Shaquill Smith, CISA
Enterprise Risk and Compliance Manager at Retirement Clearinghouse- Claim this Profile
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English Native or bilingual proficiency
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German Elementary proficiency
Topline Score
Bio
Credentials
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Microsoft Access Specialist
MicrosoftFeb, 2014- Oct, 2024 -
Microsoft Excel Expert
MicrosoftFeb, 2014- Oct, 2024 -
Microsoft PowerPoint Specialist
MicrosoftFeb, 2014- Oct, 2024 -
Microsoft Word Expert
MicrosoftFeb, 2014- Oct, 2024 -
ITIL Foundations
EXINJun, 2013- Oct, 2024 -
I.A.F.S. Certified Personal Trainer
International Association of Fitness ScienceJun, 2014- Oct, 2024 -
Certified Information Systems Auditor® (CISA)
ISACAJul, 2018- Oct, 2024
Experience
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Retirement Clearinghouse
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United States
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Financial Services
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1 - 100 Employee
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Enterprise Risk and Compliance Manager
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Mar 2023 - Present
• Reviews, analyzes and interprets audit and compliance requirements for various departments, including NIST and FedRAMP compliance. • Designs and develops programs, policies and practices to ensure that the organization complies with federal, state, and local regulatory requirements. • Manages the monitoring of business activities for compliance with applicable rules and regulations. • Tracks relevant regulations and coordinates updates to operating manuals, policies, and procedural… Show more • Reviews, analyzes and interprets audit and compliance requirements for various departments, including NIST and FedRAMP compliance. • Designs and develops programs, policies and practices to ensure that the organization complies with federal, state, and local regulatory requirements. • Manages the monitoring of business activities for compliance with applicable rules and regulations. • Tracks relevant regulations and coordinates updates to operating manuals, policies, and procedural documents when regulations change. • Coordinates implementation and training regarding new or updated policies and procedures when required. • Assists in the design and administration of audit policy and procedures. • Prepares compliance reports for internal management and regulatory agencies as required. • Serves as point of contact and coordinates materials and responses to external auditors. • Leads assessment of and manages the evaluation of new and existing vendors and establishes techniques for review of vendor compliance. • Coordinates and compiles responses to vendor compliance questionnaires. • Coordinates with internal stakeholders to demonstrate the implementation of security compliance control implementations for technical, management, and operational requirements. • Manages onsite assessments and coordinate with external auditors • Special projects as requested.
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Sr. Risk & Compliance Analyst
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Dec 2021 - Mar 2023
• Management of compliance/audit activities as assigned in relation to Sarbanes Oxley IT Control Framework, Service Operation Control audits. • Manage internal/external audit engagements and third-party business reviews, contract compliance reviews. • Partner with stakeholders, including process owners and control officers, to document controls, enhance control language, and ensure test scripts that validate controls are being performed in compliance with policies, procedures, and… Show more • Management of compliance/audit activities as assigned in relation to Sarbanes Oxley IT Control Framework, Service Operation Control audits. • Manage internal/external audit engagements and third-party business reviews, contract compliance reviews. • Partner with stakeholders, including process owners and control officers, to document controls, enhance control language, and ensure test scripts that validate controls are being performed in compliance with policies, procedures, and regulatory requirements to mitigate operational and technology risk to the company. • Implement timely control testing for multiple in-scope processes across various business entities; conclude on the operating effectiveness of controls to mitigate risks and control objectives within aligned processes. • Validate implementation of control testing of controls based on internal and industry standards and guidelines. • Conduct control assessments first time and ongoing to support necessary compliance activities and prepare meaningful documentation to support testing conclusions. • Track and coordinate the execution of policy and standards control testing activities. • Ensure control testing is in alignment with broader risk assessment activities and remediation. • Create synergies by identifying opportunities to repurpose control testing results to satisfy assessment requirements • Provide ongoing communication to internal stakeholders throughout the testing process to keep them apprised of progress and findings, escalating when appropriate • Prepare written reports that summarize the objectives, scope, findings, and conclusions for each assigned review • Support iterative review and challenge of assessment results, working with appropriate stakeholders across the lines of defense • Support adoption of automated testing platform by identifying controls for inclusion and respective prerequisites and logic for automated testing • Coordinate required meetings, reviews, and scheduling needs
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Self
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Charlotte, North Carolina Area
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Certified Personal Trainer
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Jun 2014 - Present
Provide fitness consultation to clients. Developed personalized workout and nutrition plans for clients. Utilized motivational techniques for clients to achieve fitness goals, ideal image, and increase self-esteem. Provide fitness consultation to clients. Developed personalized workout and nutrition plans for clients. Utilized motivational techniques for clients to achieve fitness goals, ideal image, and increase self-esteem.
