TRACEY ROBINSON

adslcg@r.postjobfree.com

904-***-****

ACCOMPLISHED RISK, COMPLIANCE AND QA/QC PROFESSIONAL

Drive significant results through dynamic foresight, strategy and leadership of teams Accomplished and results-driven Risk Management and Compliance Executive with broad based expertise in building and leading effective strategies to minimize risk, delivering results in leadership roles over projects for major Fortune 500 financial services institutions. Expertise in leading the examination and measurement of risk across all areas of operations, including the review of internal controls and interviews with process owners. Worked with stakeholders including executives within Citigroup to manage risk and enforce business controls.

A demonstrated record of success establishing relationships and motivating teams to produce consistent results in a series of leadership positions with C2G Partners (Citi group), TEKSystems (Bank of America), RoundPoint Mortgage, BNYMellon and several other corporations.

AREAS OF EXPERTISE

Seasoned Operations and Strategic Leadership.

Skilled in Business Analysis/Process. Improvement/Policy Implementations Validating Internal Controls/Risk Framework.

Coordinating and leading compliance testing including annual RCSA review/update Collaborating with Board & C-Level Executives on Best Practices.

Client experience maps & process mapping across mortgages, retail, sales operations and marketing. Emphasis on efficiency and lean process.

Interviewing, compiling and delivering reports and processes to stakeholders/executives.

Experienced in Beeline, PPM and Taleo.

Experience in Business Continuity/Disaster Recovery/Resiliency Mgmt.

Developing Policies & Procedures with new employee training as needed.

Cognos, Beeline and PPM experience.

Third Party Risk Management/IT/Oversight.

Skilled in Agile, JIRA, MSP, Salesforce, SP and numerous other software programs.

Handled IA reviews and reporting to CRO.

Lead auditor, coordinated external audits and completed reporting on audit issues to IA and other senior stakeholders.

ServiceNow implementation to include PROD, UAT and Testing.

ProAct (Deloitte)- utilized for regulatory updates

Handled Contract reviews/redlines for third party suppliers/vendors.

Process mapping for risk & controls oversight.

Professional Experience

7/2021 to present Citibank Third Party Testing & Assessment, Senior Analyst, Vice-President

-Responsible for first line oversight to include creating policies, procedures and processes as needed for the CBCM area of Personal Banking & Wealth Management.

-Created reports across TPRM/CBCM to track pass, fails, not tested and gap assessments.

-Prepared presentations for upcoming OCC and IA audits, annual requirement.

-Support process owners on Change Initiatives risk evaluations, Issue Management, and Internal/External reviews

-Partner with business process owner to ensure timely action on process or monitoring fails, trends, operational losses, open issues, and action plans from ineffective control

-Assumes leadership role in ensuring all Citi Risk & Controls (GRC) changes, issues and requirements are cascaded, executed, and closed out. This includes a range of responsibilities such as standard / enterprise control profile adoption, QRA requirements, ARA requirements system access reviews, migrations, and change management.

-Independently assess risks and drive actions to address the root causes that persistently lead to operational risk losses by challenging both historical and proposed practices.

-Develop and maintain relationships across the business users and Lines of Defense to better understand and deliver customer requirements by responding to changes in the internal and external business environment

3/2021 to 7/2021 BNY Mellon Short term contract role through Eliassen Group Jacksonville, FL

Senior Business Analyst - Program/System Implementation

~ Working with typical artifacts - BRD, FRD & Governance Structure

~ Data modelling - data perspective updates.

~ Provide detailed requirements gathering - driving requirements by engaging stakeholders.

~ Prepared presentations for senior stakeholders and project SVP to present to ServiceNow team for approval.

~ Manage project deliverables and provide updates to senior stakeholders on a weekly basis.

~ handled gap analysis to provide system needs for IT while in the implementation process.

~ utilized ProAct system for regulatory updates/changes.

~ Handled policy & procedure updates that will occur once ServiceNow is rolled out company wide for issue management.

~ Updated project hours in PPM to maintain compliance with reporting of FTE/Contractors for adherence to approved SOW.

10/2020 to 3/2021 Bank of America 5 month contract role through Teksystems Jacksonville, FL

Business Reporting Analyst III for Wealth Management and Data Analytics/Information Technology

~ Fulfilled a critical role supporting Bank of America, a key client of the agency, coordinating reporting, capacity planning and budgeting across wealth management and data analytics.

