Cathy Jones
San Antonio,TX
Summary
With over 15 years experience in Quality Control Risk Management, results oriented with a proven track record of implementing comprehensive quality control test plan and driving significant improvement in control testing effectiveness.
Overview
18
18
years of professional experience
1
1
Certification
Work History
Business Risk Controls Manager-QC Program Manager
USAA
04.2020 - Current
- Oversee, developed, and monitor Quality Control (QC) Test Plan schedule in accordance with Standards
- Develop & implemented Action Plans for gaps identified by Enterprise Compliance Operational Risk Team
- Promptly fulfilled requests from Second and Third line of Defense
- Collaborate with control partners to ensure control execution and evidence is maintained as documented for risk mitigation
- Successfully migrated HR Business Control Management (BCM) 2023 QC Test Plan into Service Now and created job aides for approving test tasks
- Provide guidance on monthly results from HR BCM Quality Assurance (QA) Monitoring program
- Monitor and coordinate scheduled testing activities and Issue Validation for Action Plan Closure Packets
- Disseminate Monthly Control Reporting, End of the Month Tests Results and Control Effectiveness Metrics to HR Partners
- Manage, coach and train HR BCM Control testing team on test execution.
- Increased team productivity by implementing streamlined processes and effective communication strategies.
- Achieved departmental goals by developing and executing strategic plans and performance metrics.
Business Risk Controls Advisor
USAA
03.2018 - 04.2020
- Support Human Resources (HR) Business Functions as first line of defense on control testing
- Facilitate Subject Matter Expert (SME) meetings with control partners with assisting in designing, engineering and implementing of new test checks and reviews
- Developed and implemented internal Control Testing Procedures
- Effectively identify processing gaps and provide recommendations on control effectiveness
- Escalate concerns to business compliance and management groups
- Disseminate monthly control reporting to Business Partners.
Financial Service Compliance Analyst
Strategic Staffing Agency
09.2017 - 03.2018
- Support Financial Crimes Investigations (FCI) Business Functions as first line of defense on control testing
- Provide accurate and actionable results of testing activities to management
- Respond to test quality assurance inquiries from Enterprise Standards Team
- Implemented and facilitated collaboration meeting with FCI Managers and Seniors on the timeline and process flow around the preparation of effective forecast testing
- Accurately document FCI Business Functions Process Taxonomy.
Fraud Plastic Business Support Group-Change Management
JP Morgan Chase
09.2016 - 09.2017
- Assessed the applicability of Legal Obligation Requirements to Fraud Prevention Procedures
- Mapped Fraud Prevention Procedures to Legal Requirement Obligations to identify potential gaps and present findings to Executive Leaders (Legal, Compliance Controls and LOB VP/Director)
- Created Business Case for submission of Controls identified through processing gap.
Consumer Risk Operations -Controls Manager
JP Morgan Chase
10.2014 - 09.2016
- Established framework and stood up Control Teams for Debit Card Fraud Operations
- Coached and developed 20 domestic and offshore Senior Control Testers to assist Fraud Operations with audit readiness by mitigating processing gaps
- Quality Control Monitoring, reporting, and coaching
- Facilitated Compliance and Procedure training
- Identified processing gaps and presented policy updates to the Tollgate Committee
- Provided coaching recommendations to internal partners and LOB Leaders on Monthly Control reporting analysis
- Collaborated with LOB Leaders and Quality Manager in creating procedures and expectations on Critical Policy & Procedures
- Created Control Procedures and completed walk through with an explanation of the procedures and processes to RCSA Testers and Auditors
- Documented Control Policies and gather evidence for audit preparation.
Service Quality Analyst/Fulfillment
Washington Mutual
10.2006 - 01.2009
- Reduced the number of customer complaints sent to the Office of Thrift Supervision (OTS), Better Business Bureau (BBB) and Washington Mutual’s Executive Office
- Completed weekly trend analysis and recommend Operational Instruction updates, causing a 75% reduction in executive complaints
- Facilitated training sessions to assist managers in improving performance on complaints received by the executive office.
Risk Operations / Department Recruiting Manager
JP Morgan Chase
01.2009 - 10.2014
- Coached, mentor & developed 20 Risk Analysts on accounts for fraudulent activity
- Identified training opportunities during coaching sessions and provided effective feedback
- Manage individual and team metrics to ensure scores were in line with the departments’ KPIs
- Created and conducted Staffing Plans for projected New Hire Training Classes.
Education
MA - Human Resource Development & Management
Webster University
BS - Occupational Education
Wayland Baptist University
Skills
- Control Development
- Testing
- Issue & Risk Management
- Quality Assurance / Quality Control Development
- Self-direction
- Superior problem solving
- Effective communication and interpersonal skills
- Effective Coaching
- Motivation for influencing teams
- Staff Development
- Operations Management
- Policy Implementation
References
Reference provided upon request
Certification
Certified Risk Management (CRM)
Timeline
Business Risk Controls Manager-QC Program Manager
USAA
04.2020 - Current
Business Risk Controls Advisor
USAA
03.2018 - 04.2020
Financial Service Compliance Analyst
Strategic Staffing Agency
09.2017 - 03.2018
Fraud Plastic Business Support Group-Change Management
JP Morgan Chase
09.2016 - 09.2017
Consumer Risk Operations -Controls Manager
JP Morgan Chase
10.2014 - 09.2016
Risk Operations / Department Recruiting Manager
JP Morgan Chase
01.2009 - 10.2014
Service Quality Analyst/Fulfillment
Washington Mutual
10.2006 - 01.2009
MA - Human Resource Development & Management
Webster University
BS - Occupational Education
Wayland Baptist University
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