Experience

Texas National Bank

• United States
• Banking
• 1 - 100 Employee

• Assistant Vice President - Internal Staff Auditor

  • Jun 2022 - Present

  Assist Compliance Officer in all duties related in the application of the bank's Internal Audit and Compliance Program. To include performing financial, operational, and compliance audits, risk assessment and applying critical thinking skills to scenarios encountered related to regulatory findings and identify bank policy and procedures exceptions. Effectively communicate with business process managers to ensure identified audit exceptions and deficiencies are properly addressed in a timely and effective manner. Perform audit procedures to include developing criteria, reviewing and analyzing evidence, documenting processes and procedures. Conduct interviews, review documents, develop and conduct required test work, compose summary memos and prepare working papers. Maintain current knowledge of changes in banking and financial services related laws and regulations. Identify, develop and document audit issues and recommendations for improvement using independent judgement concerning areas being reviewed. Maintain good understanding of accounting and audit standards. Identify root causes and effectively communicate audit findings and recommendations to business process owners. Coordinate with external auditors in completion of annual financial audits and outsourced audits. Perform audit finding follow-ups with bank process owners to ensure corrective action has been effectively implemented as prescribed in audit reports. Conduct and/or assist in completion of special-request projects on an as-needed basis. Responsible for assisting and maintaining vendor management program. Show less



Vantage Bank Texas

• Compliance Auditor

  • Mar 2009 - Jun 2022

  Self-starter, quick learner. Plan, prepare, conduct regulatory compliance audits to include reviews of departmental policies and procedures. Determine operational compliance of departments by conducting fieldwork, including transactional testing to detect weakness or process violation of laws and regulatory requirements. Prepare work-papers to support conclusions based on audit results. Research, document and make recommendations on deficiencies and issues of non-compliance. Discuss findings and observations with Compliance Officer and Management. Prepare audit reports to communicate findings to executive management. Track deficiencies noted to ensure corrective action is taken in a timely fashion based on management responses. Conduct special audits or assignments as directed by Compliance Officer. Interact with organizational departments while addressing compliance matters and policy development, as well as providing counsel regarding compliance with banking laws. Provide routine employee assistance by advising on regulatory compliance management approaches and best practices. Help employees deal with routine and complex issues related to consumer compliance. Assist in analyzing regulatory changes, new rules and regulations to assess impact on the organization. Assist with the bank’s Community Development Act (CRA) data collection and submission of annual regulatory required reports. Take attendance, notes, maintain Minutes for Enterprise Risk Management (ERM) and Regulatory Compliance Committees. Administered the bank's training system used to conduct annual regulatory required employee training; to include updating training curriculum, employee profiles, issuing monthly reminders, and tracking and reporting on employee training status. Worked with vendor in migrating training data to a new training system, set up training curriculums, assign training to different job roles, employees, etc. Conduct presentations on audit results Committee. Show less



BBVA Compass

• Sr. Auditor/Administrative Officer

  • Dec 2007 - Jan 2009

  Lead audit assignments, to include assigning audit procedures to staff and review audit work to ensure objectives are met and audit results are properly supported with documentation. Ensure work assigned is performed within established deadlines or evaluate any needs for schedule adjustments. Conduct operational, compliance and financial audits to include risk assessment, planning and developing test procedures, preparing audit work-papers, making recommendations on identified audit concerns and drafting audit reports for distribution. Perform SOX compliance testing as required. Assist Audit Supervisor in reviewing audit reports when requested. Conducted (bank) branch audits throughout the U.S. as assigned. Show less



Texas State Bank

• Banking
• 1 - 100 Employee

• Staff Auditor

  • Feb 2007 - Dec 2007

  Responsibilities include performing financial, operational and compliance audits; to include risk assessment, planning and developing test procedures that will address and support possible issues identified and to make recommendations on those issues. Prepare audit work-papers and make recommendations for correcting unsatisfactory conditions, improving operations, reducing costs, and improving efficiency. Review policies and procedures to determine compliance with laws and regulations of departments and banking areas assigned for audit. Review internal controls and their adequacy in safeguarding company assets. Responsible for completing special assignments as required such as completing BBVA’s specific assigned areas of the financial audit plan to determine validity and correctness. Draft audit report for distribution to proper management. Perform SOX compliance testing as required. Show less



