Summary
Overview
Work History
Education
Skills
Timeline
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Joseph Liguori

Senior Group Manager
Litchfield,ME

Summary

Forward-thinking leadership and management professional successful at coordinating teams and resources to meet short and long-term demands. Motivate employees consistently to help each reach new levels of performance. Dedicated, demonstrated strengths in acting like an owner, thinking like a customer, delivering with speed and impact; and embracing honesty, integrity, and diversity. Committed problem solver and enabler of building successful solutions. Excellent verbal and written communicator with strong background cultivating positive relationships and exceeding business goals.

Overview

15
15
years of professional experience

Work History

Senior Audit Group Manager

TD Bank Financial Group
Lewiston, ME
01.2014 - 03.2021
  • Leadership role to a diverse team of audit professionals running multiple audits and projects in data and data analytics and risk and controls, inclusive of implementation of the Audit Division’s global, risk-based audit approach for coverage of business data management, governance and control, process improvement, issues management, and the broad US and global corporate and broad regulatory risk compliance, including but not limited to: DFAST, CCAR, BASEL, GDPR, and OCC Heightened Standards
  • Oversaw audit/project planning, execution, and/or divisional support for audits focused on data accuracy, integrity, and safeguarding of data/information; and, overall operational risk, inclusive of Audit Division projects, and enterprise-wide functional areas
  • Partnered with business lines and stakeholders to identify various risk exposure and facilitate mitigation processes for that risk
  • Provided oversight to a two-year collaborative effort of Internal Audit, the Office of the Chief Data Officer (OCDO), Information Technology, Enterprise and Operational Risk on the alignment of business processes and policies to the Enterprise Risk Management and Operational Risk Management Frameworks
  • Facilitated the OCDO’s effort and work with its business partners to identify Key Performance and Key Risk Indicators (KPI/KRI) and development of reporting dashboards for business management, the Board of Directors, and Bank regulators
  • Worked directly with business line management on its effective use of both the Bank’s operational loss event collection and reporting system; and issues management system
  • Provided divisional and business line training in both regulatory compliance and enterprise data and risk governance frameworks, policies, and standards
  • Revised the Audit Division’s Data Management Centers of Excellence to include Data Analytics, updates to the Enterprise Data Management Framework, and emerging risks impacting data
  • Senior level thought leader to the Audit Division and business team levels supporting senior/executive leadership short-midterm and strategic planning.

Senior Audit Manager

TD Bank Financial Group
Lewiston, ME
05.2011 - 12.2013
  • Leadership role for execution of the IT Basel Audit Plan, leading IT risk & control audits, testing of data lineage, and supervision and training of the IT Applications Audit team
  • IT audits focused on testing technology systems and application controls around movement of data and information from the source, pipeline, and reporting environments to test for overall accuracy, integrity, and safeguarding of data
  • Developed Audit Division’s Data Management Centers of Excellence for use by Audit teams when testing/assessing or consulting with their business lines
  • Interacted with Senior Management, maintained membership on IT/Basel related committees, and audit involvement with new systems and applications
  • Provided data training/education and development of audit staff specific to regulatory compliance, IT applications, and Basel IT audit compliance.

Senior Technology Consultant

Sheshunoff Consulting and Solutions, Sheshunoff Consulting + Solutions
Portland, ME
10.2010 - 04.2011
  • Information technology auditing of nationwide financial institutions
  • Audit work included: planning, testing information system controls, reporting audit findings, and providing recommendations to executive team and Board of Directors.

Chief Executive Officer

NMI InfoSecurity Solutions
Portland, ME
05.2008 - 09.2010
  • Responsible for the daily operation of NMI, its financial posture, business development, client relations, staffing, and team building
  • The key driver of product/service/solutions design & re-design related to security testing of client systems and networks, Worked directly with company owner on strategic planning, business solutions, and company financial forecasting/budgeting.

Owner

Joseph Liguori Consulting, LLC
Litchfield, ME
06.2006 - 05.2008
  • Provided Risk Management and Information Security Management solutions for all industries
  • Delivered business turnaround services through Six Sigma certified methods and principles, and project management program development and implementation
  • Re-wrote the Information Security Program for $2.2B financial services company, including execution of enterprise-wide process risk assessments for 120 processes, and 45 major system risk assessments
  • The aforementioned financial institution received risk management program accolades for this work from its regulators during its Dec 07 safety and soundness examination.

Education

MBA - Management

Bryant University
North Smithfield, RI

BS - Business

Marquette University
Milwaukee, WI

Skills

  • Data Risk & Controls
  • Issues Management
  • Board and Management Reporting
  • Operations management
  • Performance monitoring
  • Continuous improvement
  • Team development
  • Project Management
  • Budget administration
  • Regulatory Compliance

Timeline

Senior Audit Group Manager

TD Bank Financial Group
01.2014 - 03.2021

Senior Audit Manager

TD Bank Financial Group
05.2011 - 12.2013

Senior Technology Consultant

Sheshunoff Consulting and Solutions, Sheshunoff Consulting + Solutions
10.2010 - 04.2011

Chief Executive Officer

NMI InfoSecurity Solutions
05.2008 - 09.2010

Owner

Joseph Liguori Consulting, LLC
06.2006 - 05.2008

MBA - Management

Bryant University

BS - Business

Marquette University

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Joseph LiguoriSenior Group Manager