Justin Holt
Enterprise Testing Officer @Wells Fargo
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WORK HISTORY
Enterprise Testing Officer @Wells Fargo
Within Corporate Risk, Enterprise Compliance Testing, I assess compliance risks and the controls implemented by the first and second lines of defense. I perform assessments of compliance risks; independent assurance activities (testing and monitoring) to assess the design and effectiveness of key controls to address compliance risk; document and escalate reports; develop regulatory responses; and validate adequacy of corrective actions. Key Responsibilities and Tasks: • Plan, execute, and report compliance assurance reviews and issue validation activities. • Assist with the development of Compliance assurance test scripts and develop enhancement of compliance assurance methodologies and standards for auditing, testing, monitoring, and reporting. • Utilize innovative compliance testing solutions including data analysis of automated controls. • Develop effective relationships within independent risk management functions and with other key stakeholders, including business process owners, risk/control, and internal audit functions. • Identify industry best practices and share insight with assurance teams on a regular basis. • Employ strong understanding of compliance laws, rules, risks, regulations, and regulatory requirements. • Collaborate across Risk Management and Compliance and with business lines to enhance risk reporting and provide insightful analyses. • Provide senior management and executives with timely updates on the Compliance Risk profile for any material changes to the business environment. • Support the production of ad hoc compliance risk reporting for senior compliance and business line leadership.
EDUCATION
Mitchell Hamline School of Law
Juris Doctor, Law
DePaul University
Bachelor of Arts, Psychology and Political Science
Duke University School of Law
Banking and International Transaction Law
ABOUT JUSTIN HOLT
I am a JD educated compliance professional with extensive experience in finance and…
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