Mecca Baker
Islip
Summary
Previously held titles of Chief Audit Executive and Chief Ethics Officer with over 10 years of progressive management experience
Overview
18
18
years of professional experience
1
1
Certification
Work History
Regional Audit Lead, Vice President
Commerzbank
New York
01.2019 - Current
- Manages execution for examinations of risk, regulatory, and operational audits applying US, UK and German regulation and regulatory guidelines
- Coordinates with internal and external audit partners to ensure timely reporting of exam results and remediation
- Non-voting member in senior management governance committees in advisory capacity at set and reoccurring intervals
- Steward in drafting regulatory response letters related to the New York Branch audit division
- Subject Matter Expert for all financial crimes, broker dealer and consumer regulatory reviews
- Lead and execute all Risk, BSA/AML, OFAC, Sanctions and AFC Audits with a team of three
- Design the audit plan, scope and testing steps and responsible for writing reports to Senior and Executive Management
- Responsible for stakeholder engagement regarding all things Compliance, Financial Crimes and Non-Financial Crimes
Deputy Principal Audit Manager, Vice President
Deutsche Bank
New York
01.2015 - 01.2019
- Oversaw the assessment and identification of key compliance risks and worked with the business to develop effective measurable controls consistent with the bank’s risk appetite
- Authored and produced audit reports articulating complex audit issues and themes to senior level stakeholders, relevant business committees and business line managers
- Provided strategic advice to cross functional audit teams (Capital Markets, Global Transaction Banking & Corporate Finance LOB audit teams) on Anti-Financial Crimes and Compliance framework requirements to control regulatory risks
- Approved the execution of all Risk, Volker, Dodd Frank and AFC Audits
- Manage and lead independent testing of the organization’s compliance with the Volcker Rule
Global Internal Audit Manager & Strategic Project Manager
JPMorgan Chase
New York
01.2012 - 01.2014
- Managed large global team of 60 auditors across audit disciplines focused on reengineering the regulatory audit practice
- Developed the design and infrastructure for redesigned best-in-class Compliance audit programs and practices (Volker, Dodd Frank, BSA/AML and overall Global Financial Crimes)
- Established and led internal global audit forums to streamline audit techniques globally across the region and issued reports to Executive Management and external regulators (e.g
- OCC and FRB) on remediation efforts
- Coordinated interactions with regulators (OCC and FRB) and communicated extensively (orally and in writing)
- Implemented a quality control system in the Global Financial Crimes audit space based on the latest auditing standards
Head of Internal Audit & Ethics
DS2 (A Lockheed Martin Company)
Marlton
01.2007 - 01.2012
- Established and launched a new internal audit function and modernized the firm-wide Ethics Program
- Chief Audit Executive designed the strategic direction for financial, risk and operational risk audits companywide
- Established and directed internal audit function to meet Department of Defense (DOD) standards as direct report to CEO
- Led strategic planning projects, developed audit strategy and budgets; introduced and supported new processes
- Proactively communicated with various DOD and state regulators, external auditors, and internal stakeholders
- Timely completed high quality audit plan on target and under budget for five (5) consecutive years as well as reduced costs annually by over 20%
Chief Ethics Officer
DS2 (A Lockheed Martin Company)
Marlton
01.2007 - 01.2012
- Directed investigations for Corporate Whistle Blower Hotline matters and associated compliance issues
- Managed external vendor relationship that provided whistleblower reporting for the company and investigated and resolved all allegations
- Led Ethics and Export Compliance communications program; rolled out company-wide Ethics and Compliance training
- Authored ethics reports pertaining to violations related to sensitive matters pertaining to all levels of management
- Developed and updated the Code of Ethics in partner with legal team to ensure establishment of current guidance
Education
MBA - Business & Finance
Rochester Institute of Technology (RIT)
Bachelor of Science - Education & Mathematics
Southern Illinois University (SIU)
Certified Anti-Money Laundering Specialist -
ACAMS International Membership organization
Certified Internal Auditor training -
Villanova University
Green Belt / Six Sigma training -
Lockheed Martin Corporation
Executive Development Series -
Attain Group LLC
Skills
- Regulatory compliance
- Risk assessment
- Audit management
- Financial crimes
- Stakeholder engagement
- Internal controls
Affiliations
- Veterans on Wall Street (VOWS)
- Women on Wall Street (WOWS)
- Association of Certified Anti-Money Laundering Specialist (ACAMS)
- Institute of Internal Auditors (IIA)
Accomplishments
- Established and launched a new internal audit department from inception and modernized the firms Ethics program
- Led global reengineering project of the BSA/AML/OFAC, Anti-Corruption and Risk audit disciplines and oversaw the implementation of related remediation of key regulatory inventory processes
- Developed the design and infrastructure of best-in-class Compliance audit programs and associated policies, procedures, and process documents for largest U.S. bank
- Managed large and small global teams of audit and compliance professionals specialized in financial regulation (Dodd Frank, Volker, AML)
- Liaison with external regulators on global and regional remediation efforts for large scale projects
- Implemented a quality control system for global examinations resulting in over 20% increased efficiency in production
- Previously held titles of Chief Audit Executive and Chief Ethics Officer with over 10 years of progressive management experience
Certification
- Certified Anti-Money Laundering Specialist (CAMS)
Timeline
Regional Audit Lead, Vice President
Commerzbank
01.2019 - Current
Deputy Principal Audit Manager, Vice President
Deutsche Bank
01.2015 - 01.2019
Global Internal Audit Manager & Strategic Project Manager
JPMorgan Chase
01.2012 - 01.2014
Head of Internal Audit & Ethics
DS2 (A Lockheed Martin Company)
01.2007 - 01.2012
Chief Ethics Officer
DS2 (A Lockheed Martin Company)
01.2007 - 01.2012
MBA - Business & Finance
Rochester Institute of Technology (RIT)
Bachelor of Science - Education & Mathematics
Southern Illinois University (SIU)
Certified Anti-Money Laundering Specialist -
ACAMS International Membership organization
Certified Internal Auditor training -
Villanova University
Green Belt / Six Sigma training -
Lockheed Martin Corporation
Executive Development Series -
Attain Group LLC
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