~ Manage project financials to ensure project spend is within budget, monthly variance between forecasts and actuals is minimal, work with project managers to capture resource allocations and forecasts; report on outcomes of financial forecasting activity.

~ 2020 completed with .56% for owned initiatives and overall at .5% for corporate forecasts. Goal of 1% overall and 3% for owned initiatives across all LOB’s to include risk.

~ Consolidate multiple sources of data into intelligent reports; including PvP report, resource allocation report, resource utilization report and resource management report on a daily basis.

~ Manage a tech exec's base and initiative funding, and all staffing plans, to ensure tech exec forecast month over month is accurate to within 3%, and 1% for the year.

~ Corporate forecasting & Capacity Planning for a $36 million dollar portfolio across seven (7) tech executives for multiple projects/programs.

~ Report on and mitigate monthly variance between forecasts and actuals. Provide support with PMMT allocations and reporting.

~ Completed business Controls review and process improvement across seven different DAIT (Data Analytics & Insights Technology) platforms.

~ Complete resource management for FTEs and Contractors monthly with < 1946 hours.

~ Complete DAIT team (Data Analytics Information Technology) financial governance report monthly for executive review.

3/2019 to present I American Legion (Non-Profit Veterans Org.) I Fernandina Beach, FL Volunteer Auxiliary Officer for Canteen/Finance encompassing all areas of the veterans’ organization to include canteen, events, planning, committee meetings, and compliance with State of Florida requirements.

~Handle all funds to include collection of dues, remittance of department and national dues and special funds to department headquarters monthly.

~Use POS system to document sales/profits for reporting daily which includes bank deposits as well as vendor payments.

~Responsible for bids, contract review, scheduling of events, grant process review and submissions with approvals to complete SOW timely and report as required to the State of Florida on a quarterly basis.

~Currently using POS and Agile to complete the required tasks daily and weekly update of inventory as well as pricing for proper sales operations in compliance with the State of Florida. Maintains all licensing for canteen, bar and fundraising events to verify compliance with State.

~QA audits done monthly on legion to maintain proper reporting and reduce waste/fraud. ~ Created process flow and mapping for Legion canteen and non-profit programs.

12/2018 to 6/2020 CItigroup JACKSONVILLE, FL

Business Controls Manager for Branded Cards and Marketing (Citigroup)

Fulfilled a critical role supporting Citigroup, a key client of the agency, coordinating projects to resolve issues within Global Banking and Branded Cards and Marketing. Developed and strengthened relationships with key stakeholders in the Internal Audit, Legal, Compliance, CBORC, Vendors, Government and Regulatory Affairs departments to meet the goals of each initiative.

~Leveraged broad and deep insights into the credit card and retail banking industries to iden tify opportunities to improve processes and business practices.

~Issue manager for branded cards, thank you & reward campaigns as well as other issues within marketing and TPRM LOB.

~Authored business stories, issue analysis and fostered agile discussions of project scopes with senior managers, product managers, line of business leaders, and external vendors. ~Applied SDLC and other methodologies to capture substantial gains in efficiency and productivity in the escalation and resolution of issues.

~Assumed a lead role in risk management, identifying and measuring the severity of issues based on the potential impact to project timelines as well as updated controls for issues.

~Documented user stories for senior level management reporting and project delivery across retail/branded cards and marketing.

~Contributed to the success of multiple projects to investigate the erroneous application of foreign transaction fees on a class of executive and premiere card holders to include reporting to CFPB and remediation.

~Created workflows for new processes/controls in ServiceNow.

~Credited with achieved all project milestones and deliverables on-time and within budget across multiple credit cards and marketing initiatives.

7/2017 to 11/2018 Bank of America JACKSONVILLE, FL

Vice President, Service Delivery Consultant and Business Analyst for CTO (Bank of America) Excelled in three contract engagements with Bank of America, encompassing Risk Lead for Workspace Services within the Chief Technology Office, Risk Lead for Architecture & Engineering within the Chief Technology Office and Global Business Continuity & Recovery Manager. In all roles, maintained the authority to plan IT and risk projects, request team members, and build project schedules and timelines, as well as all reports. ~Calculated ROI for each project for presentation and approval by senior management.

~Coordinated and led status calls to discuss and close project issues, hosting up to eight managers and 50 other attendees. On a weekly basis, communicated project updates and projected closure for all aged items in remediation.

