Stephanie Luckey
Charlotte,NC
Summary
Seasoned risk management professional with a proven track record at Wells Fargo and TIAA-CREF, specializing in governance, risk compliance, and internal controls. Excelled in enhancing enterprise risk frameworks and leading audit engagements, showcasing exceptional communication skills and thought leadership. Achieved significant improvements in EUCT governance and risk reporting processes.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Lead Enterprise Risk Officer
Wells Fargo
Charlotte, NC
04.2020 - Current
- Governance role within the second line of defense, focusing on Enterprise End User Computing Tools (EUCT) Governance.
- Responsible for the overall strategy, technology, governance, and training routines associated with managing EUCT risk at Wells Fargo.
- Partner with all lines of business and support functions to ensure the successful implementation and execution of the EUCT policies, and corresponding technology.
- Track and monitor business group adherence to the EUCT policy, and escalate issues as needed to upper management.
- Oversee and monitor EUCT-related issues across the organization to ensure proper and timely remediation.
- Perform key controls and respond to inquiries from other second and third line functions within Wells Fargo, as needed.
- Oversee controls for the Enterprise EUCT Governance team to ensure controls are in place and performed timely and comprehensively.
- Prepare and present management-level reporting related to EUCTs.
Senior Consultant
Wells Fargo
Charlotte, NC
06.2014 - 04.2020
- Provided meaningful assessments of financial risk and regulatory reporting control environments.
- Oversaw compliance with Wells Fargo & Company COSO-based policies for financial controls over financial reporting (SEC and Regulatory Reporting).
- Monitored new and emerging internal control-related guidance and issues, and assisted with facilitating group-wide training to impacted parties.
- Provided consultation and subject matter expertise for process and control-related matters, including evaluating the severity of control-related deficiencies and related remediation efforts.
- Provided process and control support, and thought leadership for projects.
- Interfaced with external auditors, regulators, and others on control-related matters.
- Acted as a change agent for continual improvement of the control environment.
- Supervised and reviewed the work of other COSO Monitoring team members.
- Performed walkthroughs of key processes to ensure required COSO documentation was accurate and reflected all relevant risks and key controls.
Internal Audit Manager
TIAA-CRF
Charlotte, NC
02.2011 - 05.2014
- Supervised Senior Internal Auditors on audit engagements in the Finance, Compliance, Human Resources, and Marketing areas, including on-the-job training and review of work papers.
- Prepared audit strategy, including risk assessment, budgeting, and assigning work to staff for risk-based audit engagements.
- Interacted with senior managers, senior directors, and business partners to build and maintain ongoing relationships.
- Oversaw the completion of clients' audit reports and discussed findings and recommendations to bridge identified control gaps.
- Evaluated management's response to audit issues to ensure that key risks were appropriately mitigated.
- Performed Sarbanes-Oxley oversight testing.
- Maintained compliance with IIA and Internal Audit Methodology Standards.
Senior Internal Auditor
TIAA-CREF main campus
Charlotte, NC
06.2006 - 03.2011
- Worked on audit engagements under the direction of an internal audit manager.
- Prepared work papers in accordance with IIA standards and Internal Audit Methodology.
- Drafted audit report issues and discussed findings and management action plans with clients.
- Led audits with the assistance of junior-level staff accountants, including risk assessment, budgeting, on-the-job training, and review of work papers.
Education
Bachelor of Science - Accounting
SUNY - College At Old Westbury
Old Westbury, NY05-1999
Skills
- Governance, risk and compliance
- Risk reporting
- Internal controls
- Enterprise risk management
- Data analysis
- Emerging risks identification
- Audit coordination
- Communication
- Presentations
- Thought leadership
Certification
- Certified Public Accountant
Timeline
Lead Enterprise Risk Officer
Wells Fargo
04.2020 - Current
Senior Consultant
Wells Fargo
06.2014 - 04.2020
Internal Audit Manager
TIAA-CRF
02.2011 - 05.2014
Senior Internal Auditor
TIAA-CREF main campus
06.2006 - 03.2011
Bachelor of Science - Accounting
SUNY - College At Old Westbury
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