Auditor

Perry S. Lofchie

Chicago, IL ***** 773-***-****

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

Audit Officer

20+ years’ experience enhancing Banking, Trust, Pension Fund operations and Healthcare.

Multi-faceted professional focused on planning and executing successful audits in accordance with industry best practices, strategic audit methodologies and regulatory requirements within the Banking, Trust, Pension Fund and Healthcare industries. Skilled at improving operations, bringing a systematic and disciplined approach to improve controls and processes. Ability to collaborate with fellow senior managers, producing risk management operations and control management to increase overall operational effectiveness.

Highlights of Expertise

Banking Internal Controls

Sarbanes-Oxley Reporting & Compliance

Annual Risk Assessments

MS Office

ERISA Regulations

Fraud Investigations

Executive Communications

Medicare Compliance

Career Experience

Wintrust Financial Corporation, Rosemont, IL

Provide executive-level risk assessments of subsidiary banks and three Wintrust Wealth Management Companies, monitoring Sarbanes-Oxley related financial reporting risks and operational risks.

INTERNAL AUDIT OFFICER (2010 – Present)

Orchestrate operational objectives including identifying risks associated with business and evaluating controls to mitigate risks and improve effectiveness. Coordinate external audit firms reviewing of work papers for Sarbanes-Oxley evaluation of the corporation.

Streamline special projects including implementing corporate initiatives, department initiatives and post-acquisition reviews.

Liaise with Wintrust Wealth Management Companies regarding new regulations or “Hot Topics” to limit concern from regulators.

Review, select and recommend improvements for administrative and operational audits of the trust, brokerage and asset management subsidiaries.

Introduce strategic and tactical action plans, conducting walkthroughs of bank processes, determining key controls while developing and conducting compliance audits for 401(k).

Wintrust Financial Corporation, Rosemont, IL

Directed Operational, Financial, Sarbanes-Oxley, Trust and Asset Management audits for 15 banks and 8non-bank subsidiaries.

SENIOR INTERNAL AUDITOR (2006 – 2010)

Administered direct management of internal audit reporting for North Shore Community Bank & Trust Company, Village Bank & Trust Company, Beverly Bank & Trust Company and three Wintrust Wealth Management Companies. Established reputation as acting Secretary of Wintrust Wealth Management Audit Committee meetings.

Improved operations of the external and internal audit process, including theSox404 review, and deposit and loan operational audits.

Increased accuracy of audit report findings, recommending corrective actions to senior management to enhance effectiveness and efficiency of reporting.

Spearheaded selection of appropriate audit approaches, procedures and sampling criteria based on expertise and specifically defined audit methodologies.

Assessed and evaluated quality of processes and effectiveness of controls, identifying and defining process weaknesses and providing strategic solutions.

American Imaging Management, Northbrook, IL

Led preparations for audits, compiling and analyzing internal and external information to support department success.

COMPLIANCE COORDINATOR (2004 – 2005)

Supported departmental success through collection and coordination of compliance data. Implemented systems, policies and procedures, complying with federal, state and local requirements. Monitored, tracked and managed reporting results including compliance and ethical efforts, providing overall guidance to senior management.

Led successful design and implementation of full scope audit for claims area within the compliance department.

Acted as main point-of-contact, compliance resource and liaison for meetings and committees.

Conceptualized and created reviews and updates to the standard operating procedures, ensuring continuity, accuracy and completeness.

Additional Experience

Staff Auditor (2000 – 2003) Rush University Medical Center, Chicago, IL

Senior Auditor (1998 – 1999) General Board of Pension & Health Benefits, Evanston, IL

Commissioned Trust Examiner (1995 – 1998) Federal Reserve Bank of Chicago, Chicago, IL

Education Credentials

Master of Science in Finance

Northern Illinois University, DeKalb, IL

Bachelor of Science in Finance

Northern Illinois University, DeKalb, IL

Professional Development

Certified Fraud Examiner

Certified Trust Compliance Professional

Chartered Fiduciary Services Auditor

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