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Yyyyyy x. yyyyyy

~ Expert in Audit Management Leader in Managing Business Risk Control Specialist in Multi-Process Optimization ~


0000 xxxxxx xxxx , xxxx , xxxxx 00000 (xxx-xxx-xxxx


Bilingual Vice President specializing in driving multi-national business growth, leading and executing audits, creating strategic continuous improvement initiatives, building details-driven teams, and cultivating a strong brand image with superior quality eager to offer 14+ years experience toward maximizing your bottom line.


Profile of Qualifications


         Dynamic executive who offers a proven record of promotion to positions of higher-level business responsibility and authority.

         Top performer who demonstrates experience in multi-national business optimization, including designing, developing, and implementing solutions-driven projects, policies, and procedures to achieve continued operational profitability.

         Ambitious self-starter who excels at analyzing business needs, identifying lucrative growth opportunities, defining strategies for capturing new business and developing an existing client base, and attaining competitive market leverage.

         Excellent communicator who contributes superior attention-to-detail and sharp analytical abilities, including regularly taking the initiative to identify and resolve various issues and lead value-added efforts to boost project and system-wide efficiency.


Key Areas of Expertise


   Complex Audit Management

   Strategic Analysis / Planning

   Client / Account Management

   Team Building / Training Processes

   Risk Management / Control

   Short- / Long-Term Planning

   Sales / Marketing / Prospecting

   Policy / Procedure Development

   Regulatory Compliance

   Best Practice Methodologies

   Continuity of Business (CoB)

   Client Relationship Management


Professional Synopsis


Citi, Fort Lauderdale, FL 2015 Present


Vice President Audit Manager

         Capitalize on the opportunity to develop and execute a robust Audit Plan, by reviewable entity, for the assigned businesses per Internal Audit standards, key government statutes and regulations, and Citigroup and Citibank policies.

         Apply talent in building and sustaining inter-relationships of business and support units throughout the corporation, as well as demonstrating knowledge of how relationships impact the overall control environment and the audit approach.

         Expertly analyze reported findings and recommend appropriate interventions where necessary, and work to propose. creative and pragmatic solutions for broad risk and control issues in partnership with directors and managing directors.

         Proactively influence diverse internal audiences, including product, function, or regional executive management partners.

         Direct complex audit activities for a component of a product line, function, or legal entity at the regional or country level, including facilitating initiatives for a portion of the audit annual plan.


Key Accomplishments

  Efficiently review and approve comprehensive Business Monitoring Quarterly Summaries.

  Successfully serve as lead reviewer for all types of reviews, including the most complex and challenging.

  Consistently deliver on-time, high-quality audit reports, handle Internal Audit and Regulatory issue validation, facilitate branch examinations, and lead monitoring and governance committee reporting.

  Serve as member of Voice Of Employee (VOE) Committee that values employee opinions and strives to measure multi-national engagement levels through periodic pulse surveys and annual opinion surveys.

  Actively participated in matters requiring complex judgments and solutions based on sophisticated analytical thought, including identifying solutions for a variety of complex and novel audit control issues.


Yyyyyy x. yyyyyy Page Two (xxx-xxx-xxxx

Professional Synopsis (continued)


HSBC Private Bank, Miami, FL 2013 2015


Vice President Business Risk Control Manager (BRCM)

         Drove adoption, implementation, and maintenance of HSBC SERM framework and appetite that supported HSBC in its business and risk governance strategies, policy framework, and standards, as well as ensuring compliance with regulation.

         Analyzed SERM metrics to identify trends and emerging issues, and communicated issues impacting HSBC s activities.

         Conducted root cause analysis of operational losses over risk appetite, identified control gaps and coordinated appropriate remedial actions, and analyzed and responded to audit and regulatory examination findings.

         Collaborated with partners with departmental business risk managers, business leads, and other stakeholders to create a culture of strong enterprise risk management and assist in ensuring the appropriate mitigation procedures and resolution strategies cross-functionally to build and maintain an effective management of the SERM framework.

