Experience

Santa Cruz County Bank

• United States
• Banking
• 1 - 100 Employee

• AVP, Internal Controls Manager

  • Mar 2021 - Present



Grant Thornton LLP (US)

• United States
• Accounting
• 700 & Above Employee

• Senior Internal Auditor

  • Nov 2020 - Mar 2021



Franklin Templeton

• United States
• Financial Services
• 700 & Above Employee

• Enterprise Risk Management Reporting Consultant

  • 2019 - 2019

  Leading the annual risk assessment process, I provided enterprise-level internal controls testing in areas of focus including COSO Principals such as organizational commitment to integrity and individual accountability. • Performed internal controls testing on recent acquisitions and valuation to mitigate risk through acquisition and integration processes. Drafted audit observations for review by organizational leaders/stakeholders. • Effectively managed audit process while ensuring Sarbanes Oxley (SOX) compliance. Show less



Federal Home Loan Bank of San Francisco

• United States
• Banking
• 200 - 300 Employee

• Senior Auditor

  • 2018 - 2019

  As leader of the annual incentive compensation audit, I developed and updated the current year audit program, deployed TeamMate audit management software, performed audit test steps, and drafted/presented audit findings. • Performed Annual SOX enterprise-level testing, partnering with Financial Controls group to identify issues and validate action plans. • Collaborated with Chief Auditor to create key performance metrics for audit report to Board of Directors. As leader of the annual incentive compensation audit, I developed and updated the current year audit program, deployed TeamMate audit management software, performed audit test steps, and drafted/presented audit findings. • Performed Annual SOX enterprise-level testing, partnering with Financial Controls group to identify issues and validate action plans. • Collaborated with Chief Auditor to create key performance metrics for audit report to Board of Directors.



Enterprise Risk Management & Audit Services

• San Francisco Bay Area

• Senior Auditor & Risk Consultant

  • 2014 - Dec 2018

  Serving as a strategic partner to business executives and internal teams, I worked with the organization to mitigate risk and ensure compliance with guiding state and federal regulations. Select client engagements are included within the experience section below. • Led planning and execution of internal audits in accordance with IIA standards and IAD policies; led audit meeting and scoping discussions, collaborating with team to track audit status and resolve issues. • Delivered support and training to team members firm-wide to ensure full understanding and adoption of risk-deterrent behaviors and best practices. Show less



MUFG

• Japan
• Financial Services
• 700 & Above Employee

• Enterprise Risk Management Consultant

  • 2018 - 2018

  • Partnered with Enterprise Risk Management (ERM) to prepare report enabling bank-wide compliance with new regulatory-heightened standards, with central focus on challenging risk register rating. • Delivered test work including interviewing key stakeholders and documenting risk management protocols to validate effectiveness of divisional compliance with new standards rigor. • Partnered with Enterprise Risk Management (ERM) to prepare report enabling bank-wide compliance with new regulatory-heightened standards, with central focus on challenging risk register rating. • Delivered test work including interviewing key stakeholders and documenting risk management protocols to validate effectiveness of divisional compliance with new standards rigor.



State Street

• United States
• Financial Services
• 700 & Above Employee

• Senior Auditor Financial Reporting

  • 2017 - 2018

  • Prepared hedge fund financial statements for State Street client, BlackRock, under stringent deadline. • Drafted footnotes to ensure appropriate language based on book type. Performed cross-checks on applicable totals throughout book and reviewed statements for reasonableness and appropriateness. • Prepared hedge fund financial statements for State Street client, BlackRock, under stringent deadline. • Drafted footnotes to ensure appropriate language based on book type. Performed cross-checks on applicable totals throughout book and reviewed statements for reasonableness and appropriateness.



TD

• Canada
• Banking
• 700 & Above Employee

• Senior Consultant

  • 2016 - 2017

  • Guided TD Bank formation of four-person governance team focused on Dodd Frank compliance. Built methodology, process, and team from ground up. • Performed end-to-end risk analysis, interviewed control owners, completed process flows, updated test scripts, and tested design and operational effectiveness to comply with government regulatory reporting. • Completed test work including traceability, data profiling, creation of rules, and reconciliation. • Guided TD Bank formation of four-person governance team focused on Dodd Frank compliance. Built methodology, process, and team from ground up. • Performed end-to-end risk analysis, interviewed control owners, completed process flows, updated test scripts, and tested design and operational effectiveness to comply with government regulatory reporting. • Completed test work including traceability, data profiling, creation of rules, and reconciliation.



National Grid

• United Kingdom
• Utilities
• 700 & Above Employee

• Senior Auditor Operational Controls Testing

  • 2016 - 2016

  • Led high-impact new audit for project funding division, consisting of developing test plan, executing test work, and presenting findings to senior leadership to guide strategic decision making. • Delivered audit results and recommendations that prompted significant improvements across multiple divisions, including business structure behind new contact implementation. • Led high-impact new audit for project funding division, consisting of developing test plan, executing test work, and presenting findings to senior leadership to guide strategic decision making. • Delivered audit results and recommendations that prompted significant improvements across multiple divisions, including business structure behind new contact implementation.



Bank of the West

• United States
• Banking
• 700 & Above Employee

• Senior Auditor Financial Controls Testing

  • 2014 - 2015

  • Planned and executed COSO mapping for corporate controls. Designed test steps and tested controls in compliance with best practices. • Planned and executed COSO mapping for corporate controls. Designed test steps and tested controls in compliance with best practices.



KPMG US

• United States
• Financial Services
• 700 & Above Employee

• Senior Internal Auditor Risk and Compliance Services

  • 2014 - 2014

  I planned and executed internal audits for financial services clients the across east and west coast, focused on testing internal controls, Bank Secrecy Act/Anti-Money Laundering (BSA/AML) compliance, project management, risk assessment, operational effectiveness, and SOX 404 compliance. • Trained new team members of KPMG best practices including work paper review, coaching/mentoring, and resource management. • Recognized for in-depth knowledge of audit best practices in internal audit and controls over financial reporting, serving as trusted advisor to commercial banking, asset management, and wealth management/ trust industries. Show less



Citizens

• United States
• Banking
• 700 & Above Employee

• Audit Manager

  • 2009 - 2013

  Serving as international and domestic internal audit lead within the Commercial Markets group, I delivered guidance and insight into commercial banking operational credit processes and loan syndication, asset finance, business capital, government banking, and international trade operations. • Presented audit findings to executive leaders and guided strategic planning for remediation in response to audit findings. Tracked and validated business partner’s remediation through follow-up testing. • Oversaw team of six audit professionals. Coached and mentored new hires to assess career goals and build professional development plans/projects that supported attainment while promoting business objectives. • Attained recognition for building strong client relationships and delivering results on time and on budget. • Developed strong knowledge of AML OFAC audit focused on international trade. Show less



KPMG UK

• United Kingdom
• Accounting
• 700 & Above Employee

• Senior Internal Auditor Risk and Compliance Services

  • 2006 - 2008

  I successfully performed internal audits of front- and back-office operations for capital market areas of top-tier investment companies, partnering with clients to strengthen controls and mitigate risk. • Led assessment of portfolio management, trading operations, pricing, vendor management, and cash/holding reconciliations. • Planned and executed SOX testing for clients to ensure compliance, encompassing review and update of controls matrix. Reported findings to senior leaders, guiding remediation and action plans. • Oversaw independent quality assessment review (QAR) for Mizuho Bank audit department. Assessed 30+ audit reports to ensure findings were well-supported, clear, and consistent. Identified and recommended high-impact findings as key focus areas. • Performed IT audit SAS 70 for large credit card processing company, enabling pursuant sale of business. Show less