Internal Audit Supervisor
Managed and executed operational, financial, SOX, regulatory audits, and Anti-Money laundering (AML) investigations across banking and mortgage lines of business. Conducted and analyzed risk assessments, developed audit and investigative programs, conducted interviews, gathered and reviewed data, and reported results to senior leadership.
- Successfully managed and mentored six auditors while overseeing enterprise-wide internal audits and investigations.
- Identified process and control improvements for Bank Secrecy Act/Customer Identification Process (BSA/CIP) reporting requirements, resulting in enhanced exception awareness.
- Planned, managed, and executed the following audits: BSA/AML, Countrywide Investment Services, Lending Compliance, Retail Deposit Quality Services Management, Regulation W, and Community Reinvestment Act.
- Conducted AML investigations associated with bank accounts for non-profit businesses resulting in identification of suspicious deposits.
- Assisted senior management in the preparation for the bank's Office of Comptroller of Currency (OCC) audits.
- Implemented automated Home Mortgage Disclosure Act (HMDA) and BSA/CIP testing for Continuous Controls Monitoring (CCM).