Jacqueline Prensky, MBA, CBCI

****Meadowbrook Avenue McLean, Virginia 22101 703-***-**** acvhtf@r.postjobfree.com

Director, Risk and Controls

Profile

Top-performing, professional with demonstrated leadership qualities offering 25 plus years of progressive experience in Enterprise Risk Management, business management, policy, regulatory and operational compliance, business process transformation, senior management reporting, communication and excellent consensus building skills. Highly experienced with managing Internal Audit functions and testing teams for Operation/SOX/Regulatory and compliance issues. Certified Business Continuity planner with significant experience in all aspects of BCP and Disaster Recovery. Expertise with internal controls, process and controls design and streamlining organizational change management with demonstrated ability to influence decision making. Experienced in managing and assessing business priorities and identification of key and emerging risks. Excellent collaboration skills with business partners and senior management. Expertise in Enterprise Risk Management, risk identification, probability analysis and mitigation strategy and solutions. Wall Street, mortgage and banking regulatory experience. Business system development, implementation, process design. SOX SME/AML/OFAC/Dodd-Frank. Big four experience. Expert investigator. Superior written, communication and presentation skills. Excellent organizational skills. MBA, CBCI, Series 7 and 63 (inactive), secret security clearance held in the last five years

Notable Contributions

Director of Risk Management at two multi-billion dollar companies – created and enforced the control environment – Risk Identification, Operational, IT and SOX control design and assessment

Managed the Internal Audit function for a multi-billion dollar corporation

Director of Risk Management at two multi-billion dollar companies – created and enforced the control environment – Risk Identification, Operational and SOX control design

Oversight of Project/initiative management of diverse projects including Regulatory, Vendor Risk Management, Compliance, BeWise, (CNBI) new initiatives and many others

Lead Business Continuity and Disaster Recovery program for Investment and Capital Markets and developed the Business Continuity and Disaster Recovery program for a multi-billion dollar company

Big Four Audit Readiness Project for DOD – Process re-engineering/business transformation and organizational change management requiring excellent organizational communication planning

Implemented annual Enterprise Risk Analysis for a five billion dollar corporation and annually aligned it to strategic goals

Designed process, risk and controls for an entirely new Business Technology function for more than 60 people meeting launch deadline

Internal controls process creation and testing, audit and remediation, organizational restructuring, regulatory/legal compliance

Conducted risk management review for the World Bank treasury function and designed and implemented significant process improvement for flow of transaction data and designed policy/procedural standards

Corrected significant deficiencies and implemented anti-bribery compliance of a foreign subsidiary

Designed new audit feature for Dun and Bradstreet vendor performance tool (DUNS)

Professional Experience

Freddie Mac, Director of Risk and Controls, Investment and Capital Markets 2014-Present

Responsible for the Operational, SOX, Funding and Market risk profile for the Investment and Capital Markets Division – consistently reprioritized work based on emerging risk and business needs

Managed and prioritized projects including Federal Housing Authority requirements and reporting, created the control environment for a new Business Technology function, Vendor Risk Management, SOX Testing team, Compliance initiatives, among many others

Tracked and produced reporting for Senior Management - Risk Committee and Quarterly Reporting (BARC) Process for Senior Management

Worked with Senior Management on aligning the risk appetite with Corporate Strategic Planning

Worked with Internal Audit, SOX testing Team, Compliance, FHFA and others to remediate issues

Worked with Trading desks, the Back Office, Models and the BTO to create and launch new initiatives and systems to automate and/or improve processes and reduce the overall risk profile – Debt Auction system, Nimble Technology methodology, Mercury trading enhancement/GRC tool

Collaborate with business partners and senior management across segments of the enterprise to achieve strategic goals

Managed, trained and prioritized the work of my team of professionals

The Hilltop Companies, Director 2014

Performed highly complex fraud/forensic audit for largest Seller/Servicer Fraud supporting DOJ

Audit Rediness Practice Director and Mortgage Banking Compliance engagements

Business development and federal proposal writing

KPMG /11th hour, Director Federal Practice 2013-2014

Complete redesign and implementation of organizational change management

Experienced subject matter professional DOD Audit Readiness project

Federal financial management and audit experience

Created gap analysis and corrective action plans

Continuously monitored and identified areas of risk for mitigation and process improvement

Evaluated and reported on internal controls noncompliance for the DLA office of the CFO

Design and implementation of organizational change management to a level 8 decomposition

Conducted enterprise risk analysis and organizational risk assessments

Director, Enterprise Risk Management CACI

2008– 2013

Conduct Enterprise Risk Management assessment annually; assess and rank the risks utilizing probability analysis and ranked risks which were mapped to corporate strategic goals and new policy

Continuous design and implementation of process and controls solutions/mitigation activities to resolve enterprise level risks

Formulate and initiate business continuity plan for this $5 billion corporation – COOP–contract negotiations, program and vendor management

Assess, create process and procedures and correct subsidiary non-compliance with new regulations and laws, such as UK Anti-Bribery law

Conducted highly sensitive internal audits of IT systems and contracts to mitigate DCAA regulatory findings

Direct emergency situations both operational and external as directed by Chief Risk Officer or CEO- recovery from natural disasters to department non-compliance resolutions during forthcoming regulatory audits

Expertise with compliance issues, such as procurement and vendor contracts; Experience with Export Controls, FCPA and other compliance implementations

Manager, Internal Audit CACI

Developed and executed annual audit plan and budget for officer and board approval, as well as individual audit objectives, plans, and scope utilizing a risk-based approach

Managed scheduling, staffing, and auditing to maintain effectiveness and efficiency of each audit and executed and reviewed detailed testing and analysis based on audit plans published by DCAA and other regulations and policy

Supervised staff and evaluated their performance; trained and nourished staff skills

Reconciled audit issues with auditees and achieved consensus on corrective actions

Planned staff execution of quarterly and annual Sarbanes-Oxley testing; conducted and streamlined process for Sarbanes-Oxley 302 certifications and 404 testing

Oversaw all audit work and ensured compliance with policy, GAAP, FAR, CAS, law/regulation

Conducted regulatory policy gap analysis and drafted remedial policies

Consultant

2004– 2008

Jefferson Wells

oFacilitated commercial internal audit of functions, operational audits, business process improvement/reengineering, SOX compliance and assurance of balance sheet integrity at various companies, Designed Enterprise Risk programs for clients

The World Bank

oAudited and led risk assessment of the Treasury function improving settlement procedures and assisting with alignment to strategic goal documented deficiencies presented findings to Senior Management. Executed agreed upon corrective actions to greatly improve system efficiency

Manager Regulatory Compliance, Edelman Financial Services

oDesigned and executed initial SOX program

oCreated the firm’s first anti-money laundering (AML) program and introduced annual compliance review process for branch offices to determine and correct any non-compliance with securities and mortgage regulations and laws

oReceived recognition as key contributor in the Lies About Money book by Ric Edelman

Huron Consulting Group

oImplemented FASB 157; Marked securities to the opposite side of the market internationally

ADDITIONAL Career Experience and accomplishments

Manager of Executive Projects National Association of Securities Dealers (FINRA)

1995–1999

Special Investigator National Association of Securities Dealers (FINRA)

Presented evidence for federal prosecution of former securities brokers in a $32 million securities fraud trading case

SUBJECT MATTER EXPERT – Resolution Trust Company 1997

1990-1995

Education

Master of Business Administration-Finance

George Washington University Washington, DC

Bachelor of Arts in International Economics

George Washington University Washington, DC

Professional Development and Licenses

FEMA National Disaster Level Exercise

Specialized Training: Enterprise Risk Management, Sarbanes-Oxley, Continuity of Operations and Internal Audit; Exercises/Testing Emergency Management of Disasters and Disaster Recovery, DHS PS Prep Program, Compliance Enforcement and Investigation of Financial Fraud (Forensic Audits)

Series 7 and 63 Security Licenses (inactive)

Associate Business Continuity Planner certification CBCI

Professional Affiliations

Member, Institute of Internal Auditors

Member, Red Cross Ready Rating Program

Member, Business Continuity Institute

Member, Disaster Recovery Institute

Technical Acumen

Microsoft Office Suite (Excel, Word, Access and PowerPoint) Costpoint Great Plains Lotus Notes

Dun and Bradstreet Supplier Risk Manager SunGard-LDRPS, Send Word Now and eBRP

Implemented International Security Program – ISOS – Responsible for international incident management

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