Lisa Shaka
Mansfield,TX
Summary
Audit, Risk, and Compliance Professional with over 15 years of experience in regulatory compliance, operational risk management, SOX compliance and financial reporting and audits. I am adept at conducting due diligence reviews, managing risk frameworks, and ensuring adherence to regulatory and accounting standards. Detail-driven and focused on maximizing company compliance with applicable laws and standards. Knowledgeable about internal controls, process evaluations and procedural reviews.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Lead, Business Risk and Controls Advisor
USAA Federal Savings Bank
05.2021 - Current
- Partnered with various departments including Compliance and Risk Management, Business Operations, IT, Audit Services, and Regulators to facilitate risk and compliance-based initiatives.
- Conducted risk and control self-assessments, evaluated control effectiveness, identified control failures, facilitated risk remediation and compliance management.
- Collaborated with multiple FLOD Quality Control (QC) Testing and Quality Assurance (QA) teams to enhance the Bank's testing functions and ensure adherence to the standards.
- Promotes risk-awareness and the overall effectiveness of risk and compliance management programs, risk analytics and operations in the business.
- Conducted comprehensive AML and UDAAP risk assessments to identify potential vulnerabilities and areas for improvement within the control environment.
- Assessed effectiveness of current AML/BSA/KYC/OFAC controls, recommending enhancements to strengthen overall compliance framework.
Enterprise Testing Sr. Associate
Wells Fargo Bank, N.A.
08.2018 - 05.2021
- Executed review activities according to established standards and policies for risk programs. Aligned methods with the Risk Management Framework to ensure effectiveness.
- Led reviews of moderate to high-levels of complexity in Wealth Investment Management, Consumer Investing Banking, Treasury Management and Enterprise Finance spaces to ensure compliance with the Volcker Rule, Regulation W and AML/BSA/KYC.
- Consistently maintained strong relationships with clients, ensuring clear communication and timely updates on project progress.
- Ensured effective execution of review objectives and activities through leadership of testing team.
- Collaborated with cross-functional teams to drive successful completion of complex projects within deadlines.
- Effectively managed multiple competing priorities while maintaining focus on delivering exceptional results for clients and the organization.
Sr. RCSA Analyst
Santander Consumer, USA
01.2018 - 08.2018
- Implemented Governance, Risk and Controls program to facilitate efficient risk management processes and enhance risk awareness within the first lines of defense.
- Developed risk assessment framework, enabling proactive identification and mitigation of potential regulatory concerns.
- Leveraged data analytics tools for improved trend identification and risk assessment capabilities within the compliance program.
- Contributed to risk assessment initiatives by identifying vulnerabilities within the business processes and recommending corrective actions.
- Conducted walkthrough with process owners to gain a thorough understanding of business operations.
- Created and managed project plans, timelines and budgets.
Sr. Operational Risk Analyst
Santander Consumer, USA
09.2014 - 12.2017
- Maintained accurate enterprise-wide reporting on Operational Loss Data and risk metrics for the Operational Risk Committee, in addition to the Risk Appetite Statement and Key Risk Indicators.
- Managed the GL identification/loss capture process to support the Comprehensive Capital Analysis and Review (CCAR) program and Federal Reporting Operational Risk deliverables.
- Developed risk assessment matrices and templates to increase visibility of risks to facilitate decision making.
- Supported senior leadership in decision-making processes by providing insightful analyses of operational risks and their potential impacts on business performance.
- Build-out and management of the Enterprise-wide Issue Management Framework in accordance with the Basel frameworks.
- Reduced financial losses with robust incident reporting and root cause analysis.
Sr. Control Assurance Analyst
Santander Consumer, USA
09.2012 - 09.2014
- Development and implementation of a SOX compliance program by conducting thorough risk assessments and implementing strong internal controls.
- Preparation of clear, detailed and accurate SOX 404 documentation, including process narratives, control descriptions, risk control matrices, walkthrough documentation, test scripts, test results/findings, management responses and remediation plans.
- Management of SOX cycles by demonstrating the ability to analyze financial reporting controls and develop tests to demonstrate the existence of or lack of assurance around such controls.
