- Banc of California (Santa Ana, CA)
- …+ Manages key initiatives to enhance the SOX Compliance Program - eg, control rationalization, enhancement of anti-fraud controls , cybersecurity controls , ... owners and performs "Test of Design" to identify control weaknesses and ensure that internal controls ...management. + Analyzes, documents, and communicates SOX process and control findings and deficiencies, performs root cause… more
- City National Bank (Los Angeles, CA)
- …procedures and controls are being followed and maintained * Perform BSA/ AML /OFAC reviews of client transactions as applicable to the departmental assignment. * ... and business leaders to identify opportunities for improvement and root causes. * Collaborate with peers across the organization...organization to identify and submit updates to policy and procedural gaps. * Ensure functional… more