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Ally
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United States
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Financial Services
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700 & Above Employee
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Analyst II - IT/Cyber Risk
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Jan 2019 - Dec 2021
• Perform Independent Risk Management testing for key IT/IS controls which includes assessing the design and operating effectiveness of the control structure and compliance with policies and standards • Document test results and provide support for an informed, objective opinion of the risk exposure • Draft testing observations and provide recommendations to management both verbally and in writing • Review management action plans to assess effectiveness of proposed remediation and… Show more • Perform Independent Risk Management testing for key IT/IS controls which includes assessing the design and operating effectiveness of the control structure and compliance with policies and standards • Document test results and provide support for an informed, objective opinion of the risk exposure • Draft testing observations and provide recommendations to management both verbally and in writing • Review management action plans to assess effectiveness of proposed remediation and appropriateness of the timeline • Identify emerging technology risks and lead the dialog among stakeholders to ensure that these risks are considered for entry into the IT risk register Show less • Perform Independent Risk Management testing for key IT/IS controls which includes assessing the design and operating effectiveness of the control structure and compliance with policies and standards • Document test results and provide support for an informed, objective opinion of the risk exposure • Draft testing observations and provide recommendations to management both verbally and in writing • Review management action plans to assess effectiveness of proposed remediation and… Show more • Perform Independent Risk Management testing for key IT/IS controls which includes assessing the design and operating effectiveness of the control structure and compliance with policies and standards • Document test results and provide support for an informed, objective opinion of the risk exposure • Draft testing observations and provide recommendations to management both verbally and in writing • Review management action plans to assess effectiveness of proposed remediation and appropriateness of the timeline • Identify emerging technology risks and lead the dialog among stakeholders to ensure that these risks are considered for entry into the IT risk register Show less
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The Citco Group Limited
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Cayman Islands
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Financial Services
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700 & Above Employee
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IT Compliance Analyst
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May 2015 - Dec 2018
• Coordinate operational controls effectiveness testing across the IT division and with teams outside of the IT division as required. • Provide intake, review, oversight, and tracking in support of Internal audit functions. • Support the remediation of results from IT Security reviews and tests. • Support a yearly cycle of policy and procedure reviews to ensure process currency. • Ensure that IT quality and risk metrics are collected and compliled. • Ensure that the Group Risk… Show more • Coordinate operational controls effectiveness testing across the IT division and with teams outside of the IT division as required. • Provide intake, review, oversight, and tracking in support of Internal audit functions. • Support the remediation of results from IT Security reviews and tests. • Support a yearly cycle of policy and procedure reviews to ensure process currency. • Ensure that IT quality and risk metrics are collected and compliled. • Ensure that the Group Risk Management Framework, policies and procedures are adhered to by the IT division. • Support the development and execution of an annual schedule of application risk assessments, control objective, and IT “risk theme” assessments including track mitigating actions and communicate results. • Continually review and mature the key risk indicators being monitored by the IT divisions. • Perform trend analysis and problem reviews and make recommendations for improvement and/or prevention of weaknesses noted by Internal audit, Risk management, and IT Security. Show less • Coordinate operational controls effectiveness testing across the IT division and with teams outside of the IT division as required. • Provide intake, review, oversight, and tracking in support of Internal audit functions. • Support the remediation of results from IT Security reviews and tests. • Support a yearly cycle of policy and procedure reviews to ensure process currency. • Ensure that IT quality and risk metrics are collected and compliled. • Ensure that the Group Risk… Show more • Coordinate operational controls effectiveness testing across the IT division and with teams outside of the IT division as required. • Provide intake, review, oversight, and tracking in support of Internal audit functions. • Support the remediation of results from IT Security reviews and tests. • Support a yearly cycle of policy and procedure reviews to ensure process currency. • Ensure that IT quality and risk metrics are collected and compliled. • Ensure that the Group Risk Management Framework, policies and procedures are adhered to by the IT division. • Support the development and execution of an annual schedule of application risk assessments, control objective, and IT “risk theme” assessments including track mitigating actions and communicate results. • Continually review and mature the key risk indicators being monitored by the IT divisions. • Perform trend analysis and problem reviews and make recommendations for improvement and/or prevention of weaknesses noted by Internal audit, Risk management, and IT Security. Show less
