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Mark
mdbanks66@gmail.com
440-381-5562
1244 Sunset Road
Auditor/ Managing Risk/Compliance Consultant
23 years experience W2
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Summary

An honorably discharged veteran of the United States Air Force, and an accomplished management professional. I have 10+ years of experience in the area human resources management, compliance, and communications. I am a results-oriented manager with the ability to coordinate multiple projects, with the skill to effectively manage staff at all levels of diverse backgrounds. of Accomplishments

  • Created and directed the JP Morgan Chase Manhattan Mortgage Cleveland Fraud Investigations unit, which successfully recovered over $15MM in losses.
  • Governed continuous monitoring and inspections of the health and safety program at 4 Federal facilities
  • Implemented multiple cost-effective risk controls which provided a savings to the bank of over $50MM. client base.
  • Provided project oversight during the securing of a signature verification system for the Cleveland Site, thereby limiting the bank's exposure to potential risks, which produced a savings to the bank over $4 MM.
  • Designed risk controls for several procedural breeches that significantly reduced the bank's risk exposure due to Fraud and various Regulatory risks, thereby preventing potential brand risk and fines over $5 MM.
  • Successfully reduced the number of National Credit Union Administration (NCUA) findings from 10+ required improvements to 1 recommended improvement, thereby reducing exposure to a potential $10K + in regulatory penalties.
  • Controlled process re-design initiatives surrounding the handling of official court documentation thereby reducing Westfield Bank's potential exposure to legal, regulatory, and brand risks.
  • Established various corporate audits and risk assessments.
  • Identified significant risks, and various process gaps.
  • Continuance Audit methodologies, thereby remediating potential legal risk exposures, fines, and penalties to Regions, PNC Bank, and American Eagle Outfitters, that could have resulted in total losses averaging over $50MM annually.
  • Created and directed the JP Morgan Chase Manhattan Mortgage Cleveland Fraud Investigations unit, which successfully recovered over $15MM in losses.
  • Governed continuous monitoring and inspections of the health and safety program at 4 Federal facilities
  • Implemented multiple cost-effective risk controls which provided a savings to the bank of over $50MM. client base.
  • Provided project oversight during the securing of a signature verification system for the Cleveland Site, thereby limiting the bank's exposure to potential risks, which produced a savings to the bank over $4 MM.
  • Designed risk controls for several procedural breeches that significantly reduced the bank's risk exposure due to Fraud and various Regulatory risks, thereby preventing potential brand risk and fines over $5 MM.
  • Successfully reduced the number of National Credit Union Administration (NCUA) findings from 10+ required improvements to 1 recommended improvement, thereby reducing exposure to a potential $10K + in regulatory penalties.
  • Controlled process re-design initiatives surrounding the handling of official court documentation thereby reducing Westfield Bank's potential exposure to legal, regulatory, and brand risks.
  • Established various corporate audits and risk assessments.
  • Identified significant risks, and various process gaps.
  • Continuance Audit methodologies, thereby remediating potential legal risk exposures, fines, and penalties to Regions, PNC Bank, and American Eagle Outfitters, that could have resulted in total losses averaging over $50MM annually.

