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Kimberlee Wright, MBA/CAMS/CFE

Rabobank | Vice President - Regional SOX Manager

Work Experience

Rabobank
Vice President - Regional SOX Manager
July, 2015
  • Key member of the one-year U.S. Regional Organization, solely responsible for implementing SOX at the consolidated U.S. Operations level. Primary ownership and full responsibility for Consolidated US SOX Testing


Bank of America
, Vice President, Senior Audit Supervisor
May, 2014 - July, 2015
  • ♦ Worked on the MRA Validation audit team tasked with reconciling Operational Risk and Anti-Money Laundering (AML) regulator identified issues.
  • Validated SPF / PEP MRA issues to ensure the bank implemented an effective risk-based due diligence, monitoring and reporting system.
  • ♦ Executed independent review of accounts and customer details to validate proper SPF / PEP designations and to ensure timely monitoring aligned to designated risk levels.
  • ♦ Reviewed AML policies and procedures to ascertain deficiency gaps and elevate to regulatory compliance.

Ernst & Young LLP
, Manager
February, 2007 - May, 2014
  • ♦ Managed, supervised and executed various engagements within the Advisory Services practice.
  • ♦ Key Engagement experiences included: ♦ Fraud: Multi-year role (Staff through Manager) on a risk based financial / compliance audit engagement team with a focus on AML, Fraud, Waste and Mismanagement.
  • ♦ Internal Audit: Risk Assessment, Operational and Third-Party Vendor Audits for multiple clients.
  • ♦ SOX: Oversaw multiple engagements responsible for implementing, assessing and performing detailed testing for clients US and Global SOX client programs.

American Express
, Auditor
June, 2006 - February, 2007
  • ♦ Member of the Enterprise Risk & Assurance Services (ERAS) group tasked with annual audits for the consumer, corporate card and travel business services.
  • ♦ Participated on the High-Net Worth special AML investigative audit project related to account pre-authorization requests and customer due diligence through: ♦ Review and analysis of Customer Identification Program (CIP) tracking documentation.
  • ♦ Research and due diligence procedures to validate customer details and flexible spending accounts.
  • ♦ KYC (Know Your Customer) identity risk mitigation, per section 326 of USA Patriot Act. ♦ AML special investigative audit review of the Money Services Business (Franchise Travel Office) through: ♦ Review and analysis of the Customer Due Diligence process and controls for owners.
  • ♦ Examination and analysis of AMEX transactional activity to trace potential money laundering activities.
  • ♦ Suspicious Activity Reports (SARs) scrutiny and reconciliation.

PwC
, Auditor
August, 2004 - May, 2006
  • ♦ Aided clients in the preparation and filing of financial statements & disclosures per annual audits for various regulatory agencies.
  • ♦ Performed integrated audit (SOX "404") testing of controls and detailed testing of multiple areas for interim and year-end audits by executing a developed audit plan to identify and resolving exceptions.
  • ♦ Compiled financial statement analytics by addressing expectations and providing detailed explanations of variances.

Education

Utica College, Certificate - Financial Crime Investigation
2017
Utica College, Master of Business Administration - Economic Crime & Fraud Management
2016

Skills

  • TESTING
  • AUDIT
  • SARBANES OXLEY
  • SARBANES-OXLEY (SOX)
  • SOX
  • AUDITS
  • AML
  • INTERNAL AUDIT
  • RISK ASSESSMENT
  • VENDOR AUDITS
  • DUE DILIGENCE
  • DISCLOSURES
  • EXCEPTIONS
  • FILING
  • FINANCIAL STATEMENTS
  • OPERATIONS
  • RECONCILING
  • REGULATORY COMPLIANCE
  • DOCUMENTATION
  • MITIGATION
  • RECONCILIATION
  • BUSINESS SERVICES
  • FRAUD INVESTIGATION
  • OPERATIONAL AUDITS
  • REMEDIATION
  • ACCOUNTING
  • FINANCIAL AUDIT
  • OPTIMIZATION
  • PROCESS DOCUMENTATION
  • REGULATORY REPORTING
  • TEST SCRIPTS
  • PAYMENTS

Languages

English
Full professional proficiency

Networks