Brian Kargauer

About Brian Kargauer

Detail-oriented and proactive Internal Controls Examiner with a proven record of…

Experience

1. VP - Internal Controls Examiner Ii

   Truist

   Sep 1998 — Present

   Perform independent and objective assurance reviews that add value, identifies areas of risk, and evaluates operations in the Community Bank. Perform Internal Control Reviews (ICR) in branches through testing, inquiry and observation, to ensure adherence to policy/procedures, risk appetite and regulatory compliance.Perform testing, review and evaluation of operational controls and regulatory compliance for business segments, assuming responsibility for the ICR for management. Escalate any identified major control weaknesses within operational procedures to Internal Controls Exam Manager (ICEM).When assigned as lead for a review, conduct pre-work in preparation of onsite review to become familiar with specifics of the branch, including staffing, services and operations. Responsible for scope, schedule and management of workflow to efficiently and effectively complete the review. Responsible for maintaining proper documentation, approvals, and sufficient retention, as required, while meeting time sensitive deadlines. Ensure documentation is thorough and comments are clear and concise and entered into system of record.Use consistent methodology adhering to Internal Controls procedures to ensure reviews are objective, reliable and repeatable. Analyze and document all operational deficiencies, so that corrective action can be taken on identified control weaknesses. Identify and document issues and associated root causes for review with management.Maintain open line of communication with ICEM to discuss trends, repetitive findings, gaps, and unusual situations that may indicate a more systemic risk.Maintain current, professional and specialized knowledge of Bank operations, risk management, security, and problem resolution strategies and utilize this knowledge and expertise to ensure operational and risk management excellence.Deliver prompt, empathetic, reliable, responsive, competent and professional responses consistently when communicating to branch teammates.

Education

• Nova Southeastern University

  Bachelor of Science in Business Administration

  1993 — 1997

Skills

• Coaching
• Customer Service
• Auditing
• Fraud Prevention
• Strategic Planning
• Retail Banking
• Risk Management
• Networking
• Incident Response
• Employee Training
• Project Management