Alan is a Managing Director within the Financial Services Internal Audit practice based out of Dallas, TX and has been with Protiviti since 2012. With over 15 years of internal audit 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 Dallas Office and is the US Mortgage Internal Audit Practice Lead. Alan has a BBA in Accounting and an MBA (emphasis Finance and IT) from the University of Texas at Arlington.
- Internal audit experience across all core consumer lending and servicing processes within both the bank and non-bank environments. Audits include risk-based evaluations inclusive of all operational, regulatory, strategic, and reporting risk categories as well as the use of data analytics across the risk scoping, testing, and reporting phases of work. Subject matter expertise includes all core lending and servicing process for Consumer and Commercial products as well as key corporate processes such as Model Risk Management, Enterprise Risk Management, Compliance Risk Management, Capital Markets, and Treasury Management.
- Led the design and execution of internal audit and enterprise risk assessments within the consumer lending industry (non-bank and bank environment) 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 residual risk / audit risk at the risk unit / auditable unit level.
- Led SOX Readiness, Year 1, and beyond compliance engagements for many multi-billion $ financial services companies from 2012-current. 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 the design and execution of an end-to-end process improvement initiative (lean six sigma), which included an evaluation of internal and external requirements as well as primary controls across all key critical processes (50+), within the Home Loans service line for a Top Ten Bank. Developed process artifacts, control plans, audit programs, and executive reporting to support the execution of overall project milestones.
- Led the design and execution of multiple Internal Audit Transformation projects within both the Bank and Non-Bank financial services environments. Projects included development and implementation of a of a new IA infrastructure aligned with IIA and regulatory requirements, including but not limited to IA Charter, IA Risk Assessment & Audit Plan Methodology, IA Policy and Procedures Manual, IA Workpaper Set, Reporting Templates, Issue Tracking Methodology and Database, and Audit Committee Reporting.
- Assisted with 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. Assessment included interviews with Executive Leadership and direct reports, data analysis, and review of existing documentation (prior reports, budgets, org charts, pre-existing process information) to identify and prioritize high-impact areas for deeper and more thorough analysis and redesign work.
Areas of Expertise
- Financial, Operational, Compliance, and IT Internal Audit
- Corporate & Operations Process Optimization
- Sarbanes-Oxley Compliance
- Data Analytics
- Financial Services (Bank & Non-Bank)
- Real Estate
- Asset Management
- 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