Mark Polney
Compliance Testing Lead @ USAA | Auditing, Internal Controls
- Role
- Compliance Testing Lead at USAA
- Location
- Tampa, FL, US
- LinkedIn followers
- 500 followers
About Mark Polney
As the Compliance Testing Lead at USAA, I oversee a team conducting control and…
Experience
Compliance Testing Lead
Nov 2018 — Present · Tampa, FL, US
Responsible for managing a team of 3-6 individuals for control/transactional testing. Areas of coverage include Credit Cards, Disputes (Fraud and Non-Fraud), Third Party Risk Management, Human Resources, Complaints, Global Sourcing and Procurement, Contingent Workforce and Sales Practices. Duties include:• Leading and managing the execution of concurrently run tests including all aspects of planning, scope memos, populations/sampling, testing attributes, fieldwork, reporting and review of testing work papers to ensure they support appropriate conclusions. • Developing and maintaining relationships with key stakeholders and control partners (Audit, Risk, Operational Risk, Compliance, Business Control Management and Legal) to facilitate between all lines of defense for determining key areas of risk and providing feedback and effective challenge for control and risk assessments and test plan coverage.• Compiling results of testing and reviewing noted exceptions noted to determine need for issues. Then providing input and drafting issues for further review and input into SNOW.• Partnering with key stakeholders to develop, implement and/or improve upon control testing strategies along with the steps needed to assess key compliance/operational risks and mitigating controls.• Drafting Reports for distribution to key stakeholders and senior management.
Education
Marywood University
Bachelor's degree
Skills
- Process Improvement
- Management
- General Ledger
- Financial Reporting
- Internal Audit
- Budgeting
- Analytical Skills
- Auditing
- Business Analysis
- Portfolio Management
- Financial Risk
- Asset Management
- Financial Audits
- Internal Controls
- Peoplesoft
- Business Process Improvement
- Banking
- Risk Management
- Financial Analysis
- Human Resources
- Analysis
- Financial Services
- Financial Statements
- Risk Assessment
- Sarbanes-Oxley Act
- Budgets
- Finance
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