Quality Assurance Management

STANLEY P. HUDDLESTON, CISA, CRISC

***** ******* ** ************@*****.***

Midlothian, VA 23113 804-***-****

AUDIT AND RISK EXECUTIVE

Versatile leader with strong audit and risk management experience in financial services. Delivers thought leadership and strategic direction to implementing and executing effective audit and risk management strategies proven to improve; organizational risk management, IT and business operations, and customer experiences. Demonstrated ability to:

• Assess effectiveness of: governance; organizational design; and operating model and their impact on organization’s risk management and control functions.

• Integrative approach to evaluate business and IT functions and assesses risk throughout the business process value chain. Assess the design, appropriateness and effectiveness of implemented controls and their impact to operational efficiencies, risk mitigation, and achievement of business objectives and strategies.

• Provide ongoing advice and counsel to business leaders in a collaborative manner on risk management practices and partner with stakeholders to formulate solutions to manage risk and achieving strategic business objectives.

CobIT FFIEC Guidelines Project Management/PMI SDLC

COSO BASEL II Six Sigma/Lean SAS70

PMI-DSS SOX ERM/GRC

PROFESSIONAL EXPERIENCE

CAPITAL ONE FINANCIAL CORPORATION (COF), Richmond, VA 2001 – 2012

Principal subsidiaries: Capital One, N. A.; Capital One Bank (USA) N. A.; and Capital One Auto Finance, Inc. offer a broad spectrum of products-services to consumers, small businesses and commercial clients. COF has $122.2B deposits and $197.5B managed loans.

Senior Director, Operational Risk Management, COF Bank (2009 – 2012)

Assigned special projects to implement risk management programs, controls and compliance.

• Reduced redundancy of manual control activities, increased staff capacity and throughput along with improving customer experience enhance commercial banking while at the same time improving operational risk management practices and compliance during a major system implementation and business process redesign program.

• Successfully delivered a $5M+ bank program to significantly strengthen bank division business application governance and controls. The program came in 7% under budget, on time, and increased scope.

Senior Director, Information Systems Audit (2006 - 2009)

Director, Information Systems Audit (2003 - 2006)

Senior Manager, Information Systems Audit (2001 - 2003)

Responsible for audit lifecycle including risk assessment, developing annual IT audit plan, setting priorities, managing resources executing audits and review and communicate audit results.

• Consistently managed and delivered the annual IT audit plan on schedule and within budget year over year.

• Asked by the chief auditor to lead a matrix audit team to provide risk assessments and oversight of integration activities to integrate acquired bank’s operations/systems.

• Project and SDLC audit methodology was recognized by a leading consulting firm as best in class. Implemented and executed a project/SDLC audit program for large corporate initiatives that contributed to the improvement of the organization’s project success and overall project maturity. The program also proactively evaluated the design of controls being delivered in the new solution prior to implementation reducing potential control gaps.

Recognized for providing valuable audits for business operational areas by evaluating risk and controls throughout the business process value chain including IT applications and infrastructure controls. Implemented an integrated audit methodology, utilized matrix resources to focus on identified risks.

Enhanced the quality of audits by leveraging COBIT, PCI-DSS, COSO, and BASEL, PCI-DSS, project management (PMI) and IT (IEEE, ITEL, ISO) best practices for evaluating risk and assessing controls throughout IT processes and business operations.

Maximize use of audit resources by leveraging a risk based approach and a methodology I developed to quantify and evaluate risks for projects, IT and operational business and was adopted by all of corporate audit areas.

Sought out by the IT and business organizations for advice on risks and design of IT and operational controls.

UTOPIANETWORK.COM, INC., St. Louis, MO 2000 - 2001

A startup, e-commerce and internet development company, specializing in e-market development.

DEUTSCHE FINANCIAL SERVICES (GE Capital) St. Louis, MO 1996 – 2000

Wholly owned subsidiary of Deutsche Bank AG, Germany. Over $10B in managed assets specializing in distribution chain financing, equipment leasing and asset based lending programs.

Assistant Vice President, Technology Services (1998 - 2000)

Managed IT risk functions: information security program, software testing, and quality assurance (SDLC project management) activities.

Information Security Significantly reduced the number of audit findings and qualified opinion in first 12 months with improved information security governance, standards, practices and controls. Implemented information security policies, standards, self-audit, and awareness programs, and collaborated with network engineers to implement. Initiated the development and drove the implementation of the information security architecture.

Software Testing Enhanced testing program, methodology, strategies plans and procedures that resulted in successful Y2K and a business critical, proprietary lending application implementation with minimal post implementation issues.

IT Quality Assurance: Improved project delivery capabilities, quality and success by initiating and facilitating a software engineering process group to develop and implement common, repeatable software processes. Implemented supporting infrastructure for software processes including system development methodology, project management and change and configuration management practices.

Technology Audit Manager (1997 - 1998)

Senior Technology Auditor (1996 - 1997)

Reported to chief auditor. Re-established the IT audit function post Deutsche Bank’s acquisition of ITT Commercial Credit (ITTCC) including IT risk assessments, audit strategies, annual plan development and execution, communication of results, and staffing.

• Recaptured approximately $13M from a consulting firm and ITTCC for lack of stated earned value of a large system development program at the time of Deutsche Bank’s acquisition of ITTCC using the findings of auditing the program.

• Identified major business risk with newly installed equipment leasing system where system configuration did not agree to terms of executed leasing contracts.

EDWARDJONES, St. Louis, MO 1994 - 1996

An international, privately owned, retail investment banking firm headquarters in St Louis MO..

Senior Information Systems Auditor

Conducted reviews and evaluations of controls over IT operations, systems, and business applications. Worked with management to develop appropriate solutions to improve controls and efficiencies. Accomplishments included:

• Reestablished the IT audit function after a 2 year vacancy.

• Improved audit results by teaming with non IT auditors to develop an integrated audit approach to look at operations and IT infrastructure together.

• Enhanced audit team capabilities by training financial and operational auditors in key application controls and risks, and use of a data analysis and report writing tool to evaluate data and develop metrics to monitor and measure risks and internal control objectives.

• Recognized by operational leaders for quality of audit results through the integration of the business IT infrastructures with audits of business operations and financial audits.

EDUCATION

University of Missouri – St. Louis, St. Louis, MO - B.S. Business Administration (Finance), Minor: Economics with post graduation accounting courses meeting Missouri CPA requirements

St Louis Community College – St Louis, MO Information Systems – Systems development

PROFESSIONAL DEVELOPMENT

Executive Banking Certification Program (VBA & LSU Graduate of Banking)

COF Six Sigma/Business Process Management

VBA Bank Compliance College

COF Emerging Leader Program

UVA Darden School of Business Leading from the Middle

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