Tenacious Operational Risk Consultant successfully develops and maintains comprehensive processes to identify and reduce operational risk across business units. Collaborates with functional leaders and subject matter experts to drive initiatives that contribute to long-term operational excellence. Analyzes operational policies and procedures to align improvement to performance shortfalls.
Proactive Operational Risk Consultant proficient in completing risk and impact assessments and utilizing collected information to devise effective plans and business structures. Competent in readying employees with use of exercises and training programs, documenting feedback and adjusting plans to account for changing conditions. Desire career-oriented position dedicated to transformational projects.
Capable Business Risk Analyst with background reviewing department-level requirements and building strategic approaches to planning for disasters, managing recovery and mitigating risks. Focused on consistently and correctly applying policies while fastidiously handling every detail. Demonstrated success in working with financial services and healthcare companies.
Seasoned auditing professional knowledgeable about risk aversion strategies, cost reduction options and financial processes. Decisive and persuasive communicator with proven problem-solving, leadership and planning abilities.
Detailed Audit Manager skilled in technology assessments and risk management to prevent fraud. Experienced with developing internal controls and audit policies.
Experienced Auditor focused on improving business compliance, workflow and processes through detailed audits and optimization recommendations. Successful track record of fully evaluating information, structures and procedures and initiating corrective actions.
- JAD Facilitation, RAD, Scrum/Agile Software Development Methodology
- Business Continuation Planning (BCP)
- Information Security/Corporate Security Compliance risk assessments
- Exposure to managing multiple, large-scale multi-vendor projects within software development environments
- Business process re-engineering knowledge
- Control Objectives for Information and related Technology (COBIT)
- Federal Financial Institutions Examination Council (FFIEC), Sarbanes-Oxley Compliance (SOX), Health Insurance Portability & Accountability Act (HIPAA) Compliance, Gramm Leach Bliley Act (GLBA) & Payment Card Industry Data Security Standards (PCI-DSS)
- Compliance Monitoring
- Internal Audit Administration
- Annual Audit Plans
- Risk management
- Audit management
- Root Cause Analysis
- Risk Assessment
- Internal Controls
- Strong written and verbal communication skills
- Coaching and mentoring experience
CIA - Certified Internal Auditor
CISA - Certified Information Systems Auditor
PMP - Project Management Professional
City, STATE, 05/2007 - Current
- Performed risk assessments with business process mapping for high-risk business processes across organizational boundaries within Wells Fargo Technology (WFT) line of business.
- Led several high-profile Rapid Risk Assessments and established effective working relationships with WFT risk partner teams who now view rapid risk assessment process as mechanism to identify gaps, encourage credible challenge and document issues/enhancements in timely manner thereby improving efficiency by 50%.
- Led Project Management-Project Control business process risk management (BPRM) effort and assisted WFT project management office (PMO) subject matter experts (SME) with understanding business process mapping, risks and controls while developing and communicating recommendations which influenced senior management on controls to mitigate risk in project management environment resolving four high-profile corrective actions.
- Performed technology risks assessments for Global Delivery Risk organization focused on identification of controls, monitoring for emerging risks, providing recommendations for control enhancements to mitigate risk and credibly challenging off-shoring risks.
- Provided recommendations and feedback to Global Delivery Risk organization for risk assessment process improvements and program enhancements thereby improving efficiency by 20%.
- Assessed and facilitated remediation of Information Security risks associated with workstation administrative rights, persistent privileged access, technology audits and technology transitions to Enterprise Global Services/Third-Party global providers.
- Provided support for remediation efforts tracked through Shared Risk Platform (SHRP) for Audits and Examinations impacting WFT business risk and controls.
- Provided recommendations for development and implementation of technology risk policy, procedure, process and control enhancements to Senior Management.
- Performed cross-functional risk assessments, compliance control testing and monitoring to assure compliance with applicable regulatory and internal policy requirements.
- Supervised high priority audit to assess remediation and validation of adequacy of policies, processes, and practices to support Secure Software Development Program including evaluation of managementās implementation of measures taken to ensure development teams consistently follow program requirements, to support migration of secure code into production environment.
- Supervised project audit of Distributed Ledger Technology (DLT) platform buildout capable of hosting internal business applications on internal Wells Fargo network of nodes to support Wells Fargo āblock chainā technology enabling bank to avoid paying third-party SWIFT fees by implementing true book transfer capability between internal organizations and legal entities.
- Interrogated system controls, developed test plans, assessed risks, managed multiple audit engagements, assigned tasks, managed issue notification, generated audit reports and led client communications for technical infrastructure assurance and project audits.
- Escalated significant risks and loss exposures to appropriate levels of management.
- Provided instruction and mentoring for subordinate audit staff regarding appropriate work paper documentation, business analysis, risk assessment and corporate policy compliance.
- Developed core knowledge of operating systems, networks, business application processing environments and database management systems as required to assess information security risks for Customer Deposit, Community Banking and Third Party audits.
- Assessed Internet and Telephone Banking security risks across multiple lines of business for Federal Financial Institutions Examination Council (FFIEC) Authentication Guidance Remediation Banking audit.
- Developed test strategies to evaluate effectiveness of policies, procedures, processes, systems and internal controls while working with multiple departments within Technology Operations and across multiple lines of business.
- Developed and performed Internal Audit Project Audit Coverage Coordination through redesign and redevelopment of project audit methodology, project audit procedures, project audit standard audit programs and auditor training program.
- Monitored initial risk assessments, performed QA on completed technology project audit work, and consolidated monthly Director and quarterly A&E reporting metrics.
- Implemented process control improvements for software change/release management policy and procedures based on Software Development Life Cycle methodology.
City, STATE, 01/2005 - 03/2007
- Promoted enterprise-level risk management practices and helped instill strong culture focused on protective policies and procedures.
- Developed short-term goals and long-term strategic plans to improve risk control and mitigation.
- Developed risk assessment matrices and templates to increase visibility of risks and facilitate decision making thereby improving efficiency by 20%.
- Implemented and managed controls to comply with laws and regulations, agreements and standard operating procedures.
- Diagrammed and evaluated existing processes to identify gaps and devise solutions.
- Identified control gaps in processes, procedures and systems through in-depth research and assessment and suggested methods for improvement.
- Identified management control weaknesses and provided value added suggestions for remediation.
- Developed and implemented corrective actions to bring business areas in line with standards.
- Developed and enforced audit policies and administrative and technical functions improving auditor efficiency by 25%.
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Resume Overview
School Attended
- Regis University
- National University
- University of Colorado
Job Titles Held:
- Audit Manager, Operational Risk Consultant
- Tech Business Risk Analyst, IT Senior Auditor
Degrees
- Master of Science
- MBA
- Bachelor of Science
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