Caroline Igbokwe
Dallas
Summary
Detail oriented Risk and Compliance Analyst with over 8 years of experience in control testing, quality assurance, regulatory compliance, and risk assessments across financial services and banking industries. Proven track record in designing and executing Risk and Control Self Assessments (RCSA), ITGC testing, and regulatory audits aligned with industry frameworks (SOX, NIST, ISO 27001, COSO, COBIT). Adept at managing compliance programs, performing root cause analysis, developing remediation strategies, and improving control environments. Skilled in Archer, OpenPages, SQL, Power BI, and ServiceNow, with a strong commitment to data integrity, stakeholder engagement, and continuous process improvement.
Overview
8
8
years of professional experience
1
1
Certification
Work History
RCSA Execution Lead
MUFG Bank
08.2024 - Current
- Spearhead RCSA activities and control testing across Consumer and Commercial Banking, driving improved compliance and risk posture
- Lead IT control assessments and implemented process improvements, reducing compliance issues by 30%
- Manage alignment with regulatory frameworks (Reg Z, UDAAP, COBIT, COSO), enhancing audit readiness and risk controls
- Partner with IT and business units to define control requirements, track mitigation efforts, and report on risk exposure
- Utilize ServiceNow and Archer to assess, document, and track risk and compliance metrics in real-time
- Deliver audit reports and actionable insights to executive leadership, enhancing decision-making and strategic risk oversight
Risk & Controls Tester
Net Solutions
09.2022 - 08.2024
- Developed and executed detailed test scripts to assess ITGCs, access management, and operational controls
- Performed quality assurance reviews across the first and second lines of defense, identifying gaps and ensuring remediation
- Led SOX and regulatory compliance testing (OCC, FDIC), managing documentation and audit walkthroughs
- Designed and maintained RCSA frameworks and tested key controls to ensure alignment with corporate risk policies
- Managed GRC platforms (Archer) to monitor risk exposure and log control issues and remediation plans
Model Risk Analyst
MoneyGram International
08.2021 - 06.2022
- Conducted regulatory compliance reviews and internal control testing aligned with SOX, Basel III, and FFIEC standards
- Designed audit plans and test procedures to evaluate control effectiveness across financial and operational domains
- Executed independent audits for IT and privacy compliance (PCI DSS, HIPAA, GDPR, ISO 27001), producing detailed gap analyses
- Developed executive reports summarizing QA outcomes and audit findings to inform remediation and compliance strategy
RCSA Lead
Windows USA LLC
10.2020 - 08.2021
- Led RCSA testing, quality assurance, and internal control assessments for business operations
- Created dashboards and compliance metrics to track key risk indicators and report control deficiencies
- Improved IT compliance posture by applying frameworks (NIST, COBIT) and developing standardized test procedures
Operational Risk Analyst
PETCO
08.2019 - 09.2020
- Conducted enterprise risk assessments and internal control testing to strengthen compliance and business continuity plans
- Led quality assurance reviews on control testing workpapers, identifying enhancement opportunities
- Produced comprehensive compliance and risk analysis reports for executive teams
IT Auditor
4 Square IT Consulting (Prosperity Bank)
07.2017 - 08.2019
- Company Overview: Prosperity Bank
- Conducted ITGC and SOX control testing for ERP systems (SAP, Oracle), ensuring IT compliance with HIPAA and PCI DSS
- Performed root cause analyses on failed controls and worked cross-functionally to improve audit outcomes
- Prosperity Bank
- Developed detailed audit reports to assist management in implementing appropriate security measures for optimal data protection.
- Reviewed system configurations and access controls, strengthening overall network security and reducing unauthorized access incidents.
- Participated in IT governance initiatives, contributing to the development of robust policies and standards for consistent information security management across the organization.
- Enhanced IT security by conducting comprehensive audits and identifying potential risks within the organization.
- Assessed compliance with regulatory requirements, ensuring timely remediation of identified issues and avoiding potential penalties.
Education
M.S. - Public Health
University of Sunderland
B.Sc. - Marketing and Mass Communication
Renaissance University
Enugu, NigeriaSkills
- Risk & Compliance Frameworks: SOX
- SOC
- PCI DSS
- GDPR
- HIPAA
- ISO 27001
- NIST
- COSO
- COBIT
- Basel III
- OCC
- FDIC
- Control Testing: ITGC
- RCSA
- Audit Readiness
- Remediation Plans
- Root Cause Analysis
- Quality Assurance: Control Design Validation
- Issue Management
- Compliance Monitoring
- Risk Mitigation
- Data Analytics: SQL
- Power BI
- Excel (Pivot Tables
- VLOOKUP)
- Tableau
- Visio
- GRC Platforms: Archer
- OpenPages
- MetricStream
- ServiceNow
- Salesforce
- Cybersecurity: Vulnerability Assessment
- AWS
- Azure
- Splunk
- Qualys
- Oracle
- Aurora
- Project Tools & Collaboration: JIRA
- Confluence
- SharePoint
- Agile/Scrum
- Process Mapping
- Change Management
- Stakeholder Engagement: Cross-functional Collaboration
- Audit Coordination
- Executive Reporting
- KY3P
Certification
- Certified Information Systems Auditor (CISA)
- Certified Scrum Master (CSM)
- Advanced Excel 2021 Certification
Timeline
RCSA Execution Lead
MUFG Bank
08.2024 - Current
Risk & Controls Tester
Net Solutions
09.2022 - 08.2024
Model Risk Analyst
MoneyGram International
08.2021 - 06.2022
RCSA Lead
Windows USA LLC
10.2020 - 08.2021
Operational Risk Analyst
PETCO
08.2019 - 09.2020
IT Auditor
4 Square IT Consulting (Prosperity Bank)
07.2017 - 08.2019
M.S. - Public Health
University of Sunderland
B.Sc. - Marketing and Mass Communication
Renaissance University
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