Kennika Keosha Butler
Summary
Experienced internal audit professional skilled in managing audit processes and ensuring regulatory compliance. Demonstrated leadership in effectively leading teams and providing valuable insights through comprehensive audits. Recognized for reliability and adaptability in dynamic environments, with a strong focus on fostering team collaboration and driving results.
Overview
14
14
years of professional experience
Work History
Senior Internal Audit Manager, Executive Director
Wells Fargo & Company
01.2024 - Current
- Manage portfolio of 24 engagements including regulatory validations, audits, and business monitoring activities
- Supervise a team of 10 including direct reports (domestic and international) and consultants
- Accountable for annual planning activities including oversight of risk assessments and auditable entity analysis
- Prepares status update reports for senior leaders and regulatory bodies
- Credibly challenges LOB corrective actions for identified issues
- Recognizes and communicates impact of related issues, MRAs, and Consent Orders on audit engagements and risk profile
- Effectively communicates with key stakeholders across the enterprise and external regulators
- Oversee Low/Moderate rated issue review over non-Audit and non-Regulatory identified issues to ensure proper risk rating
- Effectively assess the business' process, risks, controls identified to ensure adequate risk mitigation
Senior Independent Testing Manager
Wells Fargo & Company
01.2023 - 01.2024
- Manage a team of 6 direct reports
- Organize training and develop guides for the India and Philippines team to assist with offshore transition
- Determine the need for and feasibility of changes to established quality assurance procedures and created new desktop procedures for implemented actions not previously documented (e.g., QA Sampling Methodology Procedure)
- Monitor team progression on assigned reviews to ensure adherence to the 120-day SLA, assess reasons for exceptions, and recommend actions to ensure timely review completion
- Assesses compliance with, and create quarterly reports of adherence to, strategies and policies, through trend analysis at the LOB and overall IT&V level for Senior and Executive leadership review
- Provides technical interpretation and implementation of procedures on applicable requirements
- Led Quality Control Checklist and procedure updates prior to June 2023 reorganization
Independent Testing Manager (Compliance, Conduct, and Operational Risk; and SERM)
Wells Fargo & Company
01.2021 - 01.2023
- Oversaw testing of Compliance, Conduct, and Operational Risk; and Strategic Enterprise Risk Management
- Effectively guided, motivated, and supervised a team of five direct reports and two contractor resources
- Oversaw preparation and communication of key reports to senior leaders
- Onboarded and trained new hires and communicated tasks and performance expectations
- Effectively communicated with key stakeholders across the enterprise to ensure plan objectives are met
- Utilized expert risk management skills to monitor and evaluate the design and effectiveness of controls
- Implemented monthly teambuilding exercises and training sessions to maintain high employee morale, prevent staff conflicts, and minimize resistance to change
- Conducted weekly touchpoints with stakeholders to develop effective work relationships across the enterprise
- Provided insight in developing and reviewing issues and identified root cause
- Accountable for timely delivery and quality execution of annual plan/reports, and drive monitoring activities
- Effectively challenged and implemented governance and risk culture, roles and responsibilities, and policies and procedures
VP and Audit Manager
Wells Fargo & Company
01.2019 - 01.2021
- Effectively managed a team of four direct reports and three contractor resources
- Tactfully scheduled assignments prioritizing high risk areas, expected task completion time, and resources
- Led efforts to validate that customers impacted by improper sales practices were identified and remediated
- Credibly challenged front-line customer remediation efforts
- Utilized exceptional project management skills to streamline a joint cross-functional effort of 5 interrelated remediations on a compressed schedule and reduced resources, that improved audit time by 40 percent
- Developed and maintained weekly status update presentations for senior management and/or regulators
- Reviewed and approved validation workpapers for completeness and accuracy, and proper retention
- Escalated issues, effectively communicated results to business partners, and diffused tense discussions
SVP and Sr. Internal Audit Manager (BSA/AML)
PNC Bank, N.A.
01.2017 - 01.2019
- Managed audit validation of three high profile regulatory examination findings with minimal staff
- Developed and provided training to employees on BSA/AML audits and red flag identification
- Completed annual audit planning activities and coordinated with other audit teams for integrated audits
- Independently led an assessment of enterprise regulatory change governance to ensure proper implementation of the 2016 FinCEN Customer Due Diligence (CDD) Final Rule
- Identified as a Customer Identification Program and CDD Subject Matter Expert
- Developed BSA/AML and OFAC Governance Standard Audit Programs and training presentations
- Assessed the adequacy of Risk Assessments, Risk and Control Self-Assessments, and Issues Management
- Developed presentations for regulatory updates with the Office of the Comptroller of the Currency (OCC)
- Ensured compliance with the OCC Heightened Standards for an effective Risk Governance Framework
Commissioned Financial Institutions Examiner
Federal Deposit Insurance Corporation
01.2011 - 01.2017
- Delegated responsibilities for S&S activities, as well as BSA and Information Technology Examinations
- Established examination scope; wrote Report of Examinations (ROE); presented examination findings to Board of Directors and executive management; and, when applicable, proposed Supervisory enforcement actions
- Reviewed and updated Charlotte Field Office examiner training to align to updated rules, regulations, and laws
- Spearheaded project to reduce onsite examination time by 75 percent
- Supervised teams of 20+ Examiners, including large joint multi-site examinations with State regulators
- Created excel data queries using 12-months raw transaction data to conduct aggregation analysis that identified inadequate transaction aggregation and missed regulatory reporting that required remediation and back-filing
- Assessed reasonableness of BSA/AML Program and various components
- Assessed the adequacy of front-line policies, procedures, and key processes; sampled and reviewed insurance contracts and agreements; and assessed the quality of internal controls over insurance services
- Reviewed and assessed large, complex, commercial real estate credits with balances up to $15 million; small business administration loans; and syndicated national credits
Education
Master of Business Administration - Finance and Commercial Banking
University of North Carolina at Charlotte
Charlotte, NC05.2022
Bachelor of Science - Business Administration, Finance, Accounting
Elizabeth City State University
Elizabeth City, NC12.2010
Skills
- Strategic Leadership
- Management of Complex Projects
- Compliance Audit
- Independent Risk Management
- Talent Development
- Issue assessment
- Solution identification
- Change management
- Regulatory Compliance
- Conduct Risk
- BSA/AML
- OFAC
- Internal controls
- Fraud
- Teamwork and collaboration
- Consent Order validation
- Audit planning
- MRA validation
- Risk Management
- Issues Management
- Governance Oversight
- Analytical skills
- Technical skills
- Problem solving
- Decision making
- Conflict resolution
- Capital adequacy assessment
- Asset quality assessment
- Management assessment
- Earnings assessment
- Liquidity assessment
- Market risk sensitivity assessment
Timeline
Senior Internal Audit Manager, Executive Director
Wells Fargo & Company
01.2024 - Current
Senior Independent Testing Manager
Wells Fargo & Company
01.2023 - 01.2024
Independent Testing Manager (Compliance, Conduct, and Operational Risk; and SERM)
Wells Fargo & Company
01.2021 - 01.2023
VP and Audit Manager
Wells Fargo & Company
01.2019 - 01.2021
SVP and Sr. Internal Audit Manager (BSA/AML)
PNC Bank, N.A.
01.2017 - 01.2019
Commissioned Financial Institutions Examiner
Federal Deposit Insurance Corporation
01.2011 - 01.2017
Bachelor of Science - Business Administration, Finance, Accounting
Elizabeth City State University
Master of Business Administration - Finance and Commercial Banking
University of North Carolina at Charlotte
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