Tom K. Email and Phone Number
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Tom K. personal email
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Internal audit, risk management, internal control, and regulatory professional recognized for building and improving processes, frameworks, controls, and teams to exceed organizational and regulatory expectations.Known for:Using my knowledge and experience to effectively manage risks and assess controls; build effective organizational and regulatory relationships; and advance best-in-class internal control, risk management, and governance processes.Areas of focus:Internal Audit – Innovating audit practices to exceed Institute of Internal Auditor (IIA) standards and regulatory expectations (FRB's SR13-1 & OCC's Heightened Standards); implementing leading methodologies; developing staff; maximizing technology utilization (data analytics); enhancing board and management reporting; developing dynamic risk based audit plans; performing quality assurance reviews; and managing improvement initiativesEnterprise Risk Management – Partnering with 2nd line of defense in assessing and selecting GRC platforms. Collaborating on implementation and assessment of ERM processes and frameworks (COSO ERM, SR16-11); optimizing integration of current and emerging risk informationInternal Control – Establishing control frameworks (COSO) and corporate policies; assessing design and effectiveness of internal control, risk management, governance, and SOX processes; partnering with stakeholders to assess issues, understand root causes, and develop effective action plansGovernance and Regulatory Management– Advancing board and management reporting; establishing committee agendas and materials; assessing committee performance and charter compliance; and effectively managing regulatory examinationsSpecialties: Risk Assessment | Risk Measurement | Internal Audit | Internal Control | Governance | Process Improvement | Project Management | Board Reporting | Policy Development | Regulatory Compliance | Financial ManagementContact: tkeeley002@gmail.com
Risk Management, Internal Audit, Internal Control
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Risk Management, Internal Audit, Internal ControlChicago, Il, Us
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Senior Director, Internal Audit Professional PracticeWestern Alliance Bank 2017 - PresentPhoenix, Arizona, Us(Specialties: Internal Audit, Process Improvement, Quality Assurance, Governance, Internal Control, Regulatory Compliance, Financial Management) Transformed internal audit practice (board and senior management reporting, methodology, quality assurance, regulatory management) and co-sourcing operating model of fast growing financial institution to exceed board, regulatory (SR13-1) and organizational expectations. Advancement acknowledged by regulators with "effective" rating.Designed and launched continuous monitoring, data analytics, and performance management programs enhancing knowledge of organization, its risks, and improving department performance.Led annual risk assessment, audit universe validation, and annual plan development processes and presentation of plan to Audit Committee. Serve as secretary of the Audit Committee coordinating committee agendas, presenters, reporting, and minutes. Assess and ensure committee’s compliance with approved charter. Present assessment results and recommendations directly to the committee.Led evaluation of governance, risk, and control (GRC) systems and capabilities. Project led assessment, selection, and implementation of new audit system.Primary regulatory liaison managing all aspects of regulatory examinations, information requests, and discussions.
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AdvisorRisk Management, Internal Audit, Internal Control Dec 2015 - Dec 2016(Specialties: Internal Control, Process Improvement, Practice Enhancement, Governance)Advised tech start up on internal control and enterprise risk management frameworks (COSO, COBIT, COSO ERM) ensuring new software application supported client and third party compliance and SSAE 16 reporting needs.
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Vice President And Director, Professional Practices - Corporate Audit DivisionBmo Harris Bank N.A. Apr 2004 - Nov 2015Chicago, Illinois, Us(Speciality: Internal Audit, Process Improvement, Internal Control, Risk Management, Quality Assurance, Governance, Regulatory Compliance, Financial Management)Established international team charged with the advancement of internal audit practice including: exceeding enterprise, industry, and regulatory expectations (FRB's SR13-1 & OCC's Heightened Standards); implementing best-in-class board reporting; leading annual plan and risk assessment processes supporting parent company, subsidiary, and regulatory testing and reporting requirements; advancing staff training and development, launching data analytics and advancing audit technology, preparing and reporting key performance indicators, and leading quality assurance and improvement programs and initiatives. Key regulatory liaison with extensive knowledge of domestic and international (Canadian and U.K.) regulatory expectations and experience managing regulatory examinations and developing strong regulatory relationships. Coordinated management of Division's $20 million U.S. budget. -
Senior Audit Manager - Corporate Audit DivisionBmo Harris Bank N.A. Aug 1998 - Apr 2004Chicago, Illinois, Us(Speciality: Internal Audit, Internal Control, Risk Management, Regulatory Compliance)Managed seven person team responsible for evaluation of the design and effectiveness of internal control, risk management, governance, and SOX processes for wealth management businesses. Led all aspects of team’s performance including: annual plan development, relationship management, performance of engagements, and communication of results. Collaborated with first line management to assess issues; identify root causes; evaluate risks; and develop remediation plans. Established Canadian wealth management audit team and implemented business unit approach to more effectively execute work and provide clients with a comprehensive view of internal control system.
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Senior Management ConsultantCna Insurance 1995 - 1998Chicago, Illinois, Us(Speciality: Process Reengineering, Process Improvement, Internal Control)Project managed process reengineering and improvement initiatives; established finance and accounting function for new subsidiary; evaluated feasibility of new product concepts; transformed corporate finance division. -
Management ConsultantCna Insurance 1995 - 1998Chicago, Illinois, Us(Speciality: Process Reengineering, Process Improvement, Internal Control)Evaluated feasibility of new product concept to streamline benefit payment process including in-depth cost benefit analysis, product design and evaluation, and process impact. Significantly reduced costs.
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Senior AuditorPrice Waterhouse Coopers 1993 - 1995Gb(Speciality: Auditing, Internal Auditing, Internal Control)Led reviews of capital markets, fixed income, risk management, credit, corporate and international banking; accounting, and treasury functions of clients.
Tom K. Skills
Tom K. Education Details
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Northwestern University - Kellogg School Of ManagementMarketing -
University Of Illinois Urbana-ChampaignAccounting
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American Bankers AssociationBsa/Aml Overview; Bsa/Aml Complying With Bsa: Information Security & Red Flags
Frequently Asked Questions about Tom K.
What company does Tom K. work for?
Tom K. works for Risk Management, Internal Audit, Internal Control
What is Tom K.'s role at the current company?
Tom K.'s current role is Internal Audit - Risk Management - Internal Control - Regulatory & Governance Professional (CPA , MBA).
What is Tom K.'s email address?
Tom K.'s email address is to****@****ank.com
What is Tom K.'s direct phone number?
Tom K.'s direct phone number is +184743*****
What schools did Tom K. attend?
Tom K. attended Northwestern University - Kellogg School Of Management, University Of Illinois Urbana-Champaign, American Bankers Association.
What are some of Tom K.'s interests?
Tom K. has interest in Children, Project Management, Coso, Economic Empowerment, Data Analytics, Education, Triathlons, 10k, Science And Technology, Running.
What skills is Tom K. known for?
Tom K. has skills like Financial Analysis, Cash Management, Sarbanes Oxley Act, Enterprise Risk Management, Risk Management, Internal Controls, Internal Audit, Business Process Improvement, Project Management, Regulatory Compliance, Acquisition Integration, Due Diligence.
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