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Customer Service Management

Location:
Parker, Colorado, 80134, United States
Posted:
May 25, 2010

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***** L. ***

***** ******** ***** . ******, ******** 80134 . Cell (720)***-**** .

*******@*****.***

SUMMARY

. Goal-oriented internal audit and compliance professional with a variety

of experience in:

- Internal Auditing - Financial Institutions

- BSA/AML/USA PATRIOT Act

- Compliance - Loan Review/Analysis

- Sarbanes Oxley (SOX)

- General ledger accounting - Leadership

- Project Management

. Dedicated professional with a strong internal value system and commitment

to excellence.

. Effective team player with exceptional communication skills and a

pragmatic approach to work.

. Experience in managing multiple projects simultaneously, including the

ability to work under pressure, meet tight deadlines, and utilize problem

solving skills to ensure project met stated goals and objectives.

. Proven problem solver who enjoys a challenge.

EXPERIENCE

Internal Audit and Financial Operations Professional (June 2004 to

Present)

Hudson Financial Solutions, Denver, Colorado (June 2004 - August 2006

and March 2010 to present)

. Documented, tested, and remediated SOX 404 key controls for several

industries.

. Streamlined a collection process for a money service business,

resulting in an increased collection activity from 8% to 65%.

Standardized processes for the ACH/AR group leading to less future

collection activity. Developed, documented, and led training

program for conformity. Implemented a cost recovery procedure

whereby the company could recover all collection costs incurred.

Jefferson Wells, International, Denver, Colorado (August 2006 -

present)

. Manage and perform financial, operational, and regulatory internal

audits, as well as lending reviews, under outsourcing or co-

sourcing arrangements, for clients representing financial services.

. Perform full cycle Sarbanes-Oxley (SOX) engagements for both

accelerated and non-accelerated filers; clients represent a variety

of industries, including financial services, manufacturing, mining,

software development, and a toy company.

. Designated specialist for financial institution engagements.

Financial services clients have included: Western Union, First

Data, Hercules Technology Growth Capital, Guaranty Bank, Jeffco

Credit Union, Sallie Mae Bank, Barnes Banking Company, Woodlands

Commercial Bank, and Guggenheim Partners, LLC

Examples of recent engagements include:

. Participated in an Internal Audit of a Reverse Mortgage Company.

. Managed a mortgage loan department audit and compliance loan

review for a community bank selling loans to investors. Audit

included review, testing, and recommendations of the quality

control program, investor contracts, applicable regulations, bank

policies, pricing, underwriting standards, and segregation of

duties. Recommended controls in three main areas to ensure

regulatory and investor compliance.

. Performed Bank Secrecy Act/Anti Money Laundering/Office of Foreign

asset (BSA/AML/OFAC) compliance audits including USA PATRIOT Act

for two financial services industries.

. Led an asset based lending (ABL) audit against accounts

receivables from seven countries, translating six different

currencies.

. Participated in a loan review of 560 commercial real estate loans

to determine the validity of the current loan grade assigned to

the credit. Several recommendations were made for adequate

controls to ensure proper ongoing grading of loans as well as

initial grading.

. Provided compliance assistance for a three month resource

engagement to an industrial bank. Performed BSA/AML work,

conducted vendor management research, prepared Board presentations

related to BSA/AML/CIP, and assisted with control documentation of

SOX testing. Also screened customer service calls for regulatory

concerns. Many compliance areas focused on Unfair and Deceptive

Acts and Practices (UDAP).

. Led a project to successfully roll out all outstanding aged Bank

Investigations for a money transfer services company. Analyzed

individual items and reclassified them in order for management to

measure their potential liability. Automated reporting processes

creating consistency, accuracy, and time-saving efficiencies.

. Participated in documenting accounting process (as is and to-be)

for a spin-off of two Fortune 500 companies, pre-spin-off.

INTERNAL AUDITOR, FINANCIAL INSTITUTIONS (January 2004 - June 2004)

Cherry, Bekeart & Holland, PLLC - a Regional Accounting and

Consulting Firm, Raleigh, North Carolina

Managed and executed the internal audit, loan review, and compliance

review functions in the MidCarolina region of the firm on a co-

source/outsource basis.

. Developed, implemented, and performed a mortgage quality control

program.

. Streamlined an online credit manual and risk rating system for a

Savings & Loan, saving the Bank several man-hours and thousands of

dollars in training.

. Performed detailed compliance audits [Bank Secrecy Act (BSA),

Office of Foreign Asset Control (OFAC), The USA PATRIOT Act, Anti-

Money Laundering (AML) Programs, lending compliance, and deposit

compliance]. Periodically conducted required annual training

sessions for personnel related to the Acts.

. Responsible for engagement management, building client

relationships, preparing and presenting proposals and reports to

management and/or Board members.

INTERNAL AUDIT, VICE PRESIDENT (August 2003 - January 2004)

Capital Bank - A Community Bank, Raleigh, North Carolina

. Implemented procedures to assist in compliance with Federal Deposit

Insurance Corp. Improvement Act (FDICIA) requirements for the

Bank's first year requirements.

. Assisted the Bank through a major transition of Management by

documenting and implementing internal control procedures.

. Coordinated and managed all current third party Internal Auditors,

Loan Reviewers, and Compliance reviewers.

. Documented and developed test plans for Sarbanes-Oxley Act (SOX)

section 404 requirements, including documentation of objectives,

controls, risks, processes, and test of effectiveness.

. Responsible for reporting issues to the Audit Committee on a

regular basis.

INTERNAL AUDITOR, FINANCIAL INSTITUTION PRACTICE (November 2000 -

August 2003)

Dixon Odom, PLLC (now Dixon Hughes, PLLC) - The largest CPA firm

based in the Southern U.S., Sanford, North Carolina

Planned, coordinated, and performed risk based internal audits,

compliance audits, and quality loan reviews of financial institutions,

primarily community banks in North Carolina.

. Developed, documented, and tested Sarbanes Oxley section 404

engagements. Documented key control activities and developed test

plans.

. Performed internal audits, quality loan portfolio reviews, and

compliance reviews. Also performed other projects, such as due

diligence reviews, as needed, and acted as support for external

auditors.

. Performed detailed compliance audits (BSA, OFAC, The USA PATRIOT

Act, AML Programs; lending compliance; and deposit compliance). In

addition, periodically conducted required annual training sessions

for personnel related to the Acts.

. Responsible for engagement management, building client

relationships, preparing and presenting proposals and reports to

management and/or Board members, and training of staff.

EDUCATION

BACHELOR OF ARTS (BA), ACCOUNTING

The College of Santa Fe, Albuquerque, New Mexico

ASSOCIATES OF APPLIED SCIENCES (AAS), BANKING & FINANCE

Fayetteville Technical Community College, Fayetteville, North

Carolina

PROFESSIONAL ASSOCIATION

Institute of Internal Auditors, Active member since 1996, former

officer, working towards CIA.



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