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Electrolux Group
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Sweden
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Manufacturing
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700 & Above Employee
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Fulfillment Analyst
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Dec 2014 - May 2015
- Responsible for all order fulfillment activities for assigned portfolio of trade partners - Liaisons with Demand, DC, Sales and Trade Partners to execute customer shipments - Manages and commits inventory to appropriate warehouses locations, and orders to meet customer demand within required timelines - Develops metrics within the organization to measure backorders, fill rates, and on-time shipments. - Works as a member of a team to analyze, identify, recommend and implement… Show more - Responsible for all order fulfillment activities for assigned portfolio of trade partners - Liaisons with Demand, DC, Sales and Trade Partners to execute customer shipments - Manages and commits inventory to appropriate warehouses locations, and orders to meet customer demand within required timelines - Develops metrics within the organization to measure backorders, fill rates, and on-time shipments. - Works as a member of a team to analyze, identify, recommend and implement process improvements. - Work and grow relationships with other departments to better serve the supply chain and operational needs. Show less - Responsible for all order fulfillment activities for assigned portfolio of trade partners - Liaisons with Demand, DC, Sales and Trade Partners to execute customer shipments - Manages and commits inventory to appropriate warehouses locations, and orders to meet customer demand within required timelines - Develops metrics within the organization to measure backorders, fill rates, and on-time shipments. - Works as a member of a team to analyze, identify, recommend and implement… Show more - Responsible for all order fulfillment activities for assigned portfolio of trade partners - Liaisons with Demand, DC, Sales and Trade Partners to execute customer shipments - Manages and commits inventory to appropriate warehouses locations, and orders to meet customer demand within required timelines - Develops metrics within the organization to measure backorders, fill rates, and on-time shipments. - Works as a member of a team to analyze, identify, recommend and implement process improvements. - Work and grow relationships with other departments to better serve the supply chain and operational needs. Show less
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Daimler Truck North America
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United States
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Motor Vehicle Manufacturing
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700 & Above Employee
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OtC Facilitator
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Sep 2014 - Nov 2014
Facilitated OtC program to help dealers and distributors grow their business using big data to identify sales opportunities, along with a structured process to create associated business plans specifically designed to create associated business plans specifically designed to secure the identified potentials. • Schedule dealer data deliveries; Schedule face-to-face training and business planning • Coordinating and completing data scrubs (cleansing) • Teaching parts managers and… Show more Facilitated OtC program to help dealers and distributors grow their business using big data to identify sales opportunities, along with a structured process to create associated business plans specifically designed to create associated business plans specifically designed to secure the identified potentials. • Schedule dealer data deliveries; Schedule face-to-face training and business planning • Coordinating and completing data scrubs (cleansing) • Teaching parts managers and dealership management how to use the reports to identify opportunities and progress. • Trip and expense reporting upon completion of engagement Show less Facilitated OtC program to help dealers and distributors grow their business using big data to identify sales opportunities, along with a structured process to create associated business plans specifically designed to create associated business plans specifically designed to secure the identified potentials. • Schedule dealer data deliveries; Schedule face-to-face training and business planning • Coordinating and completing data scrubs (cleansing) • Teaching parts managers and… Show more Facilitated OtC program to help dealers and distributors grow their business using big data to identify sales opportunities, along with a structured process to create associated business plans specifically designed to create associated business plans specifically designed to secure the identified potentials. • Schedule dealer data deliveries; Schedule face-to-face training and business planning • Coordinating and completing data scrubs (cleansing) • Teaching parts managers and dealership management how to use the reports to identify opportunities and progress. • Trip and expense reporting upon completion of engagement Show less
