Quality Assurance Internal Audit
Resume:
Adana Boyd
*******@*****.***
Technical Skills:
Manage a complex and large Compliance Department with 15 Professionals
Knowledge of Prime compliance Software, Mantas, Charles River, Lexis Nexis and Fircosoft and Banking Internal System including CTF internal systems.
Extensive Knowledge of KYC, BSA, US Patriot Act, Bankers Act 1934
Exposure to all banking regulations (e.g. REG B, C, D, E, F,G, K, O)
Knowledge of FINCEN, FACTA, CRA, TILA, RESPA, ECOA, HDMA
Directly work with FINRA, SEC, CTF, Federal Reserve and CFPB
Knowledge of Word, Excel, Access, Outlook, PowerPoint, Lotus Notes and Publisher
Ability to manage large internal database successfully and compile, extract or analyze data as per requirement.
Ability to manage multiple task simultaneously
Professional Experience:
JPMorgan: New York, NY, 2011 – present
Vice President, Head of Compliance
Overseeing all aspects of the Global Corporate-Wide Anti-Money Laundering and Anti-bribery programs for my group. (Global AML Compliance Unit)
Effectively asses the inherent money laundering and sanctions risk and controls through establish risk and internal control framework.
Investigate and manage suspicious activity monitoring, SAR, CTR reporting and identification and risk rating of higher risk clients.
Investigation of potential sanctions, Watch List, and PEP hits on underlying clients generated from automated alert software.
Maintain proficient knowledge of the rules and regulations including but not limited to the Bank Secrecy Act, USA Patriot Act and OFAC
Work with operations unit to investigate transaction that are suspicious in nature.
Collaborate and direct the process related to data analysts to source data required to support AML inherent risk metrics and emerging risk.
Lead, manage and direct the assessment related to AML monitoring testing through risk metrics.
Lead, manage and direct detailed review of high risk areas i.e high risk accounts and countries, PEP.
Lead and manage the coordinating response to regulatory AML-BSA examination, audits and action taken to ensure deficiencies are corrected.
Ensure results of the risk assessment are tracked until remediated in accordance with corporate compliance standards.
In collaboration with Senior Leaders, acts as the “point of contact” for regulators with routine queries, examinations and reviews.
Involved in the review and approval of policies and procedures, risk assessment, monitoring and training to ensure regulatory compliance issues are adequately addressed.
Prepares regulatory correspondence, including working with Due Diligence to draft formal responses to exam findings letters and ensuring exam findings are entered into system on a timely basis.
Collaborate with all line of business including legal, internal and external auditors/examiners to provide expertise on regulatory compliance and lending matters; asses and measure compliance and related risk currently facing.
Lead the annual review efficiency of the consumer transactional monitoring process and recommend necessary and desirable changes.
Oversee and manage the audit activities related to consumer risk management and risk assessments. Develop and execute a robust audit plan in accordance with internal and relevant government statues and regulations.
Capital One Financial: New York, NY
Vice President, Senior Internal Audit Manager (2007-2011)
Responsible for coordinating department assessment of audit scopes to identify gaps, recommend suggestion for future audit coverage of regulatory and compliance concerns.
Developed generic regulatory compliance cross-functional audit programs for use during all audits.
Managed high profile investigations of private banking compliant and inquiries regarding account activity to client satisfaction and minimal financial loss to bank.
Led teams on external and internal audit engagement regarding controls and implementation for the financial reporting process. Engagement included: financial and operational application controls reviews, business process controls reviews and controls optimization services and pre- and post- implementation assurance reviews.
Developed and implemented a new audit quality assurance program to assess the entire spectrum of audit activities at Capital One Financial as part of efforts to prepare for Federal Reserve Supervision.
Lead Internal Audit representative in developing cross assurance leverage program with senior leaders from Capital One Financial to align assurance approaches and increase efficiencies of audit activities.
Global Regulatory Interface regarding all Internal Audit matters and representative for Internal Audit in Capital One Financial regulatory activities.
Developed training to internal auditors on regulatory and compliance audit related issues arising from new or changes to regulatory such as AML/BSA/KYC/CIP programs requirements.
Capital One Financial: New York, NY
Associate, Audit Lead (2004-2007)
Responsible for departmental policies, standards, and guidelines applicable to the performance of audit operations as well as developing and analyzing performance metrics.
Assist with the coordination of annual risk assessment, audit plan processes, professional development programs, and administrative activities. Asses and report on quality assurance reviews (QAR) of global audit portfolio.
Assist with the development of cross-product audit control objectives and procedures for auditing rules, and regulations including AML/BSA, Sanction, Anti-Corruption, Privacy and insider trading
Capital One Financial: Melville, NY
Compliance Analyst (1999-2004) Consultant
Monitor and coordinate audit follow up of regulatory examination recommendation globally for key Leadership members.
Research and analyze current and emerging professional best practices affecting Internal Audit and providing recommendations for enhancements to Audit Executive Management.
Assist with the preparation and distribution of Board/Audit Committee reporting packages and audit deficiency tracking and reporting for Executive Committee.
Education and Affiliation:
CAMS, Certified, 2011
Nassau University - BS, Legal Studies
Pattern University - Garden City, New York- MBA (Spring 2016)
Contact this candidate