Stephen Wallis Email & Phone Number

Greater San Diego Area

Provide governance, risk management, and compliance advisory services to corporate clients.HIGHLIGHTS• Developed risk assessments for community banks that evaluated general risk categories (compliance, credit, operations) and the specific risks of individual business lines (insurance, mortgage lending, trust, wealth management).• Performed fraud risk assessment to comply with COSO 2013.

Las Vegas, Nevada Area

Championed programs that enhanced the company’s operational risk management capabilities.HIGHLIGHTS• Led a 21-person team of AVP- to EVP-level managers in selecting and deploying business-critical fraud management systems, a top-three priority project within the company. Provided cross-functional oversight across multiple line and staff units to implement the project. Oversaw user acceptance testing and the development of operating procedures, assisted staff evaluate and respond to fraud alerts, and reported results to Executive Management. • Chaired the Vendor Management Task Force that developed common policies, procedures, and forms for the company’s three bank subsidiaries and selected vendor management software to automate manual processes. • Reorganized the executive liability and property & casualty insurance programs, significantly enhancing coverage. • Assisted Chief Risk Officer with initial implementation and annual review of enterprise-wide risk assessment, which encompassed 65 business processes.

Las Vegas, Nevada Area

Started a comprehensive internal audit function that replaced previously outsourced audit services. Established an Internal Audit Department that performed financial and operational audits, information technology audits, and SOX compliance testing; a Regulatory Audit Department that conducted consumer compliance audits and BSA / AML monitoring; and a Loan Review Department that performed targeted reviews of real estate, commercial, and consumer portfolios. Held direct day-to-day management responsibility for 14-person team. Managed department during a dynamic period in which the company completed an initial public offering, integrated multiple acquisitions, and tripled total assets from $2.2B to $6.8B in seven years.HIGHLIGHTS• Developed and implemented SOX compliance program after company’s IPO in 2005.• Doubled scope of annual audit plan from 29 to 61 audits while decreasing audit report cycle time from 14 to 5 weeks. • Implemented audit management software system.• Initiated professional development program, with staff earning nine professional certifications.• Led reviews of internal control environment and regulatory compliance during acquisition due diligence.

Tempe, Arizona

Recruited, together with new CEO, to lead re-start of a failing food products quality-testing company that was on the verge of bankruptcy. Relocated company from Orange County, CA to Tempe, AZ after follow-on round of private equity financing. Established all financial management functions including financial reporting, product costing and pricing, and budgeting and forecasting processes. Managed IT staff that designed, installed, and monitored information systems.

Phoenix, Arizona Area

Managed regional loan production office that provided financial services to venture-financed and middle-market technology and life sciences companies.HIGHLIGHTS• Originated 20+ credit relationships aggregating to $25M in commitments.

Phoenix, Arizona Area

Originated and managed a portfolio of commercial loans to emerging growth and middle-market companies.HIGHLIGHTS• Selected as a member of the 1998 President’s Club for outstanding sales production.• Chaired the 1998 Arizona Venture Capital Conference and commissioned “Arizona Venture Capital Impact Study”.

Phoenix, Arizona Area

Served as Chief Financial Officer while de novo office operated as an independently chartered financial institution. Responsible for financial reporting and analysis, annual budgeting process, and asset / liability management.

Phoenix, Arizona

Led re-start of an inactive Small Business Investment Company. Wrote business plan, recruited staff, underwrote equity investments and debt financings to early- and expansion-stage companies, and managed portfolio. Estimated Internal Rate of Return ranked in top quartile of 1993 vintage venture capital funds of less than $25M.

Phoenix, Arizona

Held direct responsibility for $164M portfolio of criticized, classified, and non-performing national and middle-market credits in newly formed problem asset resolution group. Managed team of four lenders that resolved $105M of portfolio.PREVIOUS ROLESAccount Officer II/Assistant Vice President, National Accounts DivisionFinancial Analyst II/Staff Officer, Corporate Planning DepartmentLoan Analyst III/Staff Officer, Loan Review Department

Post-Baccalaureate Certificate In Accountancy

Bachelor Of Arts

Master Of Business Administration (Mba)