Ann Taylor Slater

North Dinwiddie, VA ***** ad0gt6@r.postjobfree.com

804-***-**** linkedin.com/in/anntaylorslater

DIRECTOR AUDIT AND FINANCE RISK MANAGEMENT

A dynamic and innovative Audit, Governance, Risks, and Controls executive with extensive experience in audit and finance risk management. Results driven leader in a Fortune 100 company with a proven aptitude and reputation for excellent people leadership and communication skills to build and lead inclusive high-performing teams, collaborate with cross-functional departments to build dynamic best practice audit and governance processes, implement comprehensive reporting risk frameworks, and serve as a trusted risk advisor to drive compliance and an effective control environment.

AREAS OF EXPERTISE

Internal Audit Leadership Finance Risk Management Public Accounting Financial Statement Audit Regulatory Reporting Global Regulatory Compliance Capital Stress Testing and Liquidity Reporting Risk Commercial Banking Sarbanes Oxley Compliance Internal Controls Testing Program Management Enterprise & Data Risk Management Strategic Partnerships

PROFESSIONAL EXPERIENCE

CAPITAL ONE FINANCIAL SERVICES, Richmond, VA March 2004 – May 2023

Director, Finance Risk Management – SOX and Regulatory Reporting Analysis & Controls

Recognized among leadership for the ability to understand complex processes and their interconnectivity to build and transform comprehensive integrated financial reporting risk framework across the enterprise. Led the design, implementation, and operational management of an independent second line regulatory reporting risk function for the enterprise.

●Drove transformative risk practices through leading the design and implementation of the first ever regulatory reporting quality assurance function and integrated system of internal controls over regulatory reporting framework, including credit risk stress testing process; Led development and implementation of enterprise-wide risk assessment methodology and tools resulting in best practice integrated reporting of risk and controls health to senior leadership, governance committees, and auditors enhancing accuracy, transparency and oversight of reporting.

●Drove vision, strategy and oversight of the internal controls and compliance testing programs, including risk based data transaction and controls testing over complex capital and liquidity reporting and stress testing forecasting (CCAR/DFAST); Partnered with key enterprise data stewards and risk stakeholders to influence the leverage of data analytics to build tools and drive insights to develop a comprehensive annual risk assessment and scoping analysis, data and control testing strategy and plans; Drove development of centralized control governance framework including end to end stress testing process flows, data flows, control change processes within integrated SOX and Regulatory reporting risk workflow tools; Implemented risk-based testing plans and calendar in collaboration with reporting and enterprise risk stakeholders.

●Built and maintained strategic partnerships with and reporting to leadership across the enterprise to deliver risk mitigation strategies and drive compliance; Specifically assisted stress testing model and process owners with development of process flows, risk and controls matrices, procedure documentation, and control testing program administration and management. Conducted proactive discussions with business leaders influencing key stakeholders to gain buy-in on strategy and to address risks and challenges; Served as expert financial reporting risk advisor on various governance committees and enterprise working groups for internal projects, regulatory changes, business and system integrations, etc. to provide assurance over effective management and assessment of financial and regulatory reporting risks and controls in compliance with organizational and industry professional standards.

●Managed budget and the allocation of resources overseeing all data and control testing and validation activities and reporting to leadership. Drove collaboration with cross functional line of business testing teams, contractors, and external auditors leading to significant efficiencies through integrated testing and validation.

●Provided regulatory exam readiness and executive leadership advisory support for reporting and changes to reporting requirements for primary banking regulators (i.e., FRB, OCC) resulting in consistent satisfactory regulatory, capital and liquidity reporting examinations.

●Set team goals and objectives, managed performance, and provided continuous coaching and feedback on individual and organizational performance objectives.

Internal Audit Sr. Manager, Global Finance Audit

Progressively promoted for influencing management to implement an effective internal control environment through driving value-added professional audit services, including leading and overseeing various complex audits and continuous risk monitoring for finance, accounting, and other key auditable entities. Key areas included SEC & Regulatory Reporting, Line of Business Finance and Accounting, Capital Management and Stress Testing (CCAR / DFAST), Liquidity Risk Management, MRA Validation, as well as business integration and data transformation projects.

Maintained internal audit methodology and standards in planning, execution and reporting audit deliverables; Informed approach for defining the audit universe and prepared annual risk assessment and audit plan for global finance auditable entities to assess the adequacy and effectiveness of the internal control environment; Developed effective audit programs to evaluate business risks, processes and controls, perform root cause analysis, make recommendations, and track and monitor findings to closure where appropriate; Supported continuous improvement in audit methodology including championing leverage of key partners, use of data analytics, and best practice audit tools and technologies to elevate internal audit value proposition and delivery.

Directed, managed, and coached varying levels and expertise of staff on large complex audit engagements; Coordinated work assignments among direct finance audit team, cross-functional audit teams, and third-party contractors; Reviewed audit plan, fieldwork, findings, and reports for sufficiency of scope, adequacy of testing and conclusions; and compliance with audit methodology and standards resulting in the delivery of quality integrated audits.

Maintained ongoing relationships with key stakeholders and served as trusted advisor to senior executives on governance and internal controls through fieldwork execution, reporting, and governance committees; Served as Finance Audit representative and risk advisor for internal projects, business and system integrations, regulatory changes, etc. to deliver on high priority initiatives and influence an effective internal control environment.

Coordinated and managed regulatory requests and examinations with bank regulators (i.e., FED / OCC) and external auditors.

ADDITIONAL RELEVANT EXPERIENCE

KPMG LLP, Richmond, VA June 1999 – December 2003

Supervising Senior Associate – Audit Assurance

Led execution of firm’s Business Measurement Process audit methodology to deliver financial statements and statutory compliance audits.

EDUCATION

Bachelor of Science (BS) Accounting

Virginia Commonwealth University, Richmond, VA

Executive Leadership Development Program Graduate

Darden School - University of Virginia, Charlottesville, VA

PROFESSIONAL AFFILIATIONS

Certified Internal Auditor (CIA)

Member Institute Internal Auditors (IIA)

National Association of Black Accountants

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