~Examined business continuity and disaster recovery applications in production, taking steps to track progress towards completion to enable the loading of new applications into the system prior to deadlines.

~Collaborated with as many as 100 colleagues to ensure the timely launch of an offsite location for Business Continuity/Disaster

~Recovery purposes; completed all required due diligence and updates in the Continuity Planning Tool.

~Utilized ServiceNow for remote workforce and IT solutions across architecture & engineering platforms.

~Partnered with IT and M&A to onboard new systems including telephony and updates to Archer GRC system.

~Reviewed potential third party vendors using SA SIG and enhanced due diligence. Also, performed SOC1 and SOC2 reviews to complete the EDD process.

~Handled review of raw data for trending of issues using excel, tableau and BI. ~Weekly and Monthly updates done in SharePoint and PowerPoint then shared with the executive team for new opportunities.

~Reviewed potential new opportunities with the marketing and control team to validate the process needed to create the opportunity while keeping reducing the exposure to risk.

3/2016 to 7/2017 ROUNDPOINT MTG COMPANY CHARLOTTE, NC

Assistant Vice President, Risk Oversight/Third Party Risk Management

Launched the Risk Department with the Chief Risk Officer (CRO) from the ground up, providing the necessary framework to perform due diligence and assess risk associated with vendors and other third-party relationships.

~Examined contracts such as RFPs, SOC1, SOC2, Statements of Work, and Master Service Agreements to identify potential risk while maintaining a database of vendors. ~Administered a portfolio of open projects relating to Risk, Compliance, and Complaint process, providing weekly and monthly status updates to the Chief Risk Officer.

~Handled CFPB complaints from clients to closure.

~ Utilized Cognos for analysis and reporting on a weekly basis for all areas of risk & compliance.

~Exercised the authority to review new products/services and business initiatives to highlight risk issues and business concerns through an enhanced due diligence process to include completion/review of SA SIG/SIG Lite.

~Led audits of business continuity and disaster recovery plans to ensure the sufficiency of internal controls.

~Handled new/incoming loans acquired from other companies along with verification of all collateral docs and setup in system.

~Coordinated requests and ensured the examination process was executed by third party auditors/CFPB regulators according to requirements.

~Prepared monthly reports for the executive leadership team and board of directors to discuss internal and external clients as well as seek approval for new aftermarket products to increase company profits.

~Assisted with writing/updating the IT DR and BC for 2016/2017 and provided updates to the CISO, COO and CRO on a weekly basis till completion.

11/2014 to 2/2016 GE WORKING CAPITAL SOL. JACKSONVILLE, FL Senior Lead, Enterprise Risk (AVP)

Served as the architect of test programs to identify and mitigate risk across the Aviation, Transportation, Healthcare, Oil & Gas, Wholesale, and Capital Markets, engaging with process owners to validate the use of internal controls.

~Created department-level reference materials for state and audit purposes using visio. Defined and distributed department policies and procedures.

~Developed reports on factored commercial accounts, verifying the full payment of funds and accounts or the proper transmission of demand requests.

~Consistently met project timelines and communicated status updates and forecasted closure dates to management.

~ Created and delivered reports through Cognos and reviewed/delivered to senior managers on a weekly call.

~Project lead on risk, compliance and issues that required remediation for cash, collections, factored accounts and new controls.

~Led weekly calls with 7 other team members located in CT, FL and Budapest to update the audit/testing that they were working on for weekly reporting to the SVP of Risk. ~Assisted with kickoff calls, follow-up calls, project updates, final reports for the audit as signed and results delivered to SVP OF Risk.

~Managed a team of seven (7) analysts including three (3) in Budapest utilizing virtual meeting tools.

Early Career

Process Management Consultant III/CFPB Initiative (Contract Role), LPS LLC, Jacksonville, FL Senior Compliance Exam Management Analyst, PHH Corporation, Jacksonville, FL Monitoring and Testing / QC Auditor III, Everbank, Jacksonville, FL

Education

Ashford University

Master's Degree in Education (Higher Learning)

Ashford University

Bachelor's Degree in Criminal Justice

Florida State College of Jacksonville

Associate of Science Degree, Paralegal

Professional Certifications

Certified Six Sigma Black Belt

Certified Risk and Compliance Management Professional (CRCMP)

Licensed Notary in Florida

Pursuing the Certified Fraud Examiner (CFE) Credential - Test scheduled for May 31, 2021

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