multi-factor authentication integration, and enhanced disbursement security practices. Mr. Smith coordinated and implemented agile project audit management strategies to improve audit efficiency and drive accountability within audit engagement teams. Additionally, Mr. Smith prepared and delivered draft and final audit reports.

As IT Risk Lead for Technology Risk, Mr. Smith served as lead IT Risk manager and exam liaison in the 2015 Regulatory examination and 2015 FDICIA review; supporting Barclaycard US to maintain satisfactory standing with bankingregulators. Mr. Smith provided education on the new risk acceptance process within Barclaycard US; implemented process improvements to the risk acceptance process for Barclaycard US, trimming the time needed for approval. Additionally, Mr. Smith facilitated and supported the education of Barclaycard US colleagues to improve the control environment; provided guidance to Barclaycard US colleagues on key risk and recommended technical controls to mitigate the potential risk. Mr. Smith also educated technology colleagues on the downstream impact of technology controls to operational risk; helping colleagues envision risks at the process level an opposed to the task level. Mr. Smith has also served, supported, and performed an evaluation of the Barclaycard US cybersecurity stance in collaboration with an external firm using the FFIEC guidelines. Mr. Smith performed SOX assurance testing and review for Barclaycard US key IT systems and processes; provided guidance and suggestions for improvement to control documentation and testing evidence. In addition, Mr. Smith performed process mapping for Barclaycard US support for Technology departments; delineating the key risks and controls across the end-to-end process.

As Senior Information Systems Auditor at Capital One, Mr. Smith became fully certified as an Information Systems Auditor. As a I.S. Auditor, Mr. Smith supported the Retail Bank in the performance of IT Audits of varying responsibility; performing assessments of with Front end, Middleware, and Mainframe applications to identify key risks and recommend process improvements in Retail Bank Lines of Business. Additionally, Mr. Smith developed process flow diagrams and narratives for clientele to illustrate and communicate areas of risk within in Lines of Business for integrated audits, and • suggested ways for the Internal teams/Lines of Businesses to improve current business processes.

As a Senior Information Systems Auditor Mr. Smith has a assumed a higher level of responsibility in the course of conducting Financial Statement Audits, FISMA assessments and Consulting engagements. Mr Smith used his experience in evaluating systems and business process to provide timely recommendations that clientele can implement to mitigate inherent risks and control weaknesses.

As an Information Systems Auditor, Mr. Smith has added value to the firm by providing his expertise in providing IT audit services to Governmental agencies in support of Financial Statement audit and performing Business process assessments. Mr. Smith used his skills to assist clientele by developing detailed Process flow Diagrams and Narratives. In performance of IT audit Services Mr. Smith used the FISCAM methodology to help organizations strengthen Security Management controls, Access Controls, Configuration Management Controls, Controls surrounding segregation of duties, and Contingency Planning Controls.

As an Associate Accountant at Shire Pharmaceuticals, Mr. Smith established working relationships with senior management, directors, associate directors, and midlevel staff. He worked with vendors and contractors on and off-site to collect financial information to report monthly accruals, collect invoices, past dues invoices, and unapplied payments. He maintained a working relationship between vendors, contractors, and shire management to create purchase orders. Mr. Smith managed purchase orders, created purchase orders, and tracked purchase order activity in conjunction with the Statement of Work (SOW) and service agreements. He also tracked budgets for monthly purchase orders for their respective cost centers and directors.

As a Branch Accountant at Enterprise Rent-A-Car, Mr. Smith performed management and entry of branch accounts receivable and accounts payable to proper accounts. He prepared ledger account schedules for various accounts (i.e., prepaid expenses, bad debt allowance, and employee payroll deductions). He also prepared and posted monthly accruals and standard entries. Mr. Smith performed weekly general ledger account reviews and monthly variance analysis on general ledger accounts. He prepared and posted standard monthly general ledger journal entries. He also performed setup of branch fixed assets. Mr. Smith prepared and posted adjusting journal entries as required. He performed balance sheet account analysis and preparation. He also adhered to account procedures and protocols set forth by business management. Mr. Smith verified branch deposits as well as preparation of bank reconciliations. He also managed branch charge-backs and credit card inquiries.

As an Accounting Systems Analyst at La-Z-Boy Incorporated, Mr. Smith participated in accounting requirements, definition testing, training, implementation, and support. He used industry standard accounting techniques to uncover local market requirements. He also ensured compatibility and interoperability of accounting and retail computing systems. Mr. Smith adhered to accounting process guidelines and standards. He documented accounting processes and prepared groundwork. He participated in rollout of accounting systems in other markets. Mr. Smith also identified areas of potential accounting business risk.