MARVIN B. JOHNSON

AuditLink provides specialized services that enable credit unions to meet regulatory compliance guidelines.

• I manage the day to day operations of the AuditLink Financial Intelligence Unit (FIU) which is a team of 10 compliance specialists.
• Includes oversight of suspicious activity reviews in accordance with Anti-Money Laundering/Bank Secrecy Act (AML/BSA) and OFAC requirements.
• Maintenance of departmental procedures to keep them updated with relevant and emerging risk monitoring practices.
• Ongoing training and coaching of not only AuditLink staff, but also credit union personnel including CEOs and Compliance Officers.
• New business development is an ongoing priority. I developed a new service and grew it to 36 clients during the first 2-years of the life cycle.
• Similarly, through sales and marketing efforts, I was instrumental in growing an existing service from 85 clients to 117 clients.
• Produced annual budgets and business plans and presented to executive level management.

• Execution of operational audits to identify risks and controls to evaluate effectiveness of processes and provide recommendations for improvement.
• Performed the following audits: o United Kingdom Credit & Collections o International Volume Direct Revenue Recognition o Licensing Royalty Revenue Recognition o Richmond Call Center Loyalty and Gift Card Programs o Consumer Direct physical inventory observations o ISO Standard Operating Procedure (SOP) o Retail Inventory Review Development and performance of the Wolverine COSO Fraud Risk Assessment Executes global Sarbanes-Oxley compliance plan.
• Reviewed Sarbanes-Oxley test work performed by business process owners to ensure consistency and integrity.
• Addressed internal control deficiencies through formal written communication, issue resolution and follow-up meetings.

• Collaborated with various business units and technology staff to assess and address operational risks and exposures through a risk and control self-assessment process.
• Participated with other Risk Management teams to identify current and emerging risk exposures and develop appropriate risk mitigation strategies.
• Promoted enterprise-level risk management practices and helped instill strong culture focused on protective policies and procedures.
• Regularly interacted with department and management personnel to ensure that operational risk priorities are aligned with company direction
• Assisted management with the design of key SOX and mitigating controls to prevent, deter or detect financial statement and operational risks.
• Identified areas of risk that might arise from inadequate or failed internal controls, processes or systems.
• Developed an enterprise-wide vendor risk management program including documented procedures and templates for facilitating due diligence, risk assessments, contractual considerations and ongoing monitoring.

• Led walkthroughs of various business processes to identify primary controls and to assess control design effectiveness.
• Developed and executed testing procedures in order to assess the operating effectiveness of controls.
• Assisted management in the completion of a new project to centralize testing of key internal controls.
• Involved coordination with multiple audit divisions, governance departments and various levels of management.

• Assisted in the implementation of the enterprise-wide Anti-money Laundering (AML/BSA/OFAC) program; primarily through audit testing and reporting.
• Performed audits of ongoing monitoring efforts post-implementation of the program.
• Completed risk assessments and testing of controls associated with various business processes including: vendor management, access control, GLBA, EFT, consumer lending and collections, AML/BSA, ALLL, account reconciliation and certification, financial reporting and student loan securitization.
• Performed independent and cooperative risk review engagements to analyze credit, operational, and compliance risks and controls through detailed transactional testing.
• Identified and communicated control weaknesses to various levels of management.
• Presented recommendations and tracked deficiency remediation efforts to closure.
• Responsible for quality control of internal risk review data compiled for audit committee reports.
• Served as an access control subject matter expert.
• Coached and advised less experienced staff members.

• Provided client service to SEC and non-SEC clients in a team-based environment Conducted physical inventory counts for clients with periodic or perpetual inventory cycles.
• Performed substantive testing of transactions in conjunction with financial statement audits.
• Conducted SOX walkthroughs of various business processes and executed tests of internal controls.
• Reviewed SEC filings and non-SEC financial statements for proper disclosures.

• Managed stores in Flint, Michigan; Savannah, Georgia and Toledo, Ohio.
• Maintained store shrinkage below allowable percentages.
• Produced sales gains of $100,000 on 1.2 million in inventory volume.
• Monitored and assisted six district store locations as Market Leader.
• Staffed, trained, evaluated and promoted full-time and part-time employees.
• Controlled incoming and outgoing inventory.