Kevin is a Managing Director in Protiviti’s IAFA practice. Kevin brings 13 years of consulting and auditing experience in the financial services industry with an emphasis on enterprise risk management (ERM), sales practices / conduct risk, anti-money laundering (AML) and project management.
- Extensive experience managing co-sourced internal audit engagements for various banks, broker-dealers, and exchanges/clearinghouses. Audit work includes a diverse range of areas including: compliance, ERM, financial reporting/SOX, back office operations, credit administration, AML, and fraud.
- Leads a co-sourced internal audit relationship for a Chicago based clearing agency and FSOC designated Systemically Important Financial Market Utility organization. Areas of direct oversight include compliance and ERM, as well as assisting in the buildout of a quality assurance function over Internal Audit.
- Performed a comprehensive risk management benchmarking review for an international banking client focusing on enterprise, credit, regulatory, market, and operational risk. Led efforts to review the bank’s risk management practices in these areas with a focus on management reporting and retail lending.
- Relationship manager for a regional banking client’s internal audit department, overseeing 4,000 hours of co-sourced audit work. Reviews included a diverse range of areas including credit administration, loan operations, enterprise risk management, financial reporting, deposit operations, anti-money laundering, and fraud.
- Led efforts as the outsourced internal audit function for a Chicago based bank. Specific reviews include a lending and credit review in which the team reviewed the bank’s special assets and ALLL process, the underwriting and approval process, a treasury operations review, and a focus on deposit operations.
- Led an AML transformation for a large broker dealer and wealth management organization. Transformation efforts included complete redesign of policies and procedures and processes on the following areas: Customer Due Diligence, Enhanced Due Diligence, Risk Assessment, Transaction Monitoring, Case Management, Training, and Governance and Oversight.
- Performed a process redesign review of the close the books and other than temporary impairment (OTTI) processes for the investment management arm of a global insurance organization. Using client developed methodologies and working with the stakeholders directly, the team identified pain points and challenges to inform the design of the future state. After diagnosis, Kevin led efforts to implement process improvements to achieve industry best practices.
- Led a review of a large retail lender’s program for identifying and reporting troubled debt restructuring (TDR) activity. Activities included a review of the TDR identification process, a review of controls over models, assessment over general accounting treatment, and an evaluation on the company’s compliance with various regulations and laws.
Areas of Expertise
- Internal Audit
- Enterprise Risk Management
- Anti-Money Laundering
- Sales Practices / Conduct Risk
- Project Management
- Financial Services
- Exchange / Clearinghouse
- Bachelor of Business Administration – University of Notre Dame
Professional Memberships and Certifications
- CAMS (Certified Anti-Money Laundering Specialist)
- CFSA (Certified Financial Services Auditor)
- GARP (Global Association of Risk Professionals)