Functional Skills
AI Ethics & Responsible AI
Anti Money Laundering (AML)
Audit Readiness
Change Management / Org Design
Data Architecture
Internal Auditing
IT Transformation
Operations Management
Quality Assurance
Quality Control
Regulatory Compliance
Risk Governance
Risk Management
Software Development
Compliance and risk
Software Skills
Jira
Microsoft Excel
Microsoft Office
Microsoft Word
Oracle Database
SAS
ServiceNow
Microsoft Excel Macros
Sharepoint
Python
Active Directory
Sector Experience
Business Services
Financial Services
Healthcare
Life Sciences & Pharma
Technology
Languages
English
Countries Worked In
USNotable Clients
Citigroup
USAA
Big 4 Accounting
Bulge Bracket Investment Banks
Top Consulting Firms
Experience
Ethixera Consulting
Management Consulting
Principal Consultant
8/2021 - Present
Audit and Ethical reviews
Ernst & Young (EY)
Management Consulting
AUDIT & COMPLIANCE CONSULTANT
2/2022 - 9/2023
• Perform MRA risk analysis; oversee previously approved MRAs for validation.
• Work with a global team of audit and compliance groups in conjunction with a Big 4 and the banking client; coordinate with US, UK, and India groups to provide 24/7 support. Escalate observations and findings related to the QAs.
• Assess the QA templates and work products' grammar, structure, and framework to ensure they are consistent with bank standards.
• Reviewed documents related to each ticket; this included JIRA extracts, Ticket Closure Documents, Business Requirements Documents, etc.
• Determine if the ticket assessment meets compliance, operational, and regulatory risk requirements.
• Work with a global team of audit and compliance groups in conjunction with a Big 4 and the banking client; coordinate with US, UK, and India groups to provide 24/7 support. Escalate observations and findings related to the QAs.
• Assess the QA templates and work products' grammar, structure, and framework to ensure they are consistent with bank standards.
• Reviewed documents related to each ticket; this included JIRA extracts, Ticket Closure Documents, Business Requirements Documents, etc.
• Determine if the ticket assessment meets compliance, operational, and regulatory risk requirements.
PricewaterhouseCoopers (PwC)
Management Consulting
AUDIT AND COMPLIANCECONSULTANT
7/2021 - 12/2021
• Perform Consent Order, internal audits, and issue remediation efforts for large financial institutions.
• Execute testing for BSA/AML compliance, Governance Risk & Compliance (GRC), Software Development Life Cycle (SDLC), quality assurance, and regulatory controls.
• Implement writing process flow documents, detailed test work, and summarized results in work papers.
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● • Conduct walkthrough interviews with Line of Business (LOB), prepare reports, pull and request data to audit, and have conversations with stakeholders and senior leadership.
• Execute testing for BSA/AML compliance, Governance Risk & Compliance (GRC), Software Development Life Cycle (SDLC), quality assurance, and regulatory controls.
• Implement writing process flow documents, detailed test work, and summarized results in work papers.
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● • Conduct walkthrough interviews with Line of Business (LOB), prepare reports, pull and request data to audit, and have conversations with stakeholders and senior leadership.
USAA (contractor)
Management Consulting
COMPLIANCE RISKASSESSMENT CONSULTANT
10/2020 - 12/2020
• Contribute pilot quality control program for the Banking division.
• Evaluate gaps to identify the quality assurance and quality control requirements.
• Develop quality control checklists, procedures, and documentation templates.
• Coordinate meetings with Compliance Officers, Subject Matter Experts, and other business groups to determine risks and compliance solutions.
• Evaluate gaps to identify the quality assurance and quality control requirements.
• Develop quality control checklists, procedures, and documentation templates.
• Coordinate meetings with Compliance Officers, Subject Matter Experts, and other business groups to determine risks and compliance solutions.
TRUIST FINANCIAL (CONTRACTOR)
Management Consulting
GRC TEST ENGINEER
1/2020 - 9/2020
• Employ control and authorization over all aspects of the pilot cyber security and data privacy program for the first line of defense (1LOD).
• Examine controls in the GRC dashboard to record the control library accurately.
• Write test scripts and execute testing to evaluate controls' design and operating effectiveness.
