CHRISTOPHER W. GRIFFIN, CIA, CICA

** *** ******

Marlton, NJ 08053

215-***-****

accd8l@r.postjobfree.com

* Governance, Risk and Controls Professional with over 10 years Mortgage

Lending, Retail / Commercial Banking, Derivatives / Hedging, Treasury,

Manufacturing, and Advisory Services experience. Areas of expertise:

Internal Audit, Risk/Control Assessment, Sarbanes-Oxley Compliance,

Banking and Mortgage Industry Regulatory Compliance.

* In-depth knowledge of audit procedures and regulatory compliance

requirements.

* Exceptionally strong presentation, managerial, interpersonal, and problem-

solving skills. Equally comfortable working on collaborative and

independent projects.

PROFESSIONAL EXPERIENCE

Vice President; Senior Audit Supervisor, Bank of America

July 2012 -Present

o Responsible for planning and execution of all aspects of assigned audits

including planning, oversight of project execution, coordination of

resources, review of audit staff work, preparation of audit reports, and

audit team performance reviews.

o Manage the Business Entity Risk Assessment for the Disclosures and

Collateral Management Group within the Consumer and Small Business

Banking segment.

o Assist in developing annual audit plan and planning of related audit

activities.

o Manage and oversee line of business issue remediation efforts for the

Consumer and Small Business Banking segment.

Selected Accomplishments

o Selected by SVP - Corporate Audit to serve as Audit point of contact in

overseeing select aspects of Dodd-Frank implementation efforts.

o Selected by SVP - Corporate Audit to represent Corporate Audit on the

Mortgage Asset Valuation Model Council.

Manager (Internal Audit), PHH Corp.

Aug 2009 - July 2012

Direct Report to Director - Internal Audit

o Serve as Lead Auditor responsible for planning and execution of all

aspects of assigned audits including planning, oversight of project

execution, coordination of resources, review of audit staff work, and

preparation of audit reports.

o Interact with senior management to provide industry insight and technical

accounting knowledge.

o Assist in developing annual audit plan and planning of related audit

activities.

o Based on extensive experience with regulatory compliance, consulted

management regarding planning and testing approach for various compliance

audits.

o Provide guidance on company's audit process revision initiative.

Selected Accomplishments

o Identified $1.425M of potential annual savings regarding processes

surrounding the Good Faith Estimate issued to mortgage customers under

the Real Estate Settlement Procedures Act (RESPA).

o Strategically developed and implemented a robust follow-up and Executive

reporting system utilizing SharePoint for all audit observations

comprising financial, operational, information technology and compliance

risk issues.

Manager (Lead Auditor) Internal Audit, Capmark Finance, Inc.

Feb 2008 - June 2009

Direct Report to VP - Global Audit

Provided value-added risk management capabilities needed to support

business strategies and continuously improve operational performance for

Capmark Finance Inc. and Capmark Bank.

o Lead Auditor (Manager) on 2007 & 2008 FDICIA/Capmark Bank audits;

responsible for performing all aspects of audit, including planning,

budgeting, oversight of project execution, reviewing the work of assigned

auditors, and preparation of audit reports.

o Performed internal audit and controls-based testing on various business

processes including: Treasury, Servicing, asset management, financial

reporting, bank operations and regulatory compliance.

o Performed risk assessments on various business segments.

Selected Accomplishments

o Lead Auditor (Manager) on the 2009 FDICIA Controls and Fraud Risk

Assessment for Capmark Bank. Work was formally recognized by the

Chairman of the Audit Committee and was awarded with a Capmark Lightening

Award.

o Selected by SVP - Chief Audit & Controls Officer to oversee the revamping

of the audit process for the company's Internal Audit Department.

o Developed Continuous Control Monitoring processes for the company.

Senior Consultant (Internal Audit), Protiviti, Inc.

March 2004 - Feb 2008

Sarbanes Oxley 404 Compliance: Lead numerous SOX compliance projects for

several clients documenting and assessing design effectiveness of various

processes. Identified primary and secondary controls and developed

corresponding test plans. Tested controls to assess the effectiveness of

key controls and developed corrective action plans for deficient control

environments.

o Testing and documentation of client internal controls for publicly held

clients with emphasis on the Financial Reporting Process. Clients

include: Viasys Healthcare, MBNA, Vanguard Group, Panasonic, Marlin

Leasing, Advanta Corp., DecisionOne, CDI Corp., Safeguard Scientific, and

Playtex Products.

o Lead Auditor on numerous Sarbanes-Oxley compliance engagements;

responsibilities included staffing, budgeting, invoicing, developing and

maintaining client relations, planning and overseeing execution of

testing, reviewing work of assigned staff, staff performance evaluations,

communicating results and recommendations to management.

Internal Audit Services: Provided internal audit assistance to provide

value-added risk management capabilities needed to support business

strategies and continuously improve operational performance.

o Provide financial, operational and compliance internal audit services

with primary focus on Financial Services and Manufacturing companies.

o Assist clients with developing their enterprise-wide risk assessment and

audit plan.

o Document client process flows, identification of control gaps and areas

of potential risk, planning and execution of audit programs, and

preparation of audit reports for clients.

o Manager on engagements responsible for project planning, budgeting,

oversight of project execution, reviewing work of audit staff, staff

performance evaluations, communicating results and recommendations to

management, and preparation of audit reports.

o Utilize data manipulation software in performing computer assisted audit

techniques.

o Served as a mentor for numerous staff and senior level consultants.

Staff Accountant (Audit), Ford, Scott, Seidenburg & Kennedy

Jan. 2003 - March 2004

o Analyze financial records including data on assets, liabilities,

investments, income, and expenditures.

o Examined books of original entry to determine whether clients had adhered

to standard accounting procedures.

o Reported to senior auditors on financial status of accounts and made

recommendations on improving client financial and operational practices.

o Selected for assignments of progressively greater responsibility,

including the unsupervised management of many aspects of audit

engagements.

EDUCATION AND PROFESSIONAL TRAINING

Bachelor of Science in Accounting (GPA: 3.72) - 2002

Rowan University, College of Business, Glassboro, NJ

Licenses: Certified Internal Auditor, Certified Internal Controls Auditor

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