Catherine Philpott

DUTIES PERFORMED

Responsible for leading teams on Bank Exams, presenting exam results to Bank management and Board of Directors, and preparing final exam reports to be submitted to Banks. Work closely with federal counterparts on joint exams, and complete other assignments such as asset manager, operations manager, loan review, and review various operational components. I have the ability to review various banking and financial information and make sure institutions are following prescribed federal and state laws. I am considered the Northern California Subject Matter Expert for AML/BSA and perform as an EiC for several BSA exams including large institutions. I also have trained examiners to perform AML/BSA exams. I have my CAMS certification since 2017. I am a member of the DFPI BSA committee and have been part of the strategic plan team in the past. I have represented DFPI on several regulatory panels for various AML/BSA conferences. I lead Trust Exams for the department, and I received my CFIRS certification in 2018. I have been instrumental in providing AML/CFT training for both the Northern and Southern California Banking Offices, as well as beginning AML/BSA training for the Sacramento office. I was loaned out for a year to our new Crypto Asset Unit and during that time I help write exam procedures, was onsite of two large Crypto company's exams and worked with several of our departments at DFPI who had Crypto clients. I am currently an instructor for CSBS BSA schools.

• Responsible for all financial reporting to corporate office. Supervisor of 2 staff members and several inmates. Prepared monthly reports to the State of CA CDCR. Third in command at the prison.

• Accountant for non-profit governmental agency. Responsible for monthly payroll, A/R, reconciliation of various GIL and bank accounts. Supervised 1 staff member. Various reporting. Back up to A/P and controller.

• Responsible for in-house payroll processing of weekly, union, bi-weekly, non-exempt, and salary for 1,500 employees. Super user of SAP Payroll. Managed a team of up to six employees. Extensive knowledge of payroll law and garnishments. Various monthly reports. Training of outside payroll clerks for various locations.