Risk Management Internal Audit

ANDREA H. BILLINGSLEY

***************@*****.*** www.linkedin.com/in/andreabillingsley 734-***-****)

Audit - Compliance - Governance - Internal Control – Risk Management

Strategic in executing risk and control assessments to improve processes and governance programs. Resolute leader with an accomplished background in leading audits in Fortune 500 companies and working with Big 4 Audit Firms. Proven ability to identify risks, design controls, and develop monitoring of controls. Talent for advancing business strategies and objectives while driving regulatory compliance, instilling best practices, and coaching teams. Expertise Includes:

SOX Audit Planning, Execution & Reporting - Risk Assessment & Mitigation – Compliance -Programs Test Plans - Metrics and Analytics – Regulations – Data Analytics- Internal Audit

Professional Summary

Manager, Business Controls Testing 8/2024-/Present

Western Alliance Bank/CityScape Bldg

Phoenix, AZ 85041

Execute planning and implementation of enterprise-wide operational risk framework, provide risk management guidance to financial Business Units

Participated in the development of policies and procedures for the Business Controls and Testing (BCT) department

Provide guidance on Laws Rules and Regulations to first line business partners

Conduct Risk Control Self-Assessments (RCSA) with key business leaders in accordance with policy

Identify new risks with Business Units based on updated processes and develop key controls for mitigation

Perform Ad-hoc updates to risk and controls based on changes in the Business processes and environment

Evaluate new business, product initiatives, and acquisitions for risk adherence to the bank’s risk appetite

Collaborate with Issue Management and Business Owners to formulate management action plans for risk and control development and remediation

Prepare and present RCSA process maps, risk & control closing packages to Leadership for approval

Train and mentor department Risk Analyst on risk management standards

Update and create department policy and procedures

Cultivate a strong working relationship with peers and business partners, including First Line Risk Managers, RCSA Coordinators, other Second Line functions and Internal Audit

Monitor emerging risk and assess the impact on existing Business Units to better assist with Risk Assessments

Manage Analyst work on risk and control environment

Update policies and procedures for Second Line business units during RCSA refresh

Non-Operational Risk Testing Officer 1/2021-8/2024

Bank of the West/ Bank of Montreal (BMO) – Tempe, AZ

(BOW merged with Bank of Montreal (BMO) 2/23

Conduct Quality Review of ONFR testing for Matters Requiring Attention (MRA) resolution

Oversaw and tested controls by planning, scheduling, documentation, reporting and communication.

Developed training to teach risk identification, control elements and monitoring to First Line Operations

Assisted in development of the Annual Plan for Operational testing of controls never evaluated by the bank.

Review and update policies and procedures to reflect current regulations

Lead Operational Control Testing within the Second Line of Defense by performing walkthroughs, developing test script, analyzing the outcome, and reporting to Senior Management

Trained and supervised Consultants on planning, testing and remediation

Reviewed and evaluated the adequacy of audit workpaper documentation

Performed remediation testing on MSII and reported results to the business unit

Cultivated a strong working relationship with peers and business partners, including First Line risk managers, RCSA Coordinators, other second line functions and Internal Audit.

Analyzed business processes with identified risk and controls looking at operational risk issues assigning a risk rating based on established policy standards.

Facilitate and lead group level meetings with key stakeholders to communicate the status of testing, known gaps and remediation status.

Updated policies and procedures annually

Performed remediation

Senior Operational Risk Manager, AVP

Mitsubishi UFJ Financial Group (MUFG)- Tempe, AZ 12/2020- 12/2021

Managed the Annual Risk Control Self Assessments process for various departments within the Financial Management of the Americas (FMA) unit to include Purchasing and Payables, Corporate Tax, Corporate Treasury including funding, and Capital adequacy and Stress Testing / CCAR (Comprehensive Capital Analysis and Review)

Identified risk and control changes via collaboration with Sr. Leadership and other stakeholders.

Reviewed and provided feedback on control test scripts, documentation, and results.

Created and updated process flow documentation for FMA processes

Assisted in quarterly assessments of operational risk related to other processes e.g., internal operational risk reports, risk appetite statements and control certifications.

Accounting and Financial Controls Manager 05/2018 – 07/2020

Barnes Group, Engineered Components-Bristol, CT,

Executed control design assessments and developed audit test plans to identify control gaps and weaknesses based on signification risk exposure.

Planned, coordinated, and conducted entity level control (ELC) control testing to assess the effectiveness of the control environment.

Performed Annual Risk Assessment of the Division (13 BU’s) to develop test scope and timing.

Monitored and tracked the remediation of management action plans to closure including the prioritization of aged items.

Collaborated with Barnes Corporate Controls dept. to update financial policies.

Oversaw Revenue Recognition (ASC606) and ASC 842 Lease Standard rollout.

Helped implement Lease Standard ASC 842 updates by providing guidance to Division Controllers on implementation.

Accountable for reviewing and approving quarterly Bad Debt and Inventory Reserve changes.

Reviewed and approved Business Unit account reconciliations and high-risk journal entries

Assisted with Corporate Internal Audit on joint domestic and international audit engagements.

Prepared Quarterly financial memo to Senior Management detailing internal control risks and opportunities identified before Quarterly Certification

Supervised one person and directed three others on control testing.

Cultivated strong relationships as part of the ongoing risk assessment framework to assess impact on audits.

Internal Controls Manager 03/2014– 5/2018

BrassCraft Manufacturing - Livonia, MI

Executed reviews and monitored test progress/results and adequacy of controls.

Conducted UAT testing for JDE ERP Implementation project for the AR/AP/INV/FSC processes.

Designed and implemented comprehensive test plans for business processes to ensure completeness and accuracy.

Supervised and trained employees to perform annual audit testing based on IIA principles and standards.

Analyzed risk-level of issues/findings and communicated with process owners to strategize solutions; validated completion of corrective action plans to ensure adequate and prompt resolution of issues and risks.

Developed Internal Control Dashboard that informed Senior Management of audit testing progress.

Developed testing of ITGC controls that included interface, change management and access security.

Reviewed and tested SOC 2 requirements of Third-Party providers for the divisions

Cultivated strong relationships with cross functional groups to implement Sox testing.

Served as the subject matter expert for Masco finance and controls policies.

Created Internal Controls Best Practice document to inform Management of improved processes based on audit testing.

Led Continuous Improvement projects using DMAIC.

Supervised three full-time employees and three interns.

Annually updated process documentation based on risk changes with Control Owners to ensure testing accuracy.

Previous Experience

Sr. Auditor Masco Corporation – Livonia, MI 9/2010 - 3/2013

Sr. Financial Analyst Kautex Corp – Troy, MI 6/2008 – 9/2010

Auditor GMAC – Southfield, MI 3/2005 – 6/2008

Additional Relevant Experience

Technology

Microsoft Office (Excel, Word, PowerPoint, Visio) • Hyperion Enterprise • GRC (Governance, Risk, Controls)

• ACL • Risk Navigator • Auto Audit • PeopleSoft • SAP • JDE Oracle• Microsoft Project • Banner• OpenPages • Metaviewer• Business Planning and Consolidations • JBA ERP • Blackline Reconciliation System • Concur• Cognos• Sharepoint•Teams• GRCE (Governance Risk Controls Engine) • Workday • SAI360/GRC

Education

Master of Science in Administration, Quality Management (PMP)- Madonna University, Livonia, MI

Bachelor of Business Administration, Accounting - Eastern Michigan University, Ypsilanti, MI

Professional Affiliation

Institute of Internal Auditors (IIA)

American Bankers Association (ABA)

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