- Developed custom reports for management using advanced Excel techniques to provide insights into financial trends and performance metrics related to GL activities.
- Promoted data integrity within the general ledger system through routine review of journal entries for accuracy and completeness.
- Leveraged expertise in US GAAP, IFRS, SOX, and COSO frameworks to ensure accurate financial reporting across global operations.
Audit Associate II (Lead)
KPMG, LLP
11.2011 - 07.2012
- Generated comprehensive audit reports containing Financial Statements, footnotes disclosures, management representation letters, and SAS 114 letters to facilitate upper-management review.
- Identified inefficiencies and failure of internal controls around financial reporting in accordance with Sarbanes Oxley/Section 404 guidelines, GAAP, IFRS or PCAOB.
- Demonstrated adaptability by quickly adjusting priorities as needed due to changing client needs or project scope changes.
- Managed multiple simultaneous audit engagements while maintaining strict adherence to deadlines and quality standards.
- Developed strong relationships with clients through clear communication, transparency, and professionalism throughout the entire audit process.
- Supervised and developed associates and oversaw auditing activities across operational, personnel utilization and excessive billing areas.
Financial Reporting Analyst
AAFES - The Exchange
01.2010 - 11.2011
- Ensured compliance with GAAP by compiling financial statements and disclosures.
- Supported quarterly earnings release process by preparing financial schedules and assisting in drafting press releases.
- Collaborated with IT department to enhance system functions, enabling more accurate reporting capabilities across the organization.
- Enhanced financial reporting accuracy by streamlining data collection processes and implementing automation tools.
- Conducted thorough account reconciliations, identifying discrepancies and resolving issues to ensure data integrity.
- Supported external audit processes, providing accurate documentation and addressing inquiries in a timely manner.
Audit Associate I
WEAVER, LLP
01.2008 - 08.2009
- Performed strategic planning, execution and finalization of audits.
- Generated working papers, reports, and supporting documentation to support the identification of audit findings and propose areas for improvement.
- Performed thorough reviews of internal controls, assessing effectiveness in mitigating risks.
- Analyzed accounting systems for efficiency and effectiveness.
- Evaluated financial statements, identifying discrepancies and providing recommendations for corrective action.
- Maintained integrity of general ledger and chart of accounts.
Education
Master of Jurisprudence - Risk Management
Texas A&M University - School of Law
College Station, TX01.2020
BBA - Accounting And Finance
Texas Woman’s University
Denton, TX12.2007
Skills
- Strong Analytical & Research Skills
- Proven Problem Solver
- Excellent Oral and Written Communication Skills
- Operational Risk Management
- Risk & Control Self Assessments (RCSA)
- Test of Control Design and Effectiveness
- Issue Management
- Regulatory Compliance
- SOX Compliance, 404 Documentation and Certifications
- Financial Risk Assessment & Fraud Risk Assessment
- Financial Statements Preparation, Audit and Reporting
- SEC Reporting & Regulatory Reporting
Certification
2010, Certified Business Analyst (CBA), The George Washington University - School of Business
Hobbies and Interests
- CAMS Certification Candidate (Expected completion Oct. 2024)
- Treasurer of the MoorePark Foundation – Medical Outreach in South America
- Community Service and Social causes
- Diversity and Inclusion Initiatives
- Employee Connection Networks
- Travel (domestic and international)
Timeline
Lead, Business Risk and Controls Advisor
USAA Federal Savings Bank
05.2021 - Current
Enterprise Testing Sr. Associate
Wells Fargo Bank, N.A.
08.2018 - 05.2021
Sr. RCSA Analyst
Santander Consumer, USA
01.2018 - 08.2018
Sr. Operational Risk Analyst
Santander Consumer, USA
09.2014 - 12.2017
Sr. Control Assurance Analyst
Santander Consumer, USA
09.2012 - 09.2014
Audit Associate II (Lead)
KPMG, LLP
11.2011 - 07.2012
Financial Reporting Analyst
AAFES - The Exchange
01.2010 - 11.2011
Audit Associate I
WEAVER, LLP
01.2008 - 08.2009
Master of Jurisprudence - Risk Management
Texas A&M University - School of Law
BBA - Accounting And Finance
Texas Woman’s University
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