Experience

LendingClub

• United States
• Financial Services
• 700 & Above Employee

• Lead Auditor

  • Jan 2022 - Present



Bank of America

• United States
• Banking
• 700 & Above Employee

• Business Finance & Control Product Associate

  • Nov 2019 - Dec 2021

  Reported to the Global Banking and Markets Finance team and provided support to the Americas (AMRS) Rates team, which serves clients by facilitating trading of government bonds and providing access to interest rate derivative products. -Proposed and managed the creation of the ‘Global Rates P&L Tableau’ reporting dashboard, resulting in ~400 hours saved per year. The dashboard streamlined weekly, monthly, and annual reporting and provided insight into key P&L drivers across Global Rates teams (e.g. Market risk indicators, new client revenue, and legal entity breakdown), ultimately improving data-driven decision making for business line executives. -Managed annual Sarbanes-Oxley audit with internal and external auditors for AMRS Rates team, resulting in a positive assessment. Ensured risk assessments and key controls were appropriately identified and documented; led walkthrough meetings to explain the current process and control environment. -Identified inaccuracies in month-over-month (MoM) shared revenues across AMRS Rates and Global Banking businesses, which led to misallocated revenues of ~$250K-$500K MoM. Resolved inaccuracies, designed new controls, and communicated results to business line executives, leading to more accurate reporting of shared revenues and stronger cross team partnerships. -Designed standard template (e.g. clearly defined control framework) for high risk manual processes and developed training to assist team members with conducting peer reviews of manual processes. This resulted in enhanced governance and control for high risk processes and facilitated cross training amongst the team. Show less



Wells Fargo

• United States
• Financial Services
• 700 & Above Employee

• Senior Auditor

  • Aug 2018 - Nov 2019

  Reported to the Wholesale Banking audit team and provided coverage across Capital Markets, Commercial Lending, and Commercial Real Estate.-Successfully led meetings with business partners to obtain a detailed walkthrough of the business functions, processes, and controls; resulting in control effectiveness findings.-Designed and executed testing for ‘Loan and Distressed Sales & Trading Closing,’ ‘Servicer Oversight,’ ‘Post-Purchase Lender Relations,’ and daily-covered fund reporting (Volcker Rule) to verify effectiveness of controls. This resulted in various control effectiveness findings and recommendations which were communicated to business partners in an effort to increase awareness of control effectiveness operation.-Completed issue and corrective action validations to ensure the root cause of the issue had been effectively addressed. Show less

• Operational Risk Specialist

  • Aug 2016 - Aug 2018

  Part of a two-year rotational program for the Wholesale Group Risk Office. Primary responsibility was to analyze data sets and provide meaningful insight to management to ensure oversight across Wholesale Banking lines of business (LOBs).-Identified and conducted research for Major Requirements (MRs) and associated risk controls in order to enhance consumer regulation test scripts (i.e. ADA Title III, State Telemarketing, Financial Elder Abuse).-Performed reviews of Regional and LOB MR relationships and provided feedback to management; resulted in awareness of total MRs accepted by regions on behalf of LOBs and the corresponding actionable issues attached to each MR. -Analyzed training data that provided business line executives with insight into the enterprise risk learning requirements, regional annual training plans, and LOB annual training plans for international risk. This presentation resulted in increased awareness of gaps in the training program across international risk.-Executed retrieval and preliminary analysis of training reporting, MR reporting, compliance testing findings, and internal audit findings. The analysis was presented to Wholesale Bank Regulatory Compliance (WBRC) management which influenced the creation of ‘Key Risk Indicator’ reporting. Show less