Alan is a Managing Director within the Financial Services Industry practice and has been with Protiviti since 2012. With 15+ years of leadership, Alan manages internal audit, risk governance, and compliance engagements focused on mid-sized and large Financial Institutions. Alan helps lead the Financial Services Internal Audit practice for the Texas Market and is the US Mortgage & Consumer Lending Internal Audit Practice Lead. Alan has a BBA in Accounting and an MBA from the University of Texas at Arlington and is a CIA and CISA.
- Internal audit leadership across all core banking processes including deposits, lending, servicing, risk management, and compliance. Audits include risk-based evaluations inclusive of all risk categories as well as the use of data analytics across the risk assessment / scoping, testing, and reporting phase of work.
- Led SOX readiness and compliance engagements for many multi-billion $ financial services companies. Projects included SOX financial risk scoping, control rationalization and automation, control effectiveness testing, remediation validation, and year end reporting. Operated within no-reliance, reliance, and direct-assist models when working with external audit firms.
- Led remediation validation engagements for financial institutions of all sizes inclusive of process, control, and continuous monitoring aspects of management action plans. Responsibilities included scoping, testing, and reporting in coordination with internal and external stakeholders to facilitate issue closure as well as regulatory requirements where applicable.
- Led the design and execution of internal audit and enterprise risk assessments for institutions ranging from $5B to $200B+ in assets. Risk assessments included defining enterprise risk taxonomy, implementing methodologies for calculating inherent and residual risk, collaborating with senior leadership to determine risk appetite and thresholds for reporting and escalation, performing both top-down and bottom-up risk assessments, identifying and defining control framework, and developing a dashboard for reporting.
- Led the design and execution of multiple performance improvement assessments of internal audit, risk management, and compliance functions for diversified financial services companies with assets ranging from $50B-$200B. Assessment scope areas included comparison against industry best practices and regulatory guidance, identification of synergies, overlaps and redundancies across functions and assessment of key linkages and drivers across programs/activities.
Areas of Expertise
- Financial, Operational, and IT Internal Audit
- Sarbanes-Oxley Compliance
- Corporate & Operations Process Optimization
- Data Analytics
- Financial Services
- Mortgage / Warehouse
- Real Estate
- Asset Management
- Telecommunications / Technology
- Wholesale/Mass Market
- BBA – Accounting, University of Texas at Arlington
- MBA – Finance / IT, University of Texas at Arlington
Professional Memberships and Certifications
- Certified Internal Auditor (CIA)
- Certified Information Systems Auditor (CISA)
- Member, Institute of Internal Auditors - Dallas