Management Manager

John Lloyd

** * **** *

Layton, Utah *****

Home: 801-***-**** Mobile: 801-***-****

Email: ably46@r.postjobfree.com

Summary: A Risk Management Professional with fifteen years of internal

audit/risk management/SOX experience within the financial

services industry, along with the mining, utilities, and

technology industries who:

. Creates value in the internal control process by working

closely with management to develop long term sustainable

solutions to control issues.

. Brings clarity to the risk management process by teaching

line managers and internal staff how to identify and mitigate

risks.

. Aligns senior management's goals and objectives with the

internal control process.

. Delivers superior results, leading and developing successful

people, teams and projects.

. Recognized ability to assess business risk and evaluate the

effectiveness of internal controls.

Education: Bachelor of Business, Accounting, Idaho State University, 1993

- Honors

Certifications: Certified Public Accountant,

Certified Internal Auditor

Certified Trust Auditor

Certified Financial Services Auditor

Experience:

1997 to 2009 Ernst & Young, Global Center, Cleveland, Ohio

Senior Manager (2006 to 2009)

Selected by E&Y senior leadership to join the Global Learning

Team to lead a cross functional team to align the training

programs with the strategic direction of the Risk Advisory

Services Practice which included over 20,000 professionals world

wide and bring a consistent message to all risk professionals

around the globe.

Served as business partner to the Global Leader of the Advisory

Practice, and the Regional Leaders for all seven (7) regions.

Led training design sessions with representatives from Senior

Leadership of E&Y's Risk Advisory Services business line to

develop programs for Partners as well as staff. These sessions

also included representatives from the Global regions to get a

true global perspective on the training needs of the firm. Once

the design process was complete I sent the completed materials

to Global Leadership for final approval. Next, I launched the

program by teaching train the trainer sessions in the US,

Europe, Asia and Australia. I presented new materials to over

250 trainers in these sessions. I also spent time working with

the other service lines within E&Y such as the Tax and Assurance

practices to coordinate common areas of training.

Manager, Salt Lake City, Utah (2001 to 2006)

Managed a wide range of internal audits and other compliance

activities for a variety of clients, including Zion's Bank,

Freddie Mac, PacifiCorp, Rio Tinto and People Soft.

. Lead capital market and mortgage audits including cash

management, trading desks, trust investment management,

mortgage loan underwriting, securitization of loan pools and

reviews of CMO payouts.

. Sought out by internal teams and clients for my experience in

providing risk and controls training, and providing SOX

controls remediation advisory services.

. Coordinated OCC reviews of Internal Audit documentation and

addressed questions and issues that come form the reviews.

. Developed an understanding of a large number of banking

regulations in order to determine compliance with each

regulation.

. Recognized for strong abilities in mentoring and developing

staff.

Senior, Minneapolis, Minnesota (1997 to 2001)

Managed a wide range of audits and other compliance activities

in a variety of clients, including U.S. Bank, American Express

and National City Bank.

. Lead numerous capital market audits including areas such as

broker dealers, trust investments, and mortgage document

custodial services.

. Successfully planned and managed operational and compliance

audits as measured by client satisfaction surveys.

. Delivered audit efficiencies by working with clients to focus

the internal audits on relevant risks.

1996 to 1997 U.S. Bancorp, Portland, Oregon

Associate Auditor

Planned, supervised and managed audits of personal trust,

employee benefits, trust real estate and related trust

operations and functions in six western states.

. Lead and supervised teams of four to five auditors in

assessing business risk, planning audit strategies,

evaluating internal controls and communicating results to

management.

. Successfully piloted a new risk based audit approach

providing greater risk coverage with fewer audit hours.

1994 to 1995 West One Bancorp, Boise, Idaho

Staff Auditor

Planned, conducted and reported on audits in the trust,

investments and capital markets areas of the bank.

Responsibilities included evaluating and testing internal

controls, drafting audit findings and communicating results to

management.

Affiliations: Past Officer of the Utah Chapter of the Institute of

Internal Auditors

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