Brian L. Hicks
Tampa,Florida
Summary
Experienced finance and audit executive with over 20 years in internal audit, project management, and financial operations. Led audit committees, developed analytics tools, and drove strategic initiatives in complex financial settings. Certified Internal Auditor (CIA), Project Management Professional (PMP), and PMI Agile Certified Practitioner (PMI-ACP). Focused on enhancing control environments and delivering substantial business value.
Overview
1
1
Certification
26
26
years of professional experience
Work History
Senior Vice President – Internal Audit COO – Audit Committee Reporting
Citi
Tampa
05.2022 - Current
- Authored and prepared comprehensive materials for the Citigroup and Citibank Audit Committees, including quarterly assessments of control environments.
- Conducted monthly data analysis, trending, and reporting for GBRCC, Board, Chair, CEO, NTRU, and other senior management forums; engineered and maintained analytics tools and dashboards to enhance Committee Reporting effectiveness.
- Collaborated with senior leadership across Internal Audit (IA) and other departments to deliver impactful and actionable board reporting.
- Delivered clear and direct reporting to Citigroup and CBNA Audit Committee monthly and quarterly, enabling prioritization and prompt management actions.
- Provided in-depth and sophisticated analysis with interpretive thinking on control environment indicators to define root causes, identify thematic outcomes, and measure performance.
- Influenced and negotiated with senior leaders across lines of defense to ensure timely reporting and escalation of Citi-wide initiatives.
- Collaborated with IA Executive Management Team and subject-matter experts to synthesize information and communicate key messages across enterprise-wide Risk Governance Framework (RGF), showcasing understanding of Compliance, Credit, and Operational Risks.
- Managed complex and highly variable issues with substantial impact on the risk and control environment. Applied ingenuity and creativity to problem analysis and resolution in complicated and multi-layered scenarios.
Vice President, Audit Manager – IA Culture, Conduct and Ethics (CCE)
Citi
Tampa
05.2020 - 04.2022
- Led the Culture, Conduct and Ethics (CCE) dashboard and tools initiative, transforming Citi’s audit assurance strategy to proactively identify areas of heightened CCE risk. Collaborated with IA Innovation to empower auditors with enhanced detection capabilities and data-driven insights.
- Analyzed datasets to identify data quality issues, harmonized data sets, streamlined workflows, and implemented solutions in the CCE dashboard and robotic processes.
- Served as lead auditor for US Consumer Bank Culture and Global Conduct Risk Program audits in 2020 and 2021, identifying numerous key global audit issues that will add value to the firm.
- Developed and executed a robust Audit Plan in accordance with Internal Audit standards, relevant government statutes and regulations, and Citigroup and Citibank policies. Delivered high-quality audit reports, issue validations, and business monitoring and governance committee reporting on time.
- Executed an Audit Plan aligned with Internal Audit standards and regulatory requirements, delivering timely audit reports, issue validations, and governance committee reporting.
- Managed a complex unit within IA, overseeing a medium-sized team of audit professionals.
- Demonstrated a broad and comprehensive understanding of diverse IA standards, policies, and local regulations. Cultivated effective senior line management relationships and possessed a strong understanding of banking operations and internal controls.
Project Manager - Strategic Investments
MetLife
Tampa
04.2016 - 04.2020
- Led various Global Finance Transformation initiatives, including international PeopleSoft ledger and sub-ledger implementations. Spearheaded end-to-end investments Finance transformation projects, involving replacement of entire mortgage workflows and Front Office, Middle Office, and Back Office system platforms.
- Managed the PMO for central platform migration/central operating model projects in conjunction with Global Finance Transformation efforts aimed at streamlining organizational workflows and processes.
- Directed global testing governance for investment asset classes, including securities, derivatives, mortgages, and joint ventures. Managed resolution of business process issues, focusing on vendor evaluations and process redesigns.
- Oversaw initiatives to review functional flows, identifying opportunities for enhanced efficiency, quality, and regulatory compliance through critical analysis of business processes and technology-related challenges.
- Facilitated and documented business requirements gathering sessions with Subject Matter Experts and system users, translating requirements into system specifications, designing process flows, and delivering process training. Applied recommendations from process reviews to create advanced Excel/Access applications.
- Prepared documentation and presentations for upper management on project status and recommendations, ensuring clarity and actionable insights.
Audit Manager in Global Finance & Investments
MetLife
Tampa
08.2008 - 03.2016
- Led significant MetLife initiatives as Project Lead, including system implementations and global finance, investments, and actuarial projects.
- Reviewed enterprise-wide business and financial processes, ensuring compliance and enhancing procedural accuracy.
- Executed and reviewed annual Sarbanes-Oxley (SOX) walkthroughs, detailed testing, and End-User Computing (EUC) testing. Managed the Internal Audit Unit of the Global Operations Support Center (GOSC) in India and the Investments Internal Audit - Deloitte relationship and oversaw Deloitte's reliance work.
- Prepared and presented audit findings reports for business managers, recommended changes, and compiled comprehensive reports for senior management on large-scale audit assignments, facilitating implementation of improvements. Completed audit reviews of investment portfolios, actuarial functions, and international operations.
- Conducted complex analysis to evaluate adequacy and compliance of operational, financial, and information system controls, formulating actionable solutions for identified deficiencies.
- Served as Project Lead on significant MetLife initiatives, including system implementations and global finance, investments and actuarial projects.
Accounting Consultant in Investments Technical Accounting
MetLife
Tampa
01.2005 - 08.2008
- Performed research to resolve complex investment technical accounting issues from both GAAP and statutory perspectives, formulating and documenting appropriate accounting policies and procedures. Authored issue papers and accounting policies for all categories of MetLife investments.
- Applied strong analytical knowledge across all MetLife investment types, including real estate, real estate joint ventures, corporate joint ventures, hedge funds, securities, derivatives, mortgages, loans, and various hybrid instruments.
- Interviewed key Investments Financial Management (IFM) personnel to gain comprehensive insights into MetLife’s accounting practices.
- Coordinated review and approval of investment accounting policies and issue papers with Corporate Technical Accounting Group (Corporate TAG) and internal/external auditors to ensure compliance and accuracy.
- Executed ad hoc projects related to investment technical accounting and finance. Compiled and distributed quarterly GAAP and statutory updates to IFM.
- Supported Investment Financial Management by facilitating technical accounting learning and development initiatives.
- Served as a key stakeholder in the SOX regulatory compliance process.
Accountant in Financial Operations Center
MetLife
Tampa
01.2002 - 01.2005
Staff Accountant
American Classic Agency
Ponte Vedra Beach
01.2001 - 01.2002
Education
Master of Business Administration -
Saint Leo University
Saint Leo, FL06-2009
Bachelor of Science - Finance
Florida State University
Tallahassee, FL05-2001
Skills
- Audit Management
- Internal Controls
- Regulatory Compliance
- Regulatory Reporting
- Investment Accounting
- Data Analytics
- Process improvement
- Project Management
- Financial reporting
- Operational Excellence
- Risk Assessment
- Strategic Leadership
- Change Management
- Business Development
- Cross-functional Communication
- People Development
- Audit Communication
Certification
Certified Internal Auditor (CIA), Institute of Internal Auditors (IIA) - 2015, Project Management Professional (PMP), Project Management Institute (PMI) - 2016, PMI Agile Certified Practitioner (ACP), Project Management Institute (PMI) - 2019
Timeline
Senior Vice President – Internal Audit COO – Audit Committee Reporting
Citi
05.2022 - Current
Vice President, Audit Manager – IA Culture, Conduct and Ethics (CCE)
Citi
05.2020 - 04.2022
Project Manager - Strategic Investments
MetLife
04.2016 - 04.2020
Audit Manager in Global Finance & Investments
MetLife
08.2008 - 03.2016
Accounting Consultant in Investments Technical Accounting
MetLife
01.2005 - 08.2008
Accountant in Financial Operations Center
MetLife
01.2002 - 01.2005
Staff Accountant
American Classic Agency
01.2001 - 01.2002
Master of Business Administration -
Saint Leo University
Bachelor of Science - Finance
Florida State University