Tracy Long Email & Phone Number

Lakeville, Mn, Us

Greater Minneapolis-St. Paul Area

Senior Vice President – Business Line Risk Management 1999 – Present• Manage the development, implementation and monitoring of a risk-based operational and regulatory compliance risk management program for complex and diverse lines of business, including Commercial Mortgage Servicing, Community Lending and Investment, Corporate Trust Services, Equipment Finance, Institutional Trust and Custody, Multifamily Capital and Real Estate Capital Markets (collectively representing over 4300 team members)• Understand the risk profile, including emerging risk, collaborating with and influencing business management to identify, formulate, and implement operational and regulatory compliance risk policies, procedures and controls to mitigate risk while maintaining a balance between risk mitigation and operational efficiency• Identify, measure, control and monitor risk using strategies, processes and models• Work with business management to correct weaknesses and resolve risk issues• Manage site, agency or other examinations conducted by internal audit, external parties and bank regulators, including the Office of the Comptroller of the Currency, the Federal Reserve and the Securities and Exchange Commission• Active participant in governance and oversight as Director of trust company • Prioritize and execute multiple tasks simultaneously in a dynamic and high-pressure environment• Collect information and perform research for fraud investigations• Management responsibilities for teams ranging from 10-75 employees

Greater Minneapolis-St. Paul Area

• Managed client support servicing and specialized accounting and reporting for Institutional Trust and Custody division• Analyzed operations for profitability and efficiency and initiated changes and improvements• On-boarded new client relationships involving complex conversion plans

Greater Minneapolis-St. Paul Area

• Planned, conducted and lead financial, operational and compliance audit to assess the adequacy and effectiveness of controls, compliance with laws and regulations and efficiency/effectiveness of operations • Developed audit plans compliant with the Institute of Internal Audit standards and COSO• Conducted risk assessments with senior management• Applied effective project leadership regarding audit notification, task assignment and monitoring and performance evaluation and coaching of assigned team members• Developed effective test scripts based on independent assessment of related risks and controls• Analyzed issues objectively, presenting relevant facts which led to logical conclusions• Led communications with business line management including drafting of issues and final audit reports in an objective and unbiased manner• Followed up on status of management actions taken on identified and reportable issues

Greater Minneapolis-St. Paul Area

• Performed audit, review and compilation services for various publicly-traded and private clients, such as financial services, manufacturing, retail and not-for-profit companies• Performed outsourced internal audit functions for several mid-size to large financial institutions• Led the planning and finalization of engagement scope and the development of audit strategy• Built rapport and established trust with a variety of client personnel while identifying, communicating and resolving issues