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PwC
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Professional Services
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700 & Above Employee
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Advisory Associate
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Jun 2012 - Aug 2014
• Developed keyword-driven test cases in HP's ALM that covered both the positive and negative scenarios for various User Stories Assist patients who might be overwhelmed with outstanding healthcare debt by helping them resolve the billing issue or payment responsibility at hand. • Performed as part of a highly efficient team specializing in investigative review of judicial and non-judicial foreclosure • Tested judicial and non-judicial foreclosure proceedings against state legislature to… Show more • Developed keyword-driven test cases in HP's ALM that covered both the positive and negative scenarios for various User Stories Assist patients who might be overwhelmed with outstanding healthcare debt by helping them resolve the billing issue or payment responsibility at hand. • Performed as part of a highly efficient team specializing in investigative review of judicial and non-judicial foreclosure • Tested judicial and non-judicial foreclosure proceedings against state legislature to determine cases of borrower harm. • Performed an extensive regulatory driven review of the client’s correspondent banking • Utilized investigative skills, performing enhanced due diligence of clients customers to determine if suspicious activities or money laundering occurred Show less • Developed keyword-driven test cases in HP's ALM that covered both the positive and negative scenarios for various User Stories Assist patients who might be overwhelmed with outstanding healthcare debt by helping them resolve the billing issue or payment responsibility at hand. • Performed as part of a highly efficient team specializing in investigative review of judicial and non-judicial foreclosure • Tested judicial and non-judicial foreclosure proceedings against state legislature to… Show more • Developed keyword-driven test cases in HP's ALM that covered both the positive and negative scenarios for various User Stories Assist patients who might be overwhelmed with outstanding healthcare debt by helping them resolve the billing issue or payment responsibility at hand. • Performed as part of a highly efficient team specializing in investigative review of judicial and non-judicial foreclosure • Tested judicial and non-judicial foreclosure proceedings against state legislature to determine cases of borrower harm. • Performed an extensive regulatory driven review of the client’s correspondent banking • Utilized investigative skills, performing enhanced due diligence of clients customers to determine if suspicious activities or money laundering occurred Show less
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Annuity Health, LLC
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United States
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Hospitals and Health Care
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1 - 100 Employee
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Collector
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Feb 2012 - May 2012
• Bad debt collections • Assist patients who might be overwhelmed with outstanding healthcare debt by helping them resolve the billing issue or payment responsibility at hand. • collecting and resolving millions in bad debt every month for hospitals, health systems and physician groups nationwide • Bad debt collections • Assist patients who might be overwhelmed with outstanding healthcare debt by helping them resolve the billing issue or payment responsibility at hand. • collecting and resolving millions in bad debt every month for hospitals, health systems and physician groups nationwide
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Assindia Cardinals/ Remscheid Amboss
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Essen Area, Germany
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Defensive Back Coach
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Mar 2011 - Sep 2011
• Played American Football in German Football League 1 • Assumed the role of player/coach while team was changing leadership • Developed a player bond with players while a player and a coaching bond while a coach • Played American Football in German Football League 1 • Assumed the role of player/coach while team was changing leadership • Developed a player bond with players while a player and a coaching bond while a coach
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Wesco Aircraft
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United States
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Transportation, Logistics, Supply Chain and Storage
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500 - 600 Employee
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JIT Inventory Clerk
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Jun 2009 - Mar 2011
• Contract company for Boeing, performed Data Entry using JDEdwards software • Worked against constant deadlines • Demonstrated the ability to work effectively and efficiently within a team atmosphere • Contract company for Boeing, performed Data Entry using JDEdwards software • Worked against constant deadlines • Demonstrated the ability to work effectively and efficiently within a team atmosphere
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Education
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2005 - 2009
The Citadel
Bachelor of Science (B.S.), Business Administration and Management, General
Community
