Regulatory Compliance, Audit, Bank Secrecy Act
Resume:
CYNTHIA K. BRICKEY, CAMS, CRCM, CMTCS
PORTLAND, OREGON
***********@*****.***
PROFILE:
Seasoned financial professional with proven success in helping a financial institution achieve and maintain compliance with regulatory requirements, improve internal controls, and reduce financial and operational risk.
CORE QUALIFICATIONS:
Regulatory Compliance Operational Auditing
Bank Secrecy Act Consulting
Data Analysis Risk Management
EXPERIENCE:
SILVERGATE BANK
VP / Regulatory Compliance Manager (2/2017 – 5/2018)
Effectively managed budget and productivity of eleven staff members comprising the Bank’s compliance and BSA departments.
Demonstrated leadership skills that guide staff to the successful achievement of business goals.
Mitigated risk through comprehensive review and approval of high risk businesses for on boarding.
Stay up-to-date with evolving regulatory, industry and market events impacting the location, and the revision of applicable policy and procedures based on changing business risk profile.
Train and provide support to all business units within the bank.
Successful design, implementation, and oversight of project plans for new HMDA and Beneficial Ownership rule requirements to meet regulatory timing effective dates.
Liaison during audit and examinations.
AVP / Compliance Auditor (12/2014 – 2/2017)
Successfully developed risk based audit programs for all business units and compliance areas.
Developed the audit sample universe and rating methodologies.
Identification of compliance issues, process weaknesses and inefficiencies.
Recognized by management for timely performance of risk based audits to achieve business objectives, and adherence to scheduled audit plan.
Diligently tracked remediation plans to confirm proper resolution.
Generated comprehensive reports on audit findings and provided recommendation on improvement of internal controls.
Participated in trade and professional organizations to stay on top of banking and auditing industries.
Worked closely with external auditors and state and federal examiners.
Partner effectively with business management, other control groups and external auditors and establish strong working relationships while maintaining independence.
JAN AHRENDT, LLC, Temecula- Oregon
Independent Audit Consultant
Actively participated in risk-based integrated audits and advisory engagements.
Advise compliance management of issues, recommend corrective actions and work with business units to implement changes.
Provide accurate and timely information to clients and continuously seek to enhance the service provided to clients.
Work with business partners to develop preventive controls through policies, processes and procedures to ensure regulatory compliance.
Assist in planning and execution of audit procedures for audits and ancillary projects that included: merger and acquisition due diligence, enforcement action remediation, loan data reviews, and preparation for regulatory examinations.
FDIC, Mission Viejo – Two-year term assignment
Compliance Examiner
Studied in regulatory issues procedures and the financial services field.
Represented small to large holding companies and banks.
Collaborated with senior executives in small to large problematic and complex examinations of banks.
Planned coordinated and executed reviews of applicable departments and account areas.
Worked with examiner trainees to transfer knowledge through mentoring and coaching.
Subject matter expert on various deposit and lending laws and regulations.
GRADUATE SCHOOL / OTHER CERTIFICATIONS:
Certificate of Graduation, Audit (Harris Group)
Certificate of Graduation (National University Law School)
Certified Regulatory Compliance Manager (ABA)
Certified Anti-Money Laundering Specialist (ACAMS)
Certified Money Transfer Compliance Specialist (IMTC)
CONTINUING EDUCATION:
USPAP Certification; Risk Based Internal Auditing; ABA Compliance Conference(s); ABA Risk Management Model Workshop & Conference; RISC Summit; Bitcoin and Digital Currencies Conference(s); 21st Annual International AML & Financial Crime Conference (ACAMS); MBA Legal Issues & Regulatory Compliance Conference; IMTC USA 2016 Conference; Appraisal and Evaluations: and Performing Internal Compliance Reviews.
MEMBERSHIPS:
ACAMS – Southern California Chapter
Infragard – San Diego Chapter
Institute of Internal Auditors (IIA) – San Diego Chapter
Mortgage Compliance Professionals Association of America (MCPAOA)
VOLUNTEERING:
Junior Achievement - Finance Park; and teaching economics and finance to elementary school classes
Kids Day at the Beach – Special Needs Surf
Grubby’s – Wounded Warrior Foundation
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