Audit Manager

Specific Job Position

Qualifications Profile

Goal-driven and highly analytical professional with extensive experience in managing internal controls and financial operations within the banking industry; complemented with expertise in risk management, audit and assurance, and financial analysis. Strategic leader with outstanding ability to develop and guide top-performing teams toward the achievement of set-forth goals and objectives. Armed with proven ability to assess operational effectiveness of controls and procedures, as well as provide recommendations on leading practices to ensure compliance with established financial guidelines. Effective relationship builder with proficiency in establishing strategic partnership with key stakeholders to guarantee efficient coordination of internal controls and processes.

Areas of Expertise

Best Practice Methodologies Implementation Business Continuity Policies and Procedures Development

Financial Transaction Investigation Staff Training and Development Risk Control and Mitigation

Account Management Personnel Supervision Financial Reporting AML Regulatory Compliance

Professional Experience

Citibank, Fort Lauderdale, FL

Vice President Audit Manager 2015–Present

úMaximize the opportunity for the development and implementation of a robust audit plan through reviewable entity on the assigned businesses based on internal audit standards, key government statutes and regulations, and company’s policies

úExhibit competencies in creating and maintaining interrelationships with business and support units throughout the corporation, as well as explaining the impact of relationships on overall control environment and audit approach

úKeenly evaluate reported findings and offer effectual recommendation on appropriate interventions

úEfficiently interface with directors and managing directors in formulating creative and pragmatic solutions on broad risk and control issues

úProvide expert guidance to diverse internal audiences, such as product, function, and regional executive management partners

úAdminister complex audit activities for product line, function, and legal entity within regional and country level, including assistance to initiatives for a portion of audit annual plan

úTake charge of the evaluation and approval of comprehensive business monitoring quarterly summaries

úAct as the lead reviewer for all types of reviews, such as the most complex and challenging

úAssume responsibility in generating and presenting on-time and high-quality audit reports, managing internal audit and regulatory issue validation, conducting branch examinations, and spearheading monitoring and governance committee reporting

úMaintained active involvement in identifying solutions for a variety of complex and novel audit control issues

HSBC Private Bank, Miami, FL

Vice President Business Risk Control Manager (BRCM) 2013–2015

úLed the adoption, implementation, and maintenance of the company’s strategic enterprise resource planning (SERP) framework and appetite to support business and risk governance strategies, policy framework, and standards, while ensuring compliance with regulation

úThoroughly assessed SERM metrics to determine trends and emerging issues, as well as transmitted issues that impacting company’s activities

úHeld responsibility in performing root cause analyses on operational losses against risk appetite, identifying control gaps, coordinating appropriate remedial actions, and reviewing audit and regulatory examination findings

úWorked with departmental business risk managers, business leads, and other stakeholders in developing culture of strong enterprise risk management and providing assistance on appropriate mitigation procedures and resolution strategies to build and maintain effective management of SERM framework

úApplied keen attention to detail in analyzing design and test control effectiveness of Latam Private Bank market, as well as management information system and reporting from Orion software of business function management, including risks and control issues

úExpertly oversaw risk assessments for proper mitigation of risks in accordance with risk appetite and threshold, as well as organized critical risk assessment certification and sign-off of business and function management

Notable Accomplishment:

Won a Silver Award for achieving satisfactory on audit rating and effective on risk and control self-assessment (RCSA) rating, while collaborating with federal reserve and business for timely distribution of data across business and process owners

Citibank, Tampa, FL (2007–2013)

Assistant Vice President Risk Control Self-Assessment Manager Leader, Continuity of Business (CoB) 2009–2013

úDemonstrated proficiency in monitoring, assessing, and controlling regulatory and compliance risks to ensure proper tracking and evaluation of Latam Private Bank’ RCSA and key risk indicator (KRI) processes, as well as reviewing of control regulatory risks in accordance with business compliance matrix

úDisplayed expertise in validating management’s self-assessment of business risks and controls for accurate departmental processes to identify forward-thinking process improvement opportunities