Experience
Senior Pastor
Jan 2011 - present
  • Provide support, and encouragement, to the congregation
  • Design and facilitate worship services
  • Deliver sermons and lead in observance of the church ordinance
  • Oversee the activities of the congregation
  • Lead the church in an effective evangelism program and in a caring ministry for those in the church and community.
  • Manage ministerial assignments
  • Serve as the lead in an effective program of visiting members and prospects.
  • Conduct counseling sessions, perform wedding ceremonies, and conduct funerals.
  • Lead the church in planning, organizing, directing, coordinating and evaluating the total program of the church. (Church Council)
  • Cooperate with the local association, state convention and Southern Baptist Convention leadership in matters of mutual interest and represent the church in civic matters.
  • Act as moderator of the church business meeting. (Unless someone else is elected as moderator)
  • Work with deacons, church officers and committees as they perform their assigned responsibilities
  • Serve as administrator of the paid church staff supervise the work of the ministry staff both volunteer and paid ministers and directors
  • Facilitate emergency, and scheduled, ministerial trainings
No skills were added
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Managing Risk/Compliance Consultant
Banking/Financial
Jan 2014 - present
(Compliance and Risk)
  • Represented corporations at various regulatory meetings concerning risk
  • Managed the workload of the Assistant Vice Presidents (AVP) s in the Vendor Management Officers (VMO) based on regulatory guidance
  • Provided macro oversight for the creation and planning of risk processes
  • Enhanced various audit and the continuous monitoring of compliance programs
  • Served as and managed the workload of Assistant Vice Presidents (AVP) s in the 3-party vendor management space
  • Instituted the establishment of various norms and performed quality assessments in the completion of self-testing
  • Represented the company's and initiated various fraud investigations (i.e.: counterfeit instruments)
  • Identified various risks and continually monitored risk controls for compliance documented and socialized documented decision-making processes for corporate use
  • Tested multiple IT and Operational compliance program controls for effectiveness to include those centered around Human Resource (HRIS) on-boarding processes
  • Performed various risk audits and assessments (i.e.: 3 party vendor management and Financial Instruments)
  • Trained Lines of Business the identification of ineffective controls.
  • Monitored an implemented various IT controls (i.e.: SOX and BASEL)
  • Managed several Enterprise Risk Management Systems (i.e.: Phoenix, SAS, and other systems)
  • Identified transactional, documentary, and technological control gaps
  • Continuous validation of testing and other data integrity issues
  • Provided feedback to the companies regarding their IT program
  • Established KPIs, created various policies and procedures
  • CTR, SAR, and ROI analysis
Auditing Compliance Project Management Risk Management SAR Reports SOX Fraud Investigation Vendor Management
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Corporate Compliance Analyst
Banking/Financial
Jan 2013 - Jan 2014
  • Structured the Business Continuance program
  • Monitored various regulatory and compliance issues
  • Reviewed and analyzed Ad-Hoc reports
  • Provided oversight in the management of transactional frauds
  • Supervised the creation of risk policies and procedures
  • Analyzed KPIs for risk/fraud reports and test results
  • Implemented the use of SOX, BASEL, and other documentary controls
  • Identifying control gaps and facilitated Audit Committee meetings
  • Performed audits of financial instruments and processes
  • Validation of data integrity issues that had been identified
Auditing Compliance SOX
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Managing Risk/Compliance Consultant
Jan 2008 - Jan 2013
(Compliance and Risk)
  • Advised Sr. Management regarding line of business risks (LOB) associated with corporate programs
  • Identified and documented risk tolerances for department management
  • Served as and managed the workload of Assistant Vice Presidents (AVP) s in the 3-party vendor management space
  • Provided macro oversight of the risk planning for processes
  • Enhanced various audit and the continuous monitoring of compliance programs
  • Identified transactional, documentary, and technological control gaps
  • Partnered with IT Management and other external departments to establish and administer various risk controls and tests
  • Performed and monitored various audits according to risk assessment findings
  • Developed and implemented numerous policies, procedures, and risk reporting strategies pertaining to Corporate Risk Management
  • Managed several Enterprise Risk Management Systems (i.e.: Phoenix, SAS, and other systems)
  • Performed various self-assessments in the identification and remediation of effective risk controls
  • Managed corporate initiatives through continuous validation and data integrity testing
  • Identified various risks and continuously monitored for compliance
  • CTR, SAR, and ROI analysis
  • Supervised various continental U.S. fraud investigations departments
  • Instituted the establishment of various norms and performed quality assessments in the completion of self-testing
  • Trained various lines of business management in the establishment of risk management controls
  • Established Key Performance Indicators (KPI) s to proactively address issues
Auditing Compliance Project Management Regulatory Reporting Risk Assessment Risk Management SAR Reports Fraud Investigation SAS Vendor Management
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Sr. IT QA Audit Manager
Jan 2006 - Jan 2008
  • Created and conducted IT and training risk assessments
  • Monitored the Business Continuance / Disaster Recovery and Third-Party Vendor Risk Management programs
  • Provided oversight in the implementation of various IT risk controls
  • Preformed audits of various program and technology process
  • Proactively monitored systems for KPI issues and provided feedback
  • Managed various Operational and IT risk audits
  • Managed several Enterprise Risk Management Systems (i.e.: Phoenix, SAS, and other systems)
  • Directed the socialization of risk processes
  • Established various dashboards which allowed the company to maintain an active posture regarding performance
  • Served as the Point of Contact for the Disaster Recovery program
  • Fostered the completion of Business Impact Analysis (BIA)
Auditing Project Management Risk Assessment Risk Management Quality Assessor SAS
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Jan 2006 - Jan 2006
No skills were added
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AVP/Manager - Operational Risk Management and Fraud Investigations
Jan 1999 - Jan 2006
site USAF - HQ Office of Special Investigation
Project Management Risk Management
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Sergeant (Honorable Discarge)
Jan 1999 - Jan 1999
Washington, DC
MEMBERSHIPS
  • National MBA Association, Association of Certified Fraud Examiners (ACFE), Institute of Internal Served as the liaison between corporate and the Office of Comptroller of Currency (OCC) representatives Auditors (IIA), ISACA, Alpha Sigma Lambda
  • National Honor Society, Alpha Phi Alpha Fraternity, Incorporated
IIA
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Edit Skills
Non-cloudteam Skill
Education
Goals
Baldwin Wallace University
Organizational Leadership Systems
Baldwin Wallace University
Minor: Organization Communications
Certifications
Leadership * Human Resources Management
Skills
Project Management
2021
20
Risk Management
2021
20
Auditing
2021
14
Compliance
2021
12
Fraud Investigation
2021
11
SAR Reports
2021
11
Vendor Management
2021
11
Risk Assessment
2013
7
SAS
2013
7
SOX
2021
7
Regulatory Reporting
2013
5
Quality Assessor
2008
2
IIA
1999
1