University of Texas - Pan American

• United States
• Higher Education
• 700 & Above Employee

• Auditor II

  • May 2005 - Aug 2006

  Responsible for internal audit assignments in accordance with established State and professional audit standards. Plan and execute assignments and provide written and oral reports to management. Serve as a consultant to management and perform other audit related activities as required. Perform operational, compliance and financial audits. Responsible for planning audit assignments to include risk assessment and scope of work to be performed. Other duties as assigned. Responsible for internal audit assignments in accordance with established State and professional audit standards. Plan and execute assignments and provide written and oral reports to management. Serve as a consultant to management and perform other audit related activities as required. Perform operational, compliance and financial audits. Responsible for planning audit assignments to include risk assessment and scope of work to be performed. Other duties as assigned.



Texas Medical Center

• United States
• Hospitals and Health Care
• 100 - 200 Employee

• Sr. Internal Auditor

  • Jan 2005 - Apr 2005

  Perform operational, compliance and financial audits. Responsible for planning audit assignments to include risk assessment, scope of work to be performed and staffing & time requirements. Conduct entrance and exit meetings with audit clients to communicate audit objectives and results. Manage client interaction and interviews including preparation of audit reports for distribution to management. Provide consulting on controls, business process optimization and risk management. Additional responsibilities included drafting the Audit Department’s Charter, Mission Statement and Procedures Manual as well as developing and implementing Departmental Quality Assurance Review practices for compliance with IIA Standards. Show less



Metropolitan Transit Authority (METRO)

• United States
• Hospitality
• 1 - 100 Employee

• Auditor II

  • Jul 2000 - Jan 2005

  Conduct operational, compliance and financial audits. Review assigned organizational and functional activities, evaluate the adequacy and effectiveness of management controls over those activities as well as conduct tests of controls and substantive tests of balances where applicable. Select and request audit samples to be tested and verify the accuracy and compliance of selected departmental activities. Determine whether organizational units are performing their planning, accounting, custodial, or control activities in compliance with management instructions, applicable state or federal regulations and METRO Policies and procedures. Prepare audit work-papers and make recommendations for correcting unsatisfactory conditions, improving operations, reducing costs, and improving efficiency. Perform other duties as assigned, such as assisting the IT Auditor when needed. Show less



Houston Community College

• United States
• Higher Education
• 700 & Above Employee

• ESL Adult Education Night Instructor

  • Feb 2001 - Jun 2002

  English as a Second Language (ESL) temporary part-time position as a night instructor for adult education. Served the function as an instructor for adult night classes; functions included teaching conversational English. In addition, I assisted students understand basic grammar and sentence structure. English as a Second Language (ESL) temporary part-time position as a night instructor for adult education. Served the function as an instructor for adult night classes; functions included teaching conversational English. In addition, I assisted students understand basic grammar and sentence structure.



Goodman Manufacturing Company, L.P.

• Staff Auditor

  • May 1999 - Jul 2000

  Perform individual Rebate Audits of company Distributors located throughout the U.S. Duties include but are not limited to performing audits of reports submitted for rebate, auditing of Distributor's bank deposits, Invoice Register, Cash Receipts Journal and G/L to determine validity of sales. Other duties include auditing out-boarding of sales and cost to specific programs such as High Efficiency, Large Contractors and Associate Distributors based on allowable program percentages. Assisted other auditors in audits requiring extensive work. In addition, assisted the inventory audit team when requested, to perform inventory audits at company distributors located throughout the U.S. Show less



University of Texas at Brownsville

• Higher Education
• 300 - 400 Employee

• Internal Auditor

  • Jun 1997 - May 1999

  Perform segments of the audit program, including tests of controls and substantive tests of balances when applicable. Prepare audit workpapers in conjunction with testing performed for audits. Select and request audit samples to be tested. Verify accuracy and compliance of selected departmental activities. Make recommendations for correcting unsatisfactory conditions, improving operations, reducing costs, and improving efficiency. Evaluate the system of internal controls at UTB departments to ensure that proper segregation of duties and appropriate authorizations and approvals exist. Perform other duties as requested such as special audits. Prepare summary of findings and suggest recommendations. Reconcile internal audit department accounts. Show less