úOverhauled RCSAs based on changes in processes, new policies, and methodologies, including facilitating training of users on company’s operational risk policy and RCSA processes

úOptimized banking operations in compliance with the regulations of Office of the Comptroller of the Currency (OCC) and local regulators

úTook charge of performing due diligence to identify recoverability of third-party service providers; monitoring and improving CoB tools with relevant BRPs, documents, and information; preparing business impact analysis (BIA) in accordance with CoB policies and standards; and generating annual plan for key high-risk processes

úOrganized and analyzed business recovery plans (BRPs) and crisis management plans (CMPs) for respective CoB entities

úActed as liaison between federal reserve and business to guarantee proper dissemination of data among business and process owners

Notable Accomplishments:

Received selection to be part of a prestigious and limited-membership affluent high net worth and specialized services (AHS) key talent acceleration program

Succeeded in obtaining 100% score in business CoB plan and independent plan review of information security, CoB, and controls senior analyst

Attained highly effective senior management rating on the latest annual performance appraisal, as well as earned commendation for being keen eye and proactive in identifying risk

Served as key contributor in international private bank for receiving satisfactory audit rating and overall effective RCSA rating

Assistant Vice President Financial Center Operations Manager 2007–2009

úProvided strategic direction to daily core operations, including customer service, sales and marketing, relationship and account management, and compliance

úEfficiently liaised with internal and external auditing professionals to ensure compliance of financial transactions with state and federal regulations for smooth processes

úGained familiarity with financial services and debt financing structures in securing new accounts, improving center profitability, and increasing revenue, while overseeing loss reduction and risk management

úFostered a positive working environment and team unity to a multitude of staff members for effective execution of daily roles and responsibilities, as well as establishment of a high-performance team toward common business goals

Notable Accomplishments:

Determined improvements and automated systems, which expedited the bank processes and increased its efficiency

Made significant contribution in generating $7M in revenue within the first 60 days of the new De Novo branch, as well as exceeding actual corporate goal by $5M within the first 90 days

Earlier Career

Fifth Third Bank, Ruskin, FL

Office Manager

Bank of America, Tampa, FL

Assistant Banking Center Manager Officer

Community Bank and Trust of Florida, Haines City, FL

Administrative Assistant Manager

Gibraltar International Bank, Coral Gables, FL

Customer Service Representative

Washington Mutual, Inc., Coral Gables, FL

Intern - Teller

Education

Coursework in Business Administration

Florida Southern College, Lakeland, FL, USA

Certifications

Internal Audit and Business Risk Certification, 2016

Chartered Institute of Internal Auditors (IIA)

Certificate in Emerging Risks and Trends – Practical Internal Audit Techniques and Best Practices, 2016

Grant Thornton

Anti-Money Laundering and Sanctions Compliance Certification, 2015

International Compliance Association

Graduated with Merit

Training

Individual Leadership Program

Citibank

Financial Family Orientation Program

Bank of Florida

In-Aisle Impact Selling Program

IBT, Inc.

Foundations of Banking Incoming Investment-Related Correspondence Compliance Three Layers of Control

Time Management Relationship Building Customer Focus Communicating Effectively Building Trust

Individual Leadership Winning at Customer Satisfaction Teller Referral Sales Training

Winning Leadership and Managing Inclusion Overdraft Decision-Making Currency Transaction Reporting

Continuity of Business (CoB) Monitoring and Reporting Compliance Test Planning and Execution

Business Recovery Plan Development Crisis Event Planning and Management Pandemic Operational Planning

Bank of America

Activities

Member Voice of Employee (VOE) Committee - Citibank

Team Captain March of Dimes

Coordinator and Team Leader United Way Worldwide

Member Coral Gables Chamber of Commerce

Member Community Emergency Response Team (CERT)

Technical Skills

Microsoft Office Suite Microsoft Publisher Orion Software Merlin Software Merlin Teller System NICE

Bharat Operating System Solutions (BOSS) SAP BusinessObjects (BO) Vector5 CitiKYC

Oracle Business Intelligence Cloud Service (BICS) RM Portal Egencia Microsoft Windows 2010, XP, and Vista

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