Audit and Risk Professional with over 25 years of experience in the banking, public accounting, consulting, manufacturing, energy, financial, utility and health care industries. Proven ability to work collectively to support cross - functional teams, successful track record with building strong relationships with all levels, and extensive experience in team leadership. Detail oriented, highly organized, trusted with confidential information and self-directed.
Confidential, Auburn Hills, Michigan
BUSINESS UNIT RISK MANAGER SENIOR - Vice President
- Manages the execution of the compliance and risk framework to determine, measure and report on significant current and future potential risks.
- Directs initiatives to ensure that risk mitigation controls are operating effectively and efficiently by performing periodic control reviews of key business units and critical suppliers, monitoring risk control self assessments, and overseeing issue resolution.
- Counsels Senior Management as the Risk Representative on various steering, governance and leadership committees to ensure compliance with laws, regulations, standards and emerging risks.
- Oversees risk assessment activities, remediation efforts and reporting of key risk indicators.
- Ensures processes and procedures align with regulatory and policy compliance.
- Assesses staff strengths and contributions through periodic performance reviews and evaluations.
- Directed and administered the execution of the annual IT audit plan in accordance with the corporate audit approach and standards.
- Developed and managed budgets and schedules to facilitate completion of the audit plan.
- Managed IT Audit team members and interns to ensure high quality test results of IT general Computer Controls (ITGCCs), infrastructure and application level testing.
- Counseled Senior Management as a member of the Sarbanes-Oxley (SOX) Program Office for the determination of critical SOX applications and evaluation of SOX control weaknesses.
- Led relationship with external audit Senior Management team.
- Developed and instructed formal training programs to enhance team knowledge base.
- Drove IT environment due diligence evaluations for bank mergers.
- Managed evaluation of IT risk and controls for system implementations.
- Oversaw audit risk profile update process to reflect changing corporate structure.
- Proactively drove and proposed improvements and changes to the audit methodology.
- Governed over the education and execution of third party SOX SSAE16 reviews.
- Upheld effective working relationships with staff, peers and client management.
- Ensured adherence to industry frameworks and regulatory mandates (SOX, COSO, COBIT, GLBA, FFIEC, ITIL, Dodd-Frank Prudential Standards, etc.).
- Interviewed candidates, assessed staff performance, and executed development and disciplinary action plans.
SYSTEMS AUDIT LEAD - Assistant Vice President
- Managed IT, operational and application internal control testing, formulated control weakness recommendations, and presented audit reports to management.
- Developed and executed annual Information Technology audit risk assessments.
- Identified system and operational risks for major application systems during corporate merger as Conversion and Implementation Team Member.
- Developed financial work flows, and identified related key systems, operational and system controls, control gaps, remediation steps and test of controls as SOX Origination Audit Team Lead.
- Evaluated third party vendor control environments through risk assessments, and assessed compliance with standards and regulations as Outsourcing Due Diligence Team Core Member.
Confidential, Detroit, Michigan
CONTROL ASSURANCE - SENIOR SYSTEMS CONSULTANT
- Developed audit plans, assessed risk, and evaluated controls for business continuity, system implementation, development and maintenance, and program change control.
- Performed security reviews on SAP, AS/400, UNIX, Windows NT, and IBM Mainframe platforms.
- Compiled client financial statements for 10-Q and 10-Ks.
- Performed control structure analysis on financial system implementations.
- Reviewed staff workpapers and completed staff performance evaluations.