San Francisco, California, United States
Risk and controls leader with over 25 years of operational and financial risk assessment and audit experience. Specialist in evaluating business processes, analyzing operational and financial risks, and implementing a strong RCSA and COSO Framework. Acute analytical person, with a wealth of financial services experience, a relationship builder, world traveler and go to source for getting the job done in a timely manner.
• Provided Operational Risk Management support to four international business lines, within the Asia Pacific and Australia regions of the Lending Operations Group. • Contributed to team coverage of engagements such as internal audits, external exams, and other control reviews. Ensure LOB awareness and preparations as applicable. • Led efforts for issues and corrective actions identified during engagements inclusive of root cause identification, issue intake, alignment of corrective actions as well as any related intake and closure requirements. • Communicated pipeline of engagements, issues, and any related requirements to ensure that all timelines are met. • Conducted risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology, and internal controls. • Partnered with business control managers to ensure that the RCSA and related risk and controls are maintained in alignment with any engagements/related issues and corrective actions. • Coordinated with business and support partners for creation of Self-Disclosed issues in Issues Management system of record.
• Support the build out RCSA and COSO frameworks risk and controls within the 1st Lines of Defense (LOD). • Streamline Operational Risk and Controls program activities across Commercial & Private Bank such as risk assessment, issue remediation, review and challenge, control execution and quarterly coordination of controls testing. • Lead walkthrough and prepare process / control owners to present their process and controls effectively with Financial Controls Office and internal, external auditors and other compliance groups. • Assess regulatory issues (such as regulation C, Z, & W) and partner with business owners to help articulate root cause, analyze actual and potential impact, develop correction plans, and conclude on final assessment. • Monitor and report on action plans associated with identified risk issues to ensure they are communicated and actioned within applicable timelines. • Propose changes to processes and controls to address Bank’s dynamic growth, supporting OCC and Fed oversight consent orders, and mitigation of new or complex risks.
• Performed control reviews and testing for MUFG 1st LOD Global Custody Services in alignment with RCSA framework. • Enhanced and assessed the effectiveness of business processes, risk, and controls. • Evaluated the design and operating effectiveness of key business controls. • Assisted with the coordination of SSAE 18 external control testing activities. • Contributed to the validation and closure of control issues identified through external testing activities.
• Performed RCSA control reviews and testing for the MUFG 1st LOD Global Trust Services Operational Risk control testing program. • Assessed the design of the control structure and environment. • Developed RCSA focused control tests scripts to assure trust operations activities were performed in compliance with bank and trust policies, procedures, and regulatory requirements. • Identified control and compliance issues, assessed operational processes, and documented related risk and recommended preventive and corrective action to management. • Prepared written reports summarizing the objectives, scope, findings, and conclusions for each assigned review. • Supported vault inventory activities within Northern and Southern California offices. • Assisted with the coordination of external control testing activities including: SSAE 18, OCC and SOX.
• Conducted operational and financial audits within Digital Channels and Wholesale Groups. • Led process walkthroughs and testing of SOX controls. • Managed remediation work related identified financial audit issues. • Implemented issues management program within Wells Fargo's Wholesale Banking Group. • Updated risk and controls repository databases within Digital Channels and Wholesale Groups. • Examined SSAE 18 SOC 1 Type 2 Reports for control gaps