Internal Audit Supervisor

SUMMARY OF QUALIFICATIONS

Financial Services Audit Department Manager, Experience includes: Lending, Deposit & Operational Audits; Process Improvement Audits; Information Technology Audits; BSA Audits & Regulatory Compliance; Certified AML and Fraud Professional; ISACA® Cybersecurity Audit Certificate; Staff Leadership; Developing and Updating Audit Programs; Performing Risk Assessments; Work Paper Preparation & Review in accordance with IIA Standards; Audit Report Preparation & Presentation; Management Consultation; Sarbanes-Oxley Section 404 Compliance; Regulatory Compliance; System Conversion and Implementation; FHLB & FHLMC Quality Control Reviews; Primary Point of Contact for Regulatory Examinations and Financial Statement Audit; Excellent Verbal and Written Communication Skills; Review of SEC filings; Vendor Management; Microsoft Word, Excel, Outlook & PowerPoint; IIA Quality Control Reviews.

WORK EXPERIENCE

The Farmers & Merchants State Bank, Archbold, OH, 2004 to 2021

Internal Audit Supervisor

Led audit team at $1B, NASDAQ-listed community bank. Primary responsibilities included, annual risk assessment of the financial institution and submission of audit plan to Board of Directors; primary reviewer for all audits performed by staff auditors; led, assisted with, or performed audits of all areas of the financial institution, including Information Technology, Lending (with a focus on Commercial/Agricultural), Deposit and Financial Control (including the testing and documentation of Sarbanes-Oxley Key control results). Actively participated in ongoing operational, compliance, fraud, financial, and functional risk and control assessments to identify potential Control Gaps and establish the plan for audit testing for the upcoming period; worked with management to mitigate control weaknesses and improve operation efficiency; conducted various audits and made recommendations to management to mitigate control weaknesses; presented audit reports to senior management and the Audit Committee of the Board of Directors based on information previously reviewed with and issues/recommendations. In addition, acted as liaison between the Examiners and the Bank and between the external Auditors and the Bank (with success measured by the savings of time to Bank staff and the compliments offered by the external teams).

Researched, selected, and implemented automated audit software for Audit Department, increasing efficiency, standardizing the audit process, and resulting in an improved experience for all groups involved.

Led effort to improve collection of fees for cashing checks for non-customers by retail team, resulting in a 400% increase in compliance.

Redesigned process for compiling and provided requested information to external CPA firm and Regulatory Examiners, improving the efficiencies of annual exams and audits, and improving those relationships.

Participated in due diligence effort for acquisition of Geneva Bank, identifying interest rate discrepancies during review that would have resulted in a reputational and financial loss by the institution if not detected.

Created audit programs for all assigned audits and performed annual updates to reflect changes in each area’s risk assessment.

Performed process improvement audit and made recommendations to streamline and restructure Commercial Lending department resulting in a significant reduction in loan documentation exceptions noted in post close reviews and regulatory exams.

Led a 100% internal review of all loans pledged to the FHLB in order to challenge a significant reduction in the institution’s available line-of-credit. As a result of the review, most of the line was restored.

Created a BSA Audit program based on the current FFIEC Examination manual and helped to continuously improve controls.

EDUCATION

Associates of Applied Business in Accounting, Northwest State Community College, Archbold, Ohio

Focus on Forensic Accounting

Summa Cum Laude

PROFESSIONAL DEVELOPMENT

ISACA® Cybersecurity Audit Certificate

Certified Anti-Money Laundering & Fraud Professional (CAFP)

Perry School of Auditing 2006 & 2007

President of Northwest Ohio Association 2010 - including managing budget, scheduling seminars and finding speakers

PROFESSIONAL ORGANIZATION MEMBERSHIPS

Northwest Ohio Audit Association

ISACA®

Institute of Internal Auditors

Phi Theta Kappa Honors Society

Kappa Beta Delta Honors Society

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