Kaitlin is a Managing Director in Protiviti's Risk and Compliance practice and leads the Risk and Compliance Technology sector. She consults with large organizations in managing all types of regulatory and operational risk, with a focus on compliance programs. Kaitlin has participated in compliance reviews and remediation projects for global technology and financial service and banking institutions, addressing various risks including privacy. She also has experience in financial controls compliance, strategic market entry reviews, and buy-side and sell-side financial due diligence for both U.S. and U.K. environments.
- Developed a “know your customer” program for one of the worlds largest technology firms to help better manage third-party, reputational and legal risk and provide transparency into the organization’s customer base
- Acted as the project lead for the independent assessment of a privacy program for a large global technology firm as mandated by an FTC Consent Order. Developed the strategy, approach and methodology for assessing the company's enterprise privacy program, which comprised of 12 separate workstreams and over 100 people. Primary responsibilities include developing board and regulator-level reporting on project findings and progress, developing issue escalation processes and assessing impact of project findings.
- Conducted a targeted compliance risk assessment at one of the largest global financial institutions, of which privacy risk was a key focus. Performed regulatory risk mapping of business and governance processes, identified, updated, and documented controls that mitigated those regulatory risks, and provided subject matter expertise on applicable regulations in an overalleffort to assess the residual regulatory risk of the financial institution.
- Led the independent review of the sales practices risk management program of a Top 5 U.S. bank's wholesale banking arm. The project included an evaluation of controls related to incentive compensation, marketing, client screening and account opening, ongoing advisory and servicing, and client complaints, as they relate to sales practice risk. Directed team in all aspects of the review from development of approach, to execution of fieldwork and delivery of results to executive management.
- Designed the enforcement action intake and resolution processes for a Top 5 global bank. Assessed, enhanced and optimized the current state intake process, including identifying roles and responsibilities, reporting and regulator exposure points.
- Assisted a Top 10 U.S. national bank with their efforts in strengthening their audit compliance program by conducting a compliance audit coverage assessment. Key activities included mapping over 100 banking, operational, deposit and lending regulations to the bank's current compliance coverage and determining where there were gaps in the existing structure.
- Played a key role in the remediation efforts at a large financial institution that was subject to high profile regulatory enforcement action related to allegedly unfair and deceptive mortgage lending practices. Key tasks included performing detailed testing to assess the institution's compliance with the remediation obligations.
Areas of Expertise
- Governance, Risk, and Compliance
- Program Management
- Regulatory Risk
- Consumer Compliance
- Financial Services
- B.S. –Finance, University of Illinois Champaign-Urbana