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Tracey
traceyrobinson7@icloud.com
904-583-5467
6755 Cisco Gardens Rd W
Jacksonville, FL 32219
Vice President of Risk Management / Business Controls Manager
19 years experience W2
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Summary

  • Result oriented professional with 15+ years’ experience in risk management, strategic planning, external/internal audit, team management, UAT, training, compliance, vendor management, business continuity, and disaster recovery as well as medium and large-scale project management from 100K to 5M.
  • Proven success in third-party oversight, attorney oversight, product management, and contract compliance, across a variety of organizations including banking, mortgage, and the collection industries.
  • Agile subject matter expert.
  • Proven record in case management, contract review, audits (external & internal), and legal counsel liaison.
  • Certified Risk and Compliance Management Professional (CRCMP).
  • Six Sigma Black Belt (SSBB), Six Sigma Green Belt (SSGB), and Six Sigma Yellow Belt (SSYB).

AREAS OF EXPERTISE

  • Seasoned Operations and Strategic Leadership
  • Driving Success in Risk Management
  • Skilled in Business Analysis/Process Improvement
  • Validating Internal Controls
  • Coordinating and Leading Projects
  • Collaborating Across Department Lines
  • Working with Fortune 500 Banking Companies
  • Delivering Executive Status Reports and Summaries
  • Experience in Business Continuity/Disaster Recovery
  • Developing Policies and Procedures
  • Third-Party Risk Management/IT
  • IT Auditing
  • IT General Controls

TECHNICAL SKILLS

  • Proficient in QuickBooks Desktop Enterprise, Lexis, Westlaw, Pacer; CPT, Archer, Business Intelligence, TMM, TOM, MSP, CATTS, BTConverge, and SharePoint
  • Duval, Clay and Nassau County Electric Filing Systems; Passport Queries
  • Microsoft Word, Outlook, Excel, and PowerPoint
  • Utilized COBIT and COSO for IT and Risk roles

Experience
Vice President and Business Controls Manager
Banking/Financial
Dec 2018 - present
  • Fulfilled a critical role supporting Citigroup, a key client of the agency, coordinating projects to resolve issues within Global Banking and Branded Cards.
  • 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.
  • Performed auditing and reviews on access management, change management, UAT audits, vendor management, and data integrity.
  • Performed assessments of IT General Controls like access management and change management.
  • Leveraged broad and deep insights into the credit card and retail banking industries to identify opportunities to improve processes and business practices.
  • Authored business cases and fostered discussion of project scopes with senior managers, product managers, and line of business leaders.
  • 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.
  • Handled IT service ticket/desk issues for system upgrades & issues. Contributed to the success of a project to investigate the erroneous application of foreign transaction fees on a class of executive and premiere card holders.
  • Credited with achieving all project milestones and deliverables on-time and within budget across multiple initiatives.
  • Managed multiple projects with project teams ranging from 5 – 20 people.
  • Represented the control functions of the bank with regards to cybersecurity, audit, record retention requirements, global privacy requirements, regulatory requirements, and risk/control considerations.
Auditing Compliance Project Management Risk Management SDLC Stakeholder Engagement Cyber Security Change Management
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Vice President, Service Delivery
Banking/Financial
Jul 2017 - Dec 2018
  • Global Business Continuity and Recovery Manager (resiliency management) – final position on a contract role
  • Risk Lead, Chief Technology Office - architecture and engineering – 2nd position on contract
  • Risk Lead, Chief Technology Office - workspace services – 1st position on contract
  • Worked with development teams to coordinate the upgrade and implementation of new software using SDLC from Development through Quality Assurance testing and Production release.
  • Responsible for multiple risk and IT projects to include timelines, planning, staff, and budget resources for the staff/project timeline. Validated the efficiency of a project using ROI calculation and presented it to senior management for approval.
  • Responsible for creating and maintaining company reports including BRPs, AITs, Function Locations, BIAs, and SLT leadership reports.
  • Created and maintained the organization’s policy and procedures.
  • Prepared evidence for external audits with the CFPB.
  • Performed external audits.
  • Prepared audit schedule for the year for IT and Infosec along with IA.
  • Managed 75-100 AITs while working with App managers to complete the required due diligence and updates in Continuity Planning Tool (CPT).
  • Reviewed BC and DR Apps in production to validate all docs received to contract with 3rd parties for services. Followed all open projects with VM and provided updates on completion so we could load the new application into the system before the deadline to complete expired.
  • Utilized weekly risk forum meetings to stay up to date on required projects as well as new plans coming on board through the use of RADAR, CMS, AppHQ, CSDB, CPT, TMM, TOM, Archer, Tableau, SQL, and SP.
  • Facilitated meetings with six-eight managers and 50 employees.
Microsoft Excel Project Management Risk Management Disaster Recovery Auditing Quality Assurance SQL Tableau
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Assistant Vice President, Risk Oversight/Third Party Risk Management
Banking/Financial
Feb 2016 - Aug 2017
  • Launched the Risk Department from the ground up, providing the necessary framework to perform due diligence and assess risk associated with vendors and other third-party relationships. Examined 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 the Risk, Compliance, and Complaint process, providing weekly and monthly status updates to the Chief Risk Officer.
  • Exercised the authority to review new products/services and business initiatives to highlight risk issues and business concerns through enhanced due diligence process to include completion/review of SA SIG/SIG Lite.
  • Performed UAT audits and Adhoc reviews.
  • Led audits of business continuity and disaster recovery plans to ensure the sufficiency of internal controls.
  • Performed all routine audits of internal controls.
  • Partnered with IA on internal and external audits as well as scheduled for IA and Risk/Compliance audits needed for the year.
  • 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.
Project Management Risk Management Auditing Compliance Disaster Recovery C-Level Management
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Senior Lead, Enterprise Risk (AVP)
Banking/Financial
Nov 2014 - Feb 2016
  • 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. 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.
  • 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 assigned and results deliverd to SVP OF Risk.
Auditing
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Senior Compliance Officer
Banking/Financial
Jan 2003 - Nov 2014
  • Process Management Consultant III/CFPB Initiative (Contract Role), LPS LLC
  • Senior Compliance Exam Management Analyst, PHH Corporation
  • Monitoring and Testing / QC Auditor III, Everbank
Auditing Compliance
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Edit Skills
Non-cloudteam Skill
Education
Master's in Business Administration
University of the People 2020

2020 Candidate for Master of Business Administration

Attended in Risk & Compliance
American Bankers Association 2016
Master's in Education / Higher Learning
Ashford University 2014
Bachelor's in Social & Criminal Justice
Ashford University 2012
Associate's in Paralegal
Florida State College at Jacksonville 1997
Certifications
Certified Six Sigma Green Belt
Certified Six Sigma Yellow Belt
Certified Six Sigma Black Belt
Certified Risk and Compliance Management Professional (CRCMP)
Licensed Notary in Florida
Skills
Auditing
2021
17
Compliance
2021
14
Project Management
2021
4
Risk Management
2021
4
Disaster Recovery
2018
2
C-Level Management
2017
1
Change Management
2021
1
Cyber Security
2021
1
Microsoft Excel
2018
1
Quality Assurance
2018
1
SDLC
2021
1
SQL
2018
1
Stakeholder Engagement
2021
1
Tableau
2018
1
Agile Methodology
0
1
Analysis
0
1
Business Analysis
0
1
Business Intelligence
0
1
MS SharePoint
0
1
Process Improvement
0
1
Product Management
0
1
Strategic Planning
0
1