         Executed against a pre-arranged review plan to evaluate design and test control effectiveness for LATAM Private Bank market, and reviewed MIS / reporting from Orion for business function management, including risks and control issues.

         Managed risk assessments to ensure risks were mitigated and fell within risk appetite and threshold, and further coordinated critical risk assessment certification and / or sign-off by business and / or function management.


Key Accomplishments

  Achieved Silver Award for receiving a Satisfactory audit rating and Effective RCSA rating while liaising between Federal Reserve and Business to ensure data was disseminated among business or process owners.


Citi, Tampa, FL 2007 2013


Assistant Vice President Risk Control Self-Assessment Manager Leader Continuity of Business (2009 2013)

         Utilized broad industry knowledge and dynamic business acumen to monitor, assess, and control regulatory / compliance risks and ensure that Private Bank LATAM RCSA / KRI processes were monitored and assessed and control regulatory risks were noted within the business compliance matrix, as well as establishing an annual plan for key high-risk processes.

         Expertly performed validation of management s self-assessment of business risks and controls to guarantee accuracy of departmental processes, and effectively identified forward-thinking process improvement opportunities as necessary.

         Served as Operational Risk Coordinator with Private Bank LATAM unit heads to ensure units defined RCSA matrices and tests processes for relevant functions, including guaranteeing controls are in place for unit specialties and performing all testing cycles as defined by RCSA process, independent reviews, ARR, and any other external / regulatory review.

         Coordinated monthly / quarterly reporting of Key Risk Indicators and Operational Losses to Regional QA and tracked resolution and related tasks for triggered KRIs for areas under responsibility of Private Bank LATAM regional office.

         Ensured RCSAs were updated in accordance with changes made in processes, new policies, and methodologies, including providing training to users on Citi Operational Risk Policy and Risk and Control Self-Assessment processes.

         Maximized banking operations compliance with regulations of related overseeing entities (e.g. OCC, local regulators).

         Directed Continuity of Business (CoB) by completing annual / quarterly tests within allotted timeframe, providing new CoB enhancement opportunities, and completing required trainings after the announcement / information is received.

         Conducted due diligence to understand recoverability of third-party service providers; monitored and updated CoB tools with relevant BRPs, documents, and information; and prepared BIA according to CoB policy and policy standards.

         Coordinated and performed Testing of BRPs and CMPs for respective CoB Entities and resolved non-compliance.


Key Accomplishments

  Selected as part of a prestigious and limited-membership AHS Key Talent Acceleration Program.

  Business CoB Plan Independent Plan Review scored 100 / 100% based on personal contribution to make it happen; this was reviewed by Information Security / CoB / Controls Senior Analyst Teody Besana.

  Achieved Highly Effective senior management rating upon latest Annual Performance Appraisal, including receiving a comment as one who has a keen eye for identifying risk [and] proactive nature.

  Played a vital role in International Private Bank receiving a Satisfactory audit rating and overall Effective RCSA rating while liaising between ARR and Business to ensure data was disseminated among business and / or process owners.


Yyyyyy x. yyyyyy Page Three (xxx-xxx-xxxx

Professional Synopsis (continued)


Citi, Tampa, FL (contniued) 2007 2013


Assistant Vice President Financial Center Operations Manager (2007 2009)

         Strategically steered core daily operations encompassing customer service, sales / marketing, relationship management, account management, and compliance, including supporting management and colleagues as an information resource.

         Directed all facets of compliance while serving as key liaison to internal / external auditing professionals to ensure financial transactions adhered to state / federal regulations which were instrumental in ensuring seamless processes.

         Leveraged in-depth knowledge of financial services and debt financing structures to secure new accounts and consistently improve center profitability and revenue growth, along with overseeing loss reduction and risk management.

         Fostered cooperative teamwork among a multitude of staff members in the effective execution of daily roles and responsibilities and establishment of a high-performance team to achieve common business goals.


Key Accomplishments

  Streamlined processes and increased efficiency by identifying improvements and automating systems.

