Mark A. Sams
Carter Lake
Summary
Data-driven risk analytics leader with extensive experience in financial services, specializing in risk testing and data analytics. Designed and implemented Tableau dashboards that enhanced risk testing efficiency, delivering actionable insights to senior leadership. Proven track record in supporting RCSA frameworks and cross-functional data coordination.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Manager – Risk Analytics & Data Governance
Charles Schwab Corporation
Omaha
08.2019 - 03.2026
- Led development and governance of Key Risk Indicators (KRIs) aligned to enterprise risk frameworks and RCSA programs, including threshold setting and breach escalation.
- Identified control weaknesses and emerging risks through advanced data analysis, delivering actionable recommendations that strengthened control environments.
- Enhanced testing methodologies by integrating data analytics into audit and risk processes, improving effectiveness and scalability of testing approaches.
- Developed Tableau dashboards and automated analytics to support continuous monitoring and improve efficiency of risk testing and control evaluation.
- Partnered with business units, risk teams, and data owners to source and validate datasets, reducing testing friction and improving data accessibility for risk evaluations.
- Designed and implemented monitoring strategies, enhancing coverage of enterprise and operational risks across finance and business processes.
- Delivered executive-level reports and presentations that communicated testing results, analytics insights, and risk themes to senior leadership.
- Managed and mentored team members on testing engagements and analytics projects, ensuring high-quality execution and timely delivery.
Senior Data Analyst
Charles Schwab Corporation
Omaha
04.2019 - 08.2019
- Executed large-scale data analysis (SQL/Netezza) for control testing, audit planning, and risk assessments.
- Collaborated with audit teams to embed data analytics into testing execution, increasing coverage and efficiency.
- Identified patterns, control gaps, and operational risk indicators through analysis of complex datasets.
- Developed Tableau analytics solutions for audit and risk testing, enhancing anomaly detection and identification of high-risk transactions.
Senior Internal Auditor
TD Ameritrade
Omaha
08.2016 - 04.2019
- Executed risk-based audits and control testing, including planning, walkthroughs, testing, and reporting, ensuring compliance with SOX and internal audit standards.
- Assessed design and operating effectiveness of controls, identifying gaps and recommending remediation actions.
- Documented audit workpapers and findings using TeamMate; communicated insights and recommendations to senior management.
- Supervised audit staff and ensured adherence to audit methodology and quality standards.
Senior Internal Auditor
Interpublic Group of Companies (IPG)
Omaha
04.2014 - 08.2016
- Presented audit insights and reports to executive leadership and audit committees, facilitating informed decision-making.
- Utilized ACL analytics to analyze large datasets, identifying anomalies that informed audit findings.
- Conducted global operational, financial, and compliance audits to assess control effectiveness and ensure regulatory adherence.
Staff Internal Auditor
Interpublic Group of Companies (IPG)
Omaha
05.2012 - 04.2014
- Conducted comprehensive audits of financial records and internal controls.
- Executed control testing, risk assessments, and financial analysis to enhance compliance across business units.
- Evaluated compliance with company policies and regulations.
- Analyzed process risks and proposed improvements to fortify internal controls.
- Collaborated with departments to identify process improvements and risk areas.
Financial Analyst – Treasury
Interpublic Group of Companies (IPG)
Omaha
08.2009 - 04.2012
- Conducted credit risk and financial analysis for $7B portfolio, enhancing risk assessment accuracy.
- Developed financial models to forecast revenue and expenses accurately.
- Developed analytics that refined risk evaluation methodologies, supporting informed decision-making.
- Analyzed financial data to support strategic decision-making processes.
- Collaborated with cross-functional teams to streamline budgeting procedures.
Education
Master of Science - Business Intelligence
Full Sail University
Orlando, FL06-2025
Master of Business Administration (MBA) - Finance
Bellevue University
Bellevue, NE06-2010
Bachelor of Science - Accounting
Bellevue University
Bellevue, NE08-2006
Skills
- Risk analytics
- Risk identification
- Risk testing
- Control assessments
- Control evaluation
- Financial compliance
- Data governance
- Data analysis
- Data Sourcing & Cross-Functional Coordination
- SQL / Netezza
- Alteryx
- Tableau analytics
- Tableau dashboards
- Data Visualization Tools
- Risk Analytics Tools
- Advanced Excel
- Data storytelling
- Testing strategy
- Stakeholder engagement
- Risk analytics
Certification
- Six Sigma Yellow Belt
- FINRA Series 7 & 63
Timeline
Manager – Risk Analytics & Data Governance
Charles Schwab Corporation
08.2019 - 03.2026
Senior Data Analyst
Charles Schwab Corporation
04.2019 - 08.2019
Senior Internal Auditor
TD Ameritrade
08.2016 - 04.2019
Senior Internal Auditor
Interpublic Group of Companies (IPG)
04.2014 - 08.2016
Staff Internal Auditor
Interpublic Group of Companies (IPG)
05.2012 - 04.2014
Financial Analyst – Treasury
Interpublic Group of Companies (IPG)
08.2009 - 04.2012
Master of Science - Business Intelligence
Full Sail University
Master of Business Administration (MBA) - Finance
Bellevue University
Bachelor of Science - Accounting
Bellevue University