Chris has more than 25 years of experience providing professional services to financial institutions of varying sizes and complexity with areas of expertise in banking, capital markets, asset management, and insurance. Prior to joining Protiviti, Chris served as a Big 4 Partner and Chris was also the National Controls Advisory Leader – Financial Services for a Global Professional Services Firm. Chris has also served as the Chief Audit Executive for a Fortune 20 company.
Chris’ experience includes:
- Internal Audit, ERM and SOX work across key aspects of banking and consumer/commercial finance. Areas include commercial, consumer, credit card, mortgage lending, trading/capital markets, private banking, asset management, treasury, regulatory compliance, AML, financial, credit, market, liquidity, model, CCAR/DFAST, regulatory reporting, and technology risk. Chris works across all three lines of defense.
- Established Internal Audit, SOX, and ERM functions for companies of varying size and complexity. Benchmarking, productivity / organizational design / process improvements in IA and risk management; implementation and assessment in line with OCC / FRB Heightened Standards and related requirements. Has led and / or participated in > 50 EQA and / or QAIP-related engagements. Chris has led large scale IA transformations of functions > 200 IA team members. Chris has led multiple merger / acquisition integration internal audit engagements – for a number of the largest financial services organizations.
- Recently led multi-year co-sourcing IA engagement for a Top 4 financial institution, supervising 75K+ hours / year (on and off-shore); included sales practices, consumer lending, compliance (including AML), model, capital, credit, data risk.
- Led one of the largest mortgage consent order independent validation engagements while at a prior firm. The scope of the work included risk management, oversight/governance, regulatory compliance, third-party risk management, and information systems. This was performed for a Top 5 global bank and included 35+ team members. Engagement work product was reviewed and well-received by federal regulators. Chris has end-to-end (originations through servicing and sales / securitization) mortgage / retail banking experience.
- Led an engagement of 35+ team members performing regulatory mapping, risk, / control assessment (one and off-shore components) for the first line of defense of the trading/capital markets function of a Top 5 global bank. Work included validation of front-to-back processes across 10+ trading desks; well-received by federal regulators.
- As a Big 4 Partner, led the largest global Business Risk Services client engagement in a given year, supervising 150,000 hours of work across five continents, focusing on global controls assessment for the largest bank in the world at the time.
- For broker-dealer / capital markets clients, Chris’ has front-to-back experience across trading desks that include equities, derivatives, fixed income securities, futures, commodities, and currencies - across all three lines of defense. Chris has led large teams in control testing for a number of firms in the following areas: Dodd Frank Act (Swap Dealer, Volcker Rule), FINRA rules, FX Consent Order, Governance, Market Conduct, Surveillance, Trade Clearing / Settlement / Reporting.
- Chris’ internal audit client experience includes: Bank of America, Bank of China, CIBC, Citi, Deutsche Bank, Goldman Sachs, HSBC, JP Morgan Chase, Morgan Stanley, PNC, RBS, Scotiabank, Standard Chartered, TD Bank, US Bancorp, and Wells Fargo.
Areas of Expertise
- Internal Audit, including IA Transformation / Automation
- Regulatory Compliance
- SOX / Financial Controls
- Strategic Risk Management
- Credit Risk Management
- Operational Risk Management
- Technology Risk Management
- MBA (Finance, Marketing, Strategy): Northwestern University – Kellogg School of Management
- BBA, Accountancy University of Notre Dame
Professional Memberships and Certifications
- Certified Public Accountant (CPA)
- American Institute of CPAs (AICPA)
- Institute of Internal Auditors (IIA)