  Contributed to $7 million in revenue within the first 60 days of opening a new DeNovo branch to exceed the actual corporate goal of $5 million within the first 90 days of opening.



Fifth Third Bank, Ruskin, FL 2006 2007


Office Manager

         Applied strong leadership talents toward directing daily operations within a fast-paced financial services environment, including managing all customer service, sales / marketing, collections, compliance, and account management efforts.

         Functioned as a strategic business partner to senior management and supported short- and long-term business planning, along with providing solutions-focused leadership and direction to employees to achieve branch goals and objectives.

         Spearheaded the sale of loan and deposit products by using solid consultative sales abilities and cross-selling experience to generate sales to commercial and private clients, including coordinating loan processing functions, monitoring flow of loans from submission to approval, and ensuring the timely close out of applications to increase customer satisfaction.


Key Accomplishments

  Achieved acknowledgment for producing $5 million in consumer loans within Q3 of 2006.

  Recognized by senior-level management for an exemplary work ethic, superior organizational and analytical skills, and a demonstrated commitment to branch and company success.


Bank of America, Tampa, FL 2004 2006


Assistant Banking Center Manager Officer

         Drove business growth by managing a daily workload encompassing customer service, sales / marketing, strategic planning, compliance, personnel management, and account management, along with serving as an integral member of a management team responsible for establishing banking center short- and long-term plans and sales and revenue goals.

         Directed a results-focused staff while providing mentoring for 21 employees to improve teamwork and cooperation.

         Developed and implemented innovative and strategic sales objectives and customer satisfaction targets for banking personnel, and monitored operational performance versus goals to identify areas for improvement.


Key Accomplishments

  Honored with numerous Bank of America Spirit Champion recognition awards in 2004 and 2005.

  Exceeded financial goals by 23.17% in 2005 to earn a Bankcard Champion award, and received a Certificate of Appreciation for Outstanding Performance in December 2005.

  Selected by senior-level management as the leader of an Operation Excellence Mentors Program with multi-branch responsibility for staff performance and development of 28 banking centers.

  Improved customer satisfaction scores from 52% to 98% and attained a certificate for being the #1 branch within the Tampa Bay market with an operational excellence score of 9.


~ Additional Leadership, Administrative, and Customer Service Roles Held Prior to 2004

with Community Bank of Florida, Gibraltar Bank, and Washington Mutual Bank ~


Yyyyyy x. yyyyyy Page Four (xxx-xxx-xxxx


Education & Professional Development


Associate s Degree in Business Administration (In Progress)

Florida Southern College


ICA Certificate Anti-Money Laundering & Sanctions Compliance (Graduated with Merit in 2015)

Manchester Business School The University of Manchester


IIA Certificate in Internal Audit & Business Risk (2016)

Chartered Institute of Internal Auditor


Individual Leadership Program (2010 Graduate)



Business Cooperative Education Program Bank of Florida Financial Family Orientation Program

Foundations of Banking IBT In-Aisle Impact Selling Program Washington Mutual Bank Internship Program


Incoming Investment-Related Correspondence Compliance Three Layers of Control Time Management

Relationship Building Customer Focus Communicating Effectively Building Trust Individual Leadership

Winning at Customer Satisfaction Teller Referral Sales Training Winning Leadership & Managing Inclusion

Foundations of Banking Overdraft Decision-Making Currency Transaction Reporting Anti-Money Laundering


Continuity of Business (CoB) Monitoring & Reporting Compliance Test Planning / Execution

Business Recovery Plan Development Crisis Event Planning / Management Pandemic Operational Planning


Technical Summary


Microsoft Office Microsoft Publisher Orion Merlin Merlin Teller Nice Boss SAP Business Objects

Vector 5 Domino Zone BICS RM Portal Egencia Microsoft Windows 98 / XP / Vista Internet Applications


Community Service


Team Captain (March of Dimes) Coordinator / Team Leader (United Way) Member (Brandon Chamber of Commerce)

Volunteer (Polk County Department of Public Safety) Member (Community Emergency Response Team C.E.R.T.)

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