Raul Montes
New York,NY
Summary
Senior Bank Examiner with the Office of Comptroller of the Currency (OCC). Areas of expertise include operational risk, enterprise risk management, information technology, IT Audit, and governance with strong knowledge in federal related laws and regulations. Currently within the OCC's large bank supervision division as a Lead for a moderate size team. Began working with the Office of Thrift Supervision (OTS) in June 1998 and transitioned to OCC in May 2011. Very interested in transitioning to the private sector from government. Dedicated professional with history of meeting company goals utilizing consistent and organized practices. Skilled in working under pressure and adapting to new situations and challenges to best enhance the organizational brand. Seasoned Bank Examiner with over 24 years of experience in the financial industry. Excellent reputation for identifying problems and improving internal controls.
Overview
24
24
years of professional experience
1
1
Certificate
Work History
Office of the Comptroller of the Currency
Department Of The Treasury
New York, NY
05.2011 - Current
- Performed supervisory reviews related to operational risk, enterprise risk management, compliance, and information technology.
- Provided feedback and communicated supervisory results to executive management and board of directors during my regulatory tenure.
- Provided input and advanced expertise to OCC executive management on numerous safety and soundness issues across large banks.
- Worked within applicable standards, policies, and regulatory guidelines to ensure banks operate in a safe and sound manner and comply with applicable laws and regulations.
- Monitored financial institutions performance and apprised relevant parties on banking matters.
- Performed 30 or more examinations at large banks.
- Performed 30 or more of ongoing supervision reviews related to operational risk areas and information technology.
- Led large and medium sized examination teams at large banks.
- Developed yearly supervisory strategy for three prior years.
- Managed team of examiners, overseeing training and professional growth of examiners.
- Recruited and implemented internship programs and promoted significant amount of performance evaluations.
- Led validation reviews of matters requiring attention and enforcement actions including consent orders and Part 30 Notice of Deficiency.
Office of Thrift Supervision
Department Of The Treasury
New York, NY
06.1998 - 05.2011
- Led 100 or more IT examinations at thrift financial institutions.
- Assisted in 200 or more IT examinations at thrift financial institutions.
- Performed 50 or more IT examinations at technology service providers.
- Led 20 or more IT examinations at technology service providers.
- Coached and mentored 20 junior examiners.
- Prepared 50 or more report of exams of thrifts and technology service providers.
- Completed work papers, conclusion memos, and supervisory letters recognizing discrepancies and promptly addressing for resolution.
Education
BBA - Finance
Baruch College of The City University of New York
New York, NY06.1999
Skills
- Enterprise Risk Management
- Governance / Operational Risk
- Cyber / Information Security
- Strong Regulatory Knowledge
- Remediation of Matters Requiring Attention (MRA)
- Remediation of Enforcement Action
- IT Operations
- Third Party Management
- Continuity Management
Certification
Certified information Security Auditor (CISA) since 2005
Timeline
Office of the Comptroller of the Currency
Department Of The Treasury
05.2011 - Current
Office of Thrift Supervision
Department Of The Treasury
06.1998 - 05.2011
BBA - Finance
Baruch College of The City University of New York
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