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Audit and Risk Management

Location:
San Francisco, California, United States
Posted:
October 14, 2016

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Resume:

ALLEN HOM

**** **** ****** *** *********, California 94122

415-***-**** acw15c@r.postjobfree.com

Senior Analyst

Internal Audit Risk Compliance Controls

Analytical problem-solver, strategic planner, and creative leader with 20+ years combined experience impacting the efficiency, compliance, and performance of varied organizations through expert orchestration of resources and innovative audit implementation. Skillfully target risks and diverse program needs by tactical execution of best practices applications, energizing ethical teams, and broadening solutions to meet corporate and financial objectives. Cultivate dynamic teams, enhancing operations and compliance strategies. Keen ability to apply necessary detail to audits, assessments, and analyses, safeguarding significant resources, eliminating barriers, and streamlining procedures to reduce costs and enhance efficiency, while minimizing risk. Strong agent in creating coalition and leveraging change.

Hands-on Mentoring & Management Risk-Based Audit Applications Critical Planning & Analysis

Continuous Process Improvement Dynamic Team Leadership Full Cycle Compliance Oversight

Sustainable B2B Partnerships Cost Containment Creative Operational & Financial Solutions

Multi-level Risk Assessment Organizational Change Strategies & Consensus Building

Best Compliance Practices Spearhead Positive Change Initiatives Senior Team Collaboration

Facilitate Internal Controls & Ethics Ownership Responsive Management & Corporate Cultural Shifts

PROFESSIONAL EXPERIENCE

Wells Fargo Bank – San Francisco, California 2013 – September 2016

Compliance/Operational Risk Senior Audit Leader

As a team member of Wells Fargo Comprehensive Capital Analysis and Review (CCAR), annually participated and prepared results of the Regulatory StressTest.

As a compliance and operational risk senior audit leader I worked with the businesses to validate actions plans for Regulatory Matters Requiring Attention (MRA). I conducted audits of operational risk for Corporate Risk Management and compliance with laws and regulations. Overall, my day to day responsibilities includes the following:

Execute Regulatory Issue Validation Program

Work with businesses to better understand and manage risk and provie input to Risk and Controls Self-Assessments (RCSAs)

Provide leadership and facilitate risk conversations including assessing third party service parties risks

Influence and coordinate with external stakeholders

Collect and analyze the state of risk (e.g. incidents, audits, test results, etc.)

Ensure adequate controls or solutions are in place

Tiger Trend Inc., San Francisco, California 2009-2013

Risk and Audit Manager

After an engagement with Tiger Trend as an independent auditing contractor in 2009 I was offered a position of Risk and Audit Manager. Created the company’s ethics policies and procedures for Vendors, developed and implemented audit and risk plans and procedures, and business resumption procedures.

Educated vendors to ensure they understand and comply with company’s ethics policy

Identified business risk and proposed remedial actions

Audit financial statements and drafted audit reports for CEO

INDEPENDENT CONTRACTOR (self-employed), San Francisco, California 2008–2009

Start-up consulting firm, providing audit and SOX 404 compliance services, financial controls, and risk identification and solutions.

Independent Auditing Contractor

Impact organizational risk/audit systems collaboratively. Created business plan and procedures to achieve audit objectives and financial controls. Wrote processes and ran accuracy testing, meeting 3rd party audit criteria.

Delivered tasks within budget/under deadline, completing in 5 months, 1 month ahead of schedule, while maintaining alignment with necessary regulations and corporate policies.

Overcame initial challenge in educating clients of need for SOX compliance to augment existing risk management systems, and strengthen ethical standards applications.

Developed sustainable B2B relationships with managers, working together to achieve “best interest” of client.

VISA, INC., San Francisco, California 1996-2008

Director, Internal Audit

Controlled audit procedures, including budgeting, risk management, and necessary amendments. Collaborated with cross-functional business units to determine project parameters and update assessments in context of current business pressures, yet still meeting audit objectives.

Introduced matrix approach to audit process, ranking risks, and facilitating prioritization of resource allocation, aligning procedures with corporate optimization, policies/standards, managing risk via integrated framework.

Initiated partnership approach, meeting face-to-face with managers, paralleling a participative management approach to increase ownership while identifying division needs in the audit.

Re-structured audit program to more closely reflect core departmental objectives of minimizing risk.

Recognized by management for significant contributions in shifting corporate culture regarding value of audits in the workplace, promoting a team, rather than adversarial role.

EDUCATION

Bachelor of Arts in Business Administration

California State University, San Francisco, California

PROFESSIONAL DEVELOPMENT

CIA and CISA Certification Candidate

PROFESSIONAL ASSOCIATION

Information Systems Audit and Control Association (ISACA)

Certified Internal Auditor (CIA)

ALLEN HOM

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