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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