Tyler Graham Managing Director Tyler is a Managing Director and leads Protiviti’s Bay Area Market and also holds a leadership position within our Financial Services Industry team. Tyler supports a variety of Fintech organizations by overseeing SOX / SOX-readiness, risk and compliance, and internal audit engagements. Tyler is also responsible for managing large co-sourced internal audit relationships within the financial services industry and also works with large and regional banks, broker dealers, mortgage originators, and specialty finance organizations.Major ProjectsPerformed a variety of Fintech engagement directly for Fintech organization and on behalf of partnering banks. Tyler’s Fintech experience spans capital markets, payments, specialty and consumer lending, blockchain, real estate, and various platforms to service financial institutions. Engagements have included public company readiness assessments, financial controls development, enterprise risk assessments, regulatory reporting evaluations, audit plan development, and the execution of audits. Tyler has also performed due diligence of Fintech companies as part of our larger financial services clients.Responsible for overseeing co-sourced SOX and Internal Audit efforts at several global blockchain / crypto organizations, including exchanges, custodians, and stablecoin providers. Also, overseen various advisory projects to evaluate and help establish Internal Audit and SOX programs.Oversees compliance and audit engagements for Banking-as-a-Service clients which includes evaluating third party / partner oversight, AML and sanctions, and fraud risk management.Worked on several money movement projects with fintech companies and large broker dealers to evaluate money movement and data governance across legacy and home-grown platforms. This has included the movement of many across partnering banks via FBO accounts and sweeps across legal entities.Responsible for managing a variety of outsourced and co-sourced internal audit relationships for large and regional banks. Responsibilities include assisting with Internal Audit Risk Assessments, overseeing audit planning and execution, performing quality assurance reviews, and communicating audit plan status to management.Responsible for leading a variety of Internal Audit advisory reviews for regional and large financial institutions. Experience includes performing Quality Assurance Reviews, 13-1 GAP assessments, and evaluations against the OCC's Heightened Standards for Internal Audit. Projects included providing recommendations for Internal Audit to improve the Internal Audit functions to meet new or existing regulatory expectations for Internal Audit.Areas of ExpertiseFintechInternal AuditInterest Rate RiskCredit RiskCapital ManagementOperational RiskCompliance ManagementIndustry ExpertiseFinancial ServicesEducationB.S. Accounting, Loyola Marymount UniversityProfessional Memberships and CertificationsCertified Public Accountant (inactive)
