Summary
Overview
Work History
Education
Skills Leadership
Certification
Timeline
Generic

Rusty Simmons

Scottsdale,AZ

Summary

Senior level professional with over 18 years of experience in risk management, compliance, and audit. Highly proficient in building out new organizational audit, compliance, and risk functions from the ground level. Leader in technology/finance industries, managing teams of various sizes in matrixed environments, and successfully implementing regulatory guidance for business operations.

Overview

20
20
years of professional experience
1
1
Certification

Work History

Senior Director, Risk Management

Early Warning Services, Inc. (Zelle)
07.2017 - Current
  • Implemented and maintained oversight for the overall Risk Management Program for Early Warning Services/Zelle
  • Led controls oversight on behalf of business and in support of risk and regulatory compliance related initiatives including oversight of policies/procedures, control design, and quality governance (CFPB, OCC, OFAC, Reg E, GLBA, FFIEC, NIST, ITIL, ISO 27001)
  • Provided risk guidance on critical business projects and ensured appropriate frameworks were in place to actively manage risk with business operations
  • Led critical waterfall to agile process/risk/control transformation for the organization
  • Maintained ongoing Risk & Control Self-Assessment (RCSA) reviews, process maps, and control testing for defined business units
  • Developed and maintained key risk indicators (KRI) and key performance indicators (KPI) reporting and dashboards for executive leadership
  • Led critical disaster recovery exercise planning and administration, vendor management oversight, and regulatory exam oversight, inclusive end-to-end management of organization's SOC2 program with KPMG.

Director of Internal Audit

Banner Health
06.2016 - 06.2017
  • Implemented a data analytics audit framework/program for compliance and audit groups throughout the organization reducing recovery errors by 35%
  • Managed a system-wide physician corrective action plan (CAPA) tracking program to ensure issues were remediated within 90 days
  • Established a facility wide monitoring program to ensure facilities and physicians were in compliance with local, state, and federal regulations
  • Managed investigations for incidents within corporate and facility locations
  • Responsible for policies and procedures management and inventory processes
  • Partnered with Audit and Compliance Directors to develop and execute annual audit plan.

Senior Manager, Regulatory Affairs

McKesson, Inc.
02.2015 - 05.2016
  • Implemented a regulatory framework for a $8 billion oncology drug wholesale business to comply with FDA and DEA laws and regulations
  • Established a license tracking and monitoring tool to ensure compliance with federal, state, local, and third-party logistics statues for the US Oncology Network and the mail order pharmacy
  • Managed and implemented a customer monitoring program to comply with the DEA's “Know Your Customer” requirements
  • Established a Quality Management System (QMS) to ensure compliance with CFR 21 FDA 820, 11, 210, and 211, requirements
  • Developed an ongoing auditing and monitoring program to provide assurance of compliance to regulatory, Medicare/Medicaid, and customer obligations.

Audit Manager/Senior Audit Manager

McKesson, Inc.
09.2009 - 01.2015
  • Coordinated with executive management to develop and direct the annual audit plan, SOX Compliance, and integrated risk assessment for $12 billion and $1 billion business units
  • Managed complex integrated audit projects (IT, Finance, Compliance, Operational) with decentralized audit teams
  • Created relationships with executive management through providing Internal Audit results and critical business updates
  • Developed, led, and managed multiple direct reports at multiple locations
  • Led regulatory, privacy/data security, and government contracting compliance projects
  • Directed multiple internal department initiatives including software upgrades and implementations.

Internal Audit Manager

Stiefel Laboratories, Inc, (A GlaxoSmithKline Company)
11.2008 - 09.2009
  • Directed Healthcare Compliance Audit plan under the VP of Internal Audit & Senior VP Compliance & Ethics
  • Developed audit procedures, workbooks, audit forms, etc
  • For Compliance Audit function
  • Served as a liaison to US finance management for process improvements/controls
  • Conducted audits within the finance and commercial operations function
  • Implemented controls and framework for Foreign Corrupt Practices Act (FCPA)
  • Worked with international business partners to identify fraud and corruption
  • Implemented accounting processes including reducing the financial statement close by six days.

Internal Audit Manager

Progress Rail Services (A Caterpillar Company)
01.2007 - 10.2008
  • Implemented Sarbanes-Oxley 404 in a $2 billion dollar subsidiary of a Fortune 50 company
  • Exposed to financial analysis, quarterly & annual budgeting, and modeling processes
  • Served as a liaison to management to remedy accounting and operational issues
  • Assisted local management in developing and updating procedural documentation
  • Assisted accounting management in facilitating FASB and GAAP research projects
  • Managed multiple contractors on SOX and other consulting engagements
  • Worked directly with Division, Business Unit, and Corporate Controllers on remediation of financial control issues
  • Developed presentation material to present to groups of 30+ that included executive management
  • Engaged in control reviews and other special projects including financial audits
  • Coordinated with accounting management the development of new processes to facilitate accounting information.

Senior Auditor

Ernst & Young, LLP
11.2003 - 01.2007
  • Supervised two to three staff auditors on public and private engagements
  • Supervised and organized procedures for SOX 404 engagements
  • Responsible for auditing/issuing 10K's and 10Q's for public companies
  • Performed technical research with an end deliverable “white paper” to management
  • Exposure to the IPO process and S-1 & S-4 filings
  • Worked independently with upper management to resolve pertinent issues
  • Performed due diligence procedures for potential company buyouts.

Education

Bachelor of Science - Accountancy

Auburn University
Auburn, AL

MBA - Business Administration

Grand Canyon University
Phoenix, AZ

Skills Leadership

  • Agile/Waterfall Methodologies
  • Security/Technology Compliance
  • Change Management
  • KRI/KPI Management
  • Healthcare/Financial Compliance
  • Internal Controls/Processes
  • Risk Frameworks/Governance
  • GRC Tool Management
  • Business Collaboration
  • Audit Management/Governance
  • Business Process Improvements
  • People Development
  • Effective Communication
  • Project Management
  • Innovative Mindset
  • Certified Internal Auditor

Certification

Certified Internal Auditor

Timeline

Senior Director, Risk Management

Early Warning Services, Inc. (Zelle)
07.2017 - Current

Director of Internal Audit

Banner Health
06.2016 - 06.2017

Senior Manager, Regulatory Affairs

McKesson, Inc.
02.2015 - 05.2016

Audit Manager/Senior Audit Manager

McKesson, Inc.
09.2009 - 01.2015

Internal Audit Manager

Stiefel Laboratories, Inc, (A GlaxoSmithKline Company)
11.2008 - 09.2009

Internal Audit Manager

Progress Rail Services (A Caterpillar Company)
01.2007 - 10.2008

Senior Auditor

Ernst & Young, LLP
11.2003 - 01.2007

Bachelor of Science - Accountancy

Auburn University

MBA - Business Administration

Grand Canyon University

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Rusty Simmons