3131 Cunningham Lake Ct., San Jose , CA 95148 CP:(408)2214690 email:naomi_mari@hotmai...
April 2008- Delta Products Corporation - USA
June 2008 Sales Administrator (Temporary/Reliever Position Only)
• Monitored ...
Asst. Cashier, July 1991 to June 1993
Supervising Audit Examiner, January 1990 to June 1991
Senior Audit Examiner, July 19...
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Published on: Mar 3, 2016

Transcripts - NaoUpdatedSJC2

  • 1. NAOMI B. MARI- RODRIGUEZ Page 1 of 2 3131 Cunningham Lake Ct., San Jose , CA 95148 CP:(408)2214690 Summary of Qualifications A customer-focused, detailed & results oriented professional with 29 years of progressive experience/ knowledge in auditing, finance, accounting, and BSA compliance. Responsible for proactively identifying and evaluating risks & controls, completing regulatory compliance analysis & research, identifying issues &/or areas for improvement, and working with management in developing actions plans to ensure risks are effectively mitigated &/or issues are corrected. A motivational team leader with high standards of ethics & integrity, and strong interpersonal & managerial skills. Has proven track record of successful bank & credit union audit management experiences, which add value & improve an organization’s operations. Has continuously works well even with global cross-functional and cross-cultural teams. Diverse experience/ knowledge in many aspects of banking & credit union business including: Business (Market, Operations, & Regulatory) Risk Management, Risk Measurement & Capital Adequacy, Prevention & Control of Bank Frauds, and Basic Information Security & Computer Auditing. Experience and Achievements June 2008- CommonWealth Central Credit Union Present Audit & Loss Control Specialist (& BSA Compliance) • Conducted regular audits & operations review of branches & other department’s activities; • Enhanced fraud & loss control activities across the credit union by monitoring critical transaction flows &/or operations activities that were not identified in the external &/or regulatory audits, and also reviewed user control considerations from SAS70 Reports of selected vendors; • Prepared annual audit programs, timely audit reports to management & to the Board of Directors, and procedures related to auditing & AML/BSA compliance; • Monitored & reviewed organizational compliance with AML/BSA regulations including all risk alerts generated in Verafin & other reports, and prepared accurate Currency Transaction Reports and Suspicious Activity Reports for timely submission to FINCEN; • Assisted &/or responded from time to time to external auditors & regulators in their audit activities as well as liaison to regulators, other government agencies & other institutions; and • Reviewed credit union’s risks & overall compliance with prescribed guidelines from VISA Instant Card, FSCC Shared Branching, Wespay ACH and CoOp & STAR Networks, and issued self-audit certifications.
  • 2. April 2008- Delta Products Corporation - USA June 2008 Sales Administrator (Temporary/Reliever Position Only) • Monitored and reconciled factory on-hand inventories against receipts & shipments; and • Prepared billings to various DPC customers. Aug. 2003- Bank of the Philippine Islands (BPI) - Philippines Sept. 2006 Manager (Audit Officer/Section Head) • Conducted regular audits (financial and/or operational and risk assessment) of highly profitable and risk prone business units, and prepared timely reports to management & to the Board of Directors: a) Financial Markets b) Asset Management & Trust c) Investment Banking d) International Banking e) Consumer Banking f) Lending g) Other Support Units (Comptrollership/ Accounting, ATM & Cash Centers, Processing Centers) h) Overseas Offices in the United States, Europe Region (UK, Italy & Spain) and Asia (Hong Kong) NAOMI B. MARI - RODRI GUEZ Page 2 of 2 • Performed examination/ evaluation of irregularities committed by bank officers and staff; • Enhanced existing audit procedures/ prepared audit training manuals, and also provided adequate on-the-job training for newly hired audit examiners, to comply with ISO Certification (at BPI in 2005) and with the Bangko Sentral ng Pilipinas (regulator) both in BPI and FEBTC; • Assigned as member to different project and marketing teams, for policy formulation & enhancements with emphasis on risk assessment and control; • Actively assisted in the following activities where the bank avoided monetary penalties and/ or prohibition as to acquisition of additional licenses: a) in 1995 upon conversion of FEBTC bankwide books to GL Millenium System; and b) in 2001 in the clearance of post-merger float/ recon items with FEBTC; and • Closely involved in 2005 on the post-acquisition of Prudential Bank & Trust Co. May 2000- Bank of the Philippine Islands Jul. 2003 Asst. Manager (Audit Officer) Sept. 1983 - Far East Bank and Trust Company, Philippines (merged with BPI in April 2000) Apr. 2000 Asst. Manager (Audit Officer/ Section Head), October 1995 to April 2000 Senior Asst. Cashier, July 1993 to September 1995
  • 3. Asst. Cashier, July 1991 to June 1993 Supervising Audit Examiner, January 1990 to June 1991 Senior Audit Examiner, July 1987 to December 1989 Junior Audit Examiner, May 1986 to June 1987 Reconciler, September 1983 to April 1986 Jun. 1982- Philippine Match Company Oct. 1982 Student Trainee Education Bachelor of Science in Business Administration (Accounting), Philippine School of Business Administration Note: Educational Credentials approved by the Academic Credentials Evaluation Institute, Inc. on April 16, 2007 and by the California Board of Accountancy on May 1, 2007 Certification/Affiliation & Other Community Participations • Certified Public Accountant, CPA 1983, Professional Regulations Commission, Philippines • Philippine Institute of Certified Public Accountants, Philippines • 2014 Rebuilding Together & Wheels for Kids, Santa Clara County (California, USA) Training • Northern Regional Training Sessions, Credit Union Internal Auditors’ Association, 2012 to 2014 • Western Payments Alliance, 2012 Workshop Series (ACH Audit & Risk Management Program) • California Credit Union League, 2012 Regulatory Update Seminar • BSA Compliance School, The California & Nevada Credit Union Leagues, 2010 • Business Risk Management, Knowledge Group of Companies, 2006 • Operations Risk Assessment, Bankers Institute of the Philippines, Inc. (BAI), 2003 • Money Market for Non-treasury Personnel, Update on Investment Scams and Introduction to the FX Market, BAI, 2003 • Risk (Market) Measurement & Capital Adequacy, Ateneo-BAP Institute of Banking, 2003 • Risk Management, Compliance & Audit Concerns for Trust & Fiduciary Functions, BAI, 2002 • Introduction to Investigation Process & Investigation Management Methodology, Arthur Andersen Cons., 1999 • Conducting the Audit Interview, Far East Bank & Trust Co., 1998 • Fraud Prevention, Deterrence & Detection, Earnst & Young (formerly SGV & Co.), 1998 • Liberalized Rules on Foreign Trade Transactions, Bangko Sentral ng Pilipinas 1992 • Loan Portfolio Management, Bank Administration Institute, 1989 • Comprehensive Auditing, JC Partners & Co., 1989 Business Software Used: MS Word, Excel, other bank/ credit union related software (in-house system at BPI, XP2 at CCCU, Verafin, etc)

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