Staff Management

Catherine M. Clark, M.B.A, C.I.A., CFE, CRMA

**** *. ******

Chicago, IL 60619

Home Phone 773-***-****

Objective: To secure a rewarding and challenging position to be able to add value and improve

operations

Experience: Seaway Bank and Trust Company (SBTC), Chicago, IL

VP of Internal Audit and Loan Review, October 2015 to Present

Staff Auditor, May 1995 through October 1996

Develops the annual audit workplan through a risk-based audit analysis with a comparison to audit resources

Acts as a consultant and a major resource of accounting, internal control, compliance, and best practices to provide improvement opportunities for SBTC

Manages the contractual relationship of the Bank’s Internal Audit co-sourcing firm and works in unison to ensure completion of the annual audit workplan

Reviews and directs the work of department staff. Communicates the results of audit testing to the Audit Committee and Board and applicable third parties

Revamped the tracking system utilized to monitor audit recommendations. Monitors to ensure corrective actions are completed by established deadlines

Guaranteed Rate (GR), Chicago, IL

Director of Internal Audit, December 2013 to September 2015

Developed the policies and procedures necessary to form the newly created Internal Audit Department

Plans the audits and reviews of GR departments and processes. Reviews and directs the work of department staff. Communicates audit results to GR management and supporting staff and the applicable external agencies

National Futures Association (NFA), Chicago, IL

Field Supervisor II, January 2013 to December 2013

Supervised examination planning and responsible for leading a team of staff during the examinations of NFA Member firms. Communicated audit results to NFA management and supporting staff and the applicable external agencies

Provided guidance to staff examiners conducting investigations of NFA members, performing financial analysis, or answering the inquiries of NFA member firms during the periodic phone duty rotation

Assessed the performance of staff examiners by providing feedback and written evaluation

Regional Transportation Authority (RTA), Chicago, IL

Division Manager, Internal Audit, December 2005 to January 2013

Began as a Senior Auditor

Developed the annual audit workplan which was fully aligned with the RTA’s goals and objectives resulting in expense reductions and operational efficiency

Responsible for issuing all audit reports including major findings, opportunities for improvement, recommendations, and follow-up responsibility. Presented findings in a formal presentation to the RTA Board

Supervised consultants and interns to successfully complete audits and projects for all business cycles resulting in improvements of internal controls, systems and procedures

Served as the RTA Ethics Officer. Developed the annual ethics training program and required policies and procedures in conjunction with the Service Boards to promote an ethical climate among the four transit agencies. Acted as a liaison to the Office of the Executive Inspector General (OEIG) and the Illinois Executive Ethics Commission. Worked on investigations jointly with the OEIG

Developed the RTA Whistleblower Program and the related policies and procedures for hotline and web based complaint intake applications. Conducted internal investigations leading to improvements in hiring practices, waste management, and workplace training

Rush University Medical Center, Chicago, IL

Senior Auditor, May 2000 to November 2005

Performed financial, compliance, and operational audits on the main hospital campus and at satellite hospital offices

Supervised audits of staff auditors and mentored and trained new auditors

Conducted fraud investigations of medical center staff

Made accounting and internal control presentations to a graduate level Hospital Administration course

Metropolitan Pier and Exposition Authority (MPEA), Chicago, IL

Staff Auditor, November 1998 to March 2000

Audited departments within Arie Crown, McCormick Place and Navy Pier

Drafted business process improvements for various departments

Conducted a fraud investigation of the cash controls surrounding the operation for the Ferris Wheel located at Navy Pier

Communicated audit results to management and supporting staff

Liberty Federal Bank, Hinsdale, IL

Staff Auditor, October 1996 to October 1998

Conducted operational, compliance, and financial audits

Drafted audit reports and audit workprograms

Communicated audit results to management and supporting staff

Education: Certified Internal Auditor

Certified Fraud Examiner

Certification in Risk Management Assurance

Keller Graduate School of Management

M.B.A. concentration in General Management

University of Illinois at Urbana-Champaign, IL

B.S. Degree in Accountancy

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