Derek Moore
Chandler,AZ
Summary
Experienced Manager with an extensive history of serving Fortune 500 companies. Expertise in Third Party Risk Management with demonstrated knowledge of banking related products, services, and their related risk. Detailed Audit Manager skilled in financial assessments and risk management to prevent fraud. Experienced with developing internal controls and audit policies.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Risk, Compliance and Audit Manager 3 - Vice President
U.S. BANK
01.2019 - Current
- Lead a team of 15 risk professionals while ensuring compliance and driving effective and efficient execution of the company’s Third Party Risk Management Program
- Oversee Critical Activity (high risk) Third Party population including creation of monthly and quarterly key risk indicator and risk appetite statement metric executive level reporting
- Created and implemented Concentration metric to identify Third Parties encompassing high risk and high utilization across the enterprise while continually monitoring for Concentration Risk exposure
- Provide support and oversight in remediation efforts related to regulatory (CFPB, FDIC, OCC) and internal audit issues
- Establish comprehensive reporting to provide senior management and internal stakeholders detail related to remediation activities, trends, and analysis of key risk indicators.
Risk, Compliance and Audit Manager 2 – Assistant Vice President
U.S. BANK
01.2016 - Current
- Recommended system (RSA Archer, eGRC) enhancements to improve the Third Party risk assessment process for internal and external stakeholders
- Identified weaknesses within internal policies and procedures and recommend enhancements to improve and support the Third Party Risk Management Program
- Partnered with internal business partners, subject matter experts and other key stakeholders to ensure compliance with applicable laws and regulations
- Successfully de-scoped low risk Third Party relationships from assessment program resulting in an overall reduction to the organizations risk profile
- Drove strategic initiative to reduce high risk Third Party findings population by over 60%.
- Managed a team of auditors, ensuring accurate and timely completion of audit projects.
- Evaluated effectiveness of internal controls by testing key controls across various business units within the organization.
- Implemented risk-based auditing strategies, resulting in better identification of potential issues.
Risk, Compliance and Audit Consultant
U.S. BANK
01.2014 - Current
- Partnered with internal risk managers to identify key risks and control gaps in support of Third Party Risk Management Program and assigned Third Party portfolio
- Maintained an understanding of existing and emerging regulatory and legal guidance and its impact on existing risk management processes.
Senior Business Process Analyst
UNITEDHEALTH GROUP
01.2011 - 01.2014
- Managed a project involving the insourcing of over 100,000 employees’ benefits to facilitate in the creation of over 100 processes and procedures
- Collaborated with global leadership to determine operational objectives, identify trends and report on key performance metrics.
Owner
The UPS Store
01.2006 - 01.2011
- Managed a team of 20 employees to effectively achieve business goals.
Education
Bachelor of Arts (BA) -
Arizona State University
Skills
- Operational Risk Management
- Third Party Risk Oversight
- Governance
- Critical Thinking
- Leadership
- Communications
- Complex Problem-Solving
- Risk Appetite Identification
- Collaboration
- Risk Assessment
- Client Relationship Management
- Risk Management
- Compliance Monitoring
- Audit Documentation
- Data Analytics
- Performance Improvement
Certification
- Shared Assessments
- Certified Third Party Risk Professional (CTPRP)
Timeline
Risk, Compliance and Audit Manager 3 - Vice President
U.S. BANK
01.2019 - Current
Risk, Compliance and Audit Manager 2 – Assistant Vice President
U.S. BANK
01.2016 - Current
Risk, Compliance and Audit Consultant
U.S. BANK
01.2014 - Current
Senior Business Process Analyst
UNITEDHEALTH GROUP
01.2011 - 01.2014
Owner
The UPS Store
01.2006 - 01.2011
Bachelor of Arts (BA) -
Arizona State University
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