I am a PwC Risk Assurance Director with 10 years experience supporting leading national and global Financial Services institutions. I specialize in Third Party Assurance (SSAE 16, AT101, Trust Services Principles), Custody Rule 206 regulatory compliance and Sarbanes-Oxley readiness and implementation. I am personally committed to client service and working collaboratively with my clients to identify efficient,
I am a PwC Risk Assurance Director with 10 years experience supporting leading national and global Financial Services institutions. I specialize in Third Party Assurance (SSAE 16, AT101, Trust Services Principles), Custody Rule 206 regulatory compliance and Sarbanes-Oxley readiness and implementation. I am personally committed to client service and working collaboratively with my clients to identify efficient, cost effective solutions to regulatory, risk management and information technology challenges and issues.
As part of the larger PwC's Risk Assurance practice I bring the following services to my clients:
* Leverage industry and technical expertise to help manage business risks effectively
* With a deep background in risk assurance management I use these skills to assist in analyzing project risks and controls
*Enhance client's Internal Audit functions so that they align to their company’s strategy and risk
*Reduce client's costs through strategic Internal Audit outsourcing and co-sourcing solutions
*Increase the value and reduce the costs of compliance-related activities
*Leverage internal controls to achieve regulatory, financial and compliance requirements
*Identify untapped opportunities to effectively mitigate risk and improve business performance
*Assess security and privacy risks and identify practical solutions
*Apply Enterprise Risk Management concepts to help identify, assess, mitigate, and proactively counter emerging risks
Internal Controls Experience
* SAS 70/SSAE16
* Risk Assessment
* Custody Rule 206 regulatory compliance
* Sarbanes-Oxley readiness and implementation
* Internal Controls (Business Process and IT)
Director, Risk Assurance - Risk Management with Pricewaterhouse Coopers @ Megan is a seasoned Director in the San Francisco Risk Assurance practice, specializing in third party assurance (TPA) and FS Regulatory client service for Banking and Capital Markets and Investment Management clients. She has successfully managed high profile engagements in the US and the UK while maintaining strong relationships with her clients, delivering seamless execution and ensuring high quality deliverables. Megan has 12 years’ experience performing process and internal controls assessments and implementations for leading financial services clients as part of SOX, SSAE 16 (SOC 1 and SOC 2), AT101, Custody Rule 206, internal audit and agreed upon procedures consulting engagements. Megan is a strong professional leader with excellent people management skills and the ability to motivate teams to perform effectively while maintaining focus on deadlines, key risks and internal controls.
Summary of skills and experience:
• Experience designing, assessing and implementing internal controls for several global and domestic Investment and Commercial Banks.
• Effective engagement leader and project manager for multiple year end integrated audits (including Sarbanes Oxley, FDICIA, and statutory audits) for industry leading Financial Services clients of the Firm.
• Performed controls optimization while maintaining high quality timely deliverables for multiple SSAE 16 (SOC 1), SOC 2 and AT101 business process and IT general control third party assurance engagements.
• Financial Services regulatory specialist in SEC Custody Rule 206 regulation for registered investment advisors including planning, scoping and delivering both