• Record and document control testing results in the RSA Archer GRC database.
• Contribute extensively to the design and functionality of applicable compliance monitoring and improvement activities to evaluate control efficacy.
• Monitor progress and resolution of open issues identified throughout testing and complete detailed finding report.
• Collaborate on the strategy and execution of the encompassing security governance and risk management programs.
• Implement risk detection, control, testing, and process improvement initiatives supporting senior management.
• Develop and provide recommendations for changes to optimize quality, information, and cyber sec
• Examine controls in the GRC dashboard to record the control library accurately.
• Write test scripts and execute testing to evaluate controls' design and operating effectiveness.
• Record and document control testing results in the RSA Archer GRC database.
• Contribute extensively to the design and functionality of applicable compliance monitoring and improvement activities to evaluate control efficacy.
• Monitor progress and resolution of open issues identified throughout testing and complete detailed finding report.
• Collaborate on the strategy and execution of the encompassing security governance and risk management programs.
• Implement risk detection, control, testing, and process improvement initiatives supporting senior management.
• Develop and provide recommendations for changes to optimize quality, information, and cyber sec
SAS INSTITUTE
Management Consulting
AUDIT AND COMPLIANCE CONSULTANT
8/2019 - 11/2019
• Execute in-depth compliance reviews for audits of cyber security and data protection controls against regulations and standards (HIPAA, IRS 1075, ISO 27001, NIST 800-52, FedRAMP).
• Participate in annual IT security risk assessment efforts and execute issue escalation/remediation initiatives based on standards established by compliance teams and business divisions.
• Record and systematize internal policies, procedures, and controls in the internal GRC (Governance, Risk, and Compliance) database and enhance the compliance audit process.
• Reviewed and analyzed third-party and supplier qualification programs to ascertain and implement best practices related to quality assurance, information security, and compliance risks.
• Gauge the adequacy of company-wide training courses related to information security.
• Coordinate responses to RFP and vendor questionnaires.
• Perform a thorough gap analysis of the SSAE 18 audit standards to the current compliance and audit program.
• Participate in annual IT security risk assessment efforts and execute issue escalation/remediation initiatives based on standards established by compliance teams and business divisions.
• Record and systematize internal policies, procedures, and controls in the internal GRC (Governance, Risk, and Compliance) database and enhance the compliance audit process.
• Reviewed and analyzed third-party and supplier qualification programs to ascertain and implement best practices related to quality assurance, information security, and compliance risks.
• Gauge the adequacy of company-wide training courses related to information security.
• Coordinate responses to RFP and vendor questionnaires.
• Perform a thorough gap analysis of the SSAE 18 audit standards to the current compliance and audit program.
Credit Suisse
Management Consulting
Compliance Testing
9/2017 - 2/2019
Compliance Testing
GRIFOLS SHARED SERVICES
Management Consulting
HEALTHCARE COMPLIANCE CONSULTANT
5/2014 - 9/2016
• Governed all practices and standards of third parties utilizing due diligence, supporting the anti-bribery and anti-corruption compliance program.
• Facilitated the sales and promotional audit program for anti-kickback and off-label compliance and other compliance and international activities.
• Tracked and evaluated current U.S. Foreign Corrupt Practices Act (FCPA) trends, U.K. Bribery Act, and other compliance and ethics regulations.
• Determined the adequacy of third-party codes of conduct, policies, standard operating procedures (SOPs), and ethics procedures.
• Oversaw third-party due diligence reports reviewed by the Department of Justice (DOJ), ensuring they met the requirements.
• Delivered expert guidance to government officials for 25 multi-state statutory promotional, gift, and entertainment limitations for private companies.
• Facilitated the sales and promotional audit program for anti-kickback and off-label compliance and other compliance and international activities.
• Tracked and evaluated current U.S. Foreign Corrupt Practices Act (FCPA) trends, U.K. Bribery Act, and other compliance and ethics regulations.
• Determined the adequacy of third-party codes of conduct, policies, standard operating procedures (SOPs), and ethics procedures.
• Oversaw third-party due diligence reports reviewed by the Department of Justice (DOJ), ensuring they met the requirements.
• Delivered expert guidance to government officials for 25 multi-state statutory promotional, gift, and entertainment limitations for private companies.