Director of Internal Audit

• Jan 2023 - Present

Internal Audit Manager

• Jun 2022 - Jan 2023

• Conduct audits of the Credit Union to assess the effectiveness of controls, accuracy of financial records and efficiency of operations; test design and effectiveness of controls, Track remediation to validation completion, provide documentation of the Credit Union's internal control systems; report findings and make recommendations • Develops and implements the annual risk assessment/internal audit plan by evaluating its operating controls, guidelines, and processes • Schedules audits… Show more • Conduct audits of the Credit Union to assess the effectiveness of controls, accuracy of financial records and efficiency of operations; test design and effectiveness of controls, Track remediation to validation completion, provide documentation of the Credit Union's internal control systems; report findings and make recommendations • Develops and implements the annual risk assessment/internal audit plan by evaluating its operating controls, guidelines, and processes • Schedules audits and conducts unannounced operational audits - provides adequate test work, conducts related discussions with management, develops recommendations and coordinates responses to third party auditors • Performs assigned audit procedures and recommends enhancements to the Credit Union's operating systems • Coordinates regulatory examinations with federal regulators, external auditors and other third parties • Informs executive management and the Supervisory Committee of department activities and any significant problems • Presents annual audit work plan to the Supervisory Committee for review and approval • Develops, maintains, and implements internal auditing policies, procedures and programs • Conducts special investigations or audits as requested by the Supervisory Committee, SVP/CFO and/or CEO

Corporate Audit Manager

• Oct 2021 - Jun 2022

• Oversee the execution of associates with the annual audit plan to ensure timely completion. • Meet with process owners/management to discuss business objectives. • Interview executive and senior management annually for determining risks and updating risk assessment and audit plan. • Oversee/track management responses and corrective action plans for timely remediation. • Organize/maintain departmental documentation. • Develop/maintain departmental policies and… Show more • Oversee the execution of associates with the annual audit plan to ensure timely completion. • Meet with process owners/management to discuss business objectives. • Interview executive and senior management annually for determining risks and updating risk assessment and audit plan. • Oversee/track management responses and corrective action plans for timely remediation. • Organize/maintain departmental documentation. • Develop/maintain departmental policies and procedures. • Prepare final reports & present audit findings to management. • Perform special projects requested by the VP of Internal Audit. Show less • Oversee the execution of associates with the annual audit plan to ensure timely completion. • Meet with process owners/management to discuss business objectives. • Interview executive and senior management annually for determining risks and updating risk assessment and audit plan. • Oversee/track management responses and corrective action plans for timely remediation. • Organize/maintain departmental documentation. • Develop/maintain departmental policies and… Show more • Oversee the execution of associates with the annual audit plan to ensure timely completion. • Meet with process owners/management to discuss business objectives. • Interview executive and senior management annually for determining risks and updating risk assessment and audit plan. • Oversee/track management responses and corrective action plans for timely remediation. • Organize/maintain departmental documentation. • Develop/maintain departmental policies and procedures. • Prepare final reports & present audit findings to management. • Perform special projects requested by the VP of Internal Audit. Show less

Audit Manager

• Dec 2014 - Oct 2021

o Developed Audit Department from inception; revised process from Operational and Compliance Audits to include Financial and IT Audits utilizing a process level risk-based approach where we establish the control is working efficiently and effectively and ensure financial information is accurate and valid; partnered with business units during $300 million portfolio to $2.5 billion portfolio growth. o Collaborated with IT to develop / implement automated Issue & Event Tracker as an Audit… Show more o Developed Audit Department from inception; revised process from Operational and Compliance Audits to include Financial and IT Audits utilizing a process level risk-based approach where we establish the control is working efficiently and effectively and ensure financial information is accurate and valid; partnered with business units during $300 million portfolio to $2.5 billion portfolio growth. o Collaborated with IT to develop / implement automated Issue & Event Tracker as an Audit Project via Power BI Application o Prepare risk assessment, Control Matrix, Test design and effectiveness of controls, Track remediation to validation completion, periodically test all controls documented in Control Matrix to ready the organization for SOX Compliance o Identify and manage organization risks o Produce reports highlighting issues and providing potential solutions o Actively engage senior staff to gain understanding of the business strategy o Supervise, coach and develop junior members of staff o Ensure compliance with internal (audit methodology and risk management) and external (regulatory) requirements o Communicate audit findings and prepare/approve final reports for presentation to Executive Risk Committee o Member of the Associate Engagement Team Show less o Developed Audit Department from inception; revised process from Operational and Compliance Audits to include Financial and IT Audits utilizing a process level risk-based approach where we establish the control is working efficiently and effectively and ensure financial information is accurate and valid; partnered with business units during $300 million portfolio to $2.5 billion portfolio growth. o Collaborated with IT to develop / implement automated Issue & Event Tracker as an Audit… Show more o Developed Audit Department from inception; revised process from Operational and Compliance Audits to include Financial and IT Audits utilizing a process level risk-based approach where we establish the control is working efficiently and effectively and ensure financial information is accurate and valid; partnered with business units during $300 million portfolio to $2.5 billion portfolio growth. o Collaborated with IT to develop / implement automated Issue & Event Tracker as an Audit Project via Power BI Application o Prepare risk assessment, Control Matrix, Test design and effectiveness of controls, Track remediation to validation completion, periodically test all controls documented in Control Matrix to ready the organization for SOX Compliance o Identify and manage organization risks o Produce reports highlighting issues and providing potential solutions o Actively engage senior staff to gain understanding of the business strategy o Supervise, coach and develop junior members of staff o Ensure compliance with internal (audit methodology and risk management) and external (regulatory) requirements o Communicate audit findings and prepare/approve final reports for presentation to Executive Risk Committee o Member of the Associate Engagement Team Show less

Sr. Compliance Administrator

• Feb 2010 - Nov 2014

 (9/14 – 11/14) Sr. Compliance Administrator o Manage flow of regulatory complaints and initiate analysis of root causes to mitigate risk and exposure o Review and approve State and Federal regulatory responses of Complaints & Formal Inquiries drafted by the Compliance Team o Represent company in mediated calls with customers arranged by regulatory agencies o Train Compliance staff on job duties; approve ad hoc customer letter templates developed by operational… Show more  (9/14 – 11/14) Sr. Compliance Administrator o Manage flow of regulatory complaints and initiate analysis of root causes to mitigate risk and exposure o Review and approve State and Federal regulatory responses of Complaints & Formal Inquiries drafted by the Compliance Team o Represent company in mediated calls with customers arranged by regulatory agencies o Train Compliance staff on job duties; approve ad hoc customer letter templates developed by operational units o Collaborate with operations relating to process revision / approval  (5/11 – 9/14) Compliance Auditor II o Complete audits of financial, compliance, and operational units including mortgage and auto lending o Develop departmental policies and procedures and annual audit plan o Foster a teamwork environment as Senior Auditor to ensure an atmosphere of cooperation among auditors and clients o Prepare and present audit reports to management and the Executive Audit Committee o Organize, plan and carry out the internal audit function including planning, scheduling work, training auditors, and estimating resource needs  (2/10 - 5/11) Litigation Administrator o Process Counterclaims and Discovery for Legal Servicer Network related to customer accounts by answering opposing counsel questions within Legal parameters and providing appropriate documentation relating to civil suits o Settle Attorney Demands to mitigate loss and risk o Review vendor NDA / Assessments / Contracts for onboarding / renewals o Custodian of Records - testify as expert witness in U.S. Civil Court customer cases Show less  (9/14 – 11/14) Sr. Compliance Administrator o Manage flow of regulatory complaints and initiate analysis of root causes to mitigate risk and exposure o Review and approve State and Federal regulatory responses of Complaints & Formal Inquiries drafted by the Compliance Team o Represent company in mediated calls with customers arranged by regulatory agencies o Train Compliance staff on job duties; approve ad hoc customer letter templates developed by operational… Show more  (9/14 – 11/14) Sr. Compliance Administrator o Manage flow of regulatory complaints and initiate analysis of root causes to mitigate risk and exposure o Review and approve State and Federal regulatory responses of Complaints & Formal Inquiries drafted by the Compliance Team o Represent company in mediated calls with customers arranged by regulatory agencies o Train Compliance staff on job duties; approve ad hoc customer letter templates developed by operational units o Collaborate with operations relating to process revision / approval  (5/11 – 9/14) Compliance Auditor II o Complete audits of financial, compliance, and operational units including mortgage and auto lending o Develop departmental policies and procedures and annual audit plan o Foster a teamwork environment as Senior Auditor to ensure an atmosphere of cooperation among auditors and clients o Prepare and present audit reports to management and the Executive Audit Committee o Organize, plan and carry out the internal audit function including planning, scheduling work, training auditors, and estimating resource needs  (2/10 - 5/11) Litigation Administrator o Process Counterclaims and Discovery for Legal Servicer Network related to customer accounts by answering opposing counsel questions within Legal parameters and providing appropriate documentation relating to civil suits o Settle Attorney Demands to mitigate loss and risk o Review vendor NDA / Assessments / Contracts for onboarding / renewals o Custodian of Records - testify as expert witness in U.S. Civil Court customer cases Show less

Armed Responder

• Feb 2009 - Feb 2010

• Operated state of the art security systems responsible for monitoring and protecting the Nuclear Plant. • Obtained National Security Clearance through the Nuclear Regulatory Commission. • Operated state of the art security systems responsible for monitoring and protecting the Nuclear Plant. • Obtained National Security Clearance through the Nuclear Regulatory Commission.

Chief of Police

• Feb 1998 - May 2002

* Responsible for recruiting, hiring, and training new employees as well as disciplinary procedures in regards to SC State Policy. * Purchasing and planning in regards to budgeting and procuring fleets of vehicles and equipment in excess of one million dollars annually. * Project Manager for special events and community programs. * Grants Coordinator for State and Federal Programs (drafting, negotiating, and managing). * Responsible for recruiting, hiring, and training new employees as well as disciplinary procedures in regards to SC State Policy. * Purchasing and planning in regards to budgeting and procuring fleets of vehicles and equipment in excess of one million dollars annually. * Project Manager for special events and community programs. * Grants Coordinator for State and Federal Programs (drafting, negotiating, and managing).