Information Systems Department Advisory Board

Christopher Thompson

Employment:

Job Title: Director, Risk Assurance
Company: PwC

Biography:

Role

Chris will be responsible for managing and executing on the day-to-day activities and deliverables. Chris will be your primary delivery contact and will utilize his experience in the financial services industry to provide you a strong project management approach that also provides industry insights.

Experience

• Mobilize internal audit groups to best in class status with a risk based approach; recruiting highly qualified professional staff, audit planning, coordination with third parties, including national regulatory agencies. Chris has led management interactions with the audit committee including charter, agendas, meeting packages and annual presentation schedules, as well as executive sessions with management and the audit committee chair.
• Knowledge in the financial services industry with 10+ years of internal auditing and risk assessment experience in the areas of banking and broker dealer including, accounting, treasury, retail banking, mortgage banking, regulatory compliance, retail investment services. Chris maintains strong relationships with financial regulatory bodies and keeps the audit committees and the executive suite fully apprised of current and “emerging” regulatory issues.
• Held responsibility for preparing, reviewing, and obtaining approval for the comprehensive Audit Universe and multi-year Risk Based Audit Plan. Has designed and implemented full scope professional practices within internal audit and conducted third party assessments of internal audit.
• Designed protocols and led experienced teams in the planning of individual audits, including planning memos, initial meetings with clients to determine risks and finalize scopes, audit approaches and testing programs, preliminary findings, review of drafts with management, final reports with one page executive summaries to management, executive suite and the Audit Committee.
• Designed and implemented SOX protocols including working with the external auditor, CFO's office, and management to identify and ensure strength of controls, design new controls as needed, test controls and/or review management's testing of controls, remediation, and deficiency assessment.
• Risk and governance experience includes leadership of: BSA, compliance, disaster recovery, privacy, operations risk, quality assurance, credit and market risk assessment, fraud investigations including, model governance, vendor governance, insurance, retail branch risk, regulatory exam preparations, litigation support, and technology risk.

Education

Christopher received his BS in Accounting degree from the University of California, Riverside and is a Certified Internal Auditor (CIA).

Area of Expertise

• Risk Based Internal Auditing
• GRC & ERM
• Financial Services
• Regulatory Compliance