Perform/manage audits for commercial and retail banking clients within prescribed budgets, with focus on operational, compliance, lending, treasury and credit risks.
• Assess the control environment, including the identification and testing of existing controls, and provide assistance in the development of value-added controls.
• Communicate findings and recommendations to management as identified.

Led and developed a team of risk professionals to manage regulatory engagement and review activities focused on the Wells Fargo Compliance, Financial Crime, Conduct Risk, and Independent Testing and Validation (IT&V) groups within Corporate Risk.
• Served as point of contact for regulators (OCC, FRB, CFPB and FDIC) and provided regulatory engagement expertise to Compliance (Retail, Consumer Lending, Commercial, and Investment Bank), Financial Crime, Conduct Risk, and IT&V teams.
• Assisted in establishment and execution of corporate regulatory engagement strategy.
• Promoted effective regulatory and internal audit relationships.
• Led or coordinated exam activities per policy and procedures (supervisory meetings, information requests, regulatory exam issues, management of deliverables/responses, notification of material events, and protection of confidential supervisory information).
• Aggregated information and provided reporting to senior management.
• Influenced and negotiated

Barclays Bank Delaware (BBDE) Oversaw implementation of enhanced Compliance Management System with accountability for compliance program and internal control functions oversight, including reporting, compliance risk assessment and RCSA management, oversight of training program, 2nd line problem / issue management, exam and audit management, Conduct Risk reporting and monitoring, and business continuity management.
• Served as Secretary to BBDE Board, assisting in preparation for various board and board committee meetings, maintaining minutes and records of board and committee meetings and liaising with board and committee members, and producing new and / or improved materials and dashboards.
• Directed implementation of enhanced Compliance intranet site, regulatory compliance policies and internal Compliance reporting and information dashboard.

Managed activities of audit function to ensure adequate assessment of control environment and minimization of control failures, including development and maintenance of annual audit plan and risk assessment model. Plan included coverage of regulatory compliance audits as well as all operational, financial, and IT areas for $30B+ asset consumer bank (part of $1T+ asset parent company).
• Maintained high level of quality, clarity, and timeliness within all audit function efforts and communication, including audit reports, workpaper documentation, and issue tracking and management, thus enhancing reputation and credibility of audit function.
• Managed and enhanced external relationships with parties such as outsourcing / co-sourcing audit entities, regulatory agencies (CFPB, FRB, FDIC and the State of Delaware), and independent accountants which assisted in creating trusted relationships.
• Implemented local instance of company-wide regulatory engagement/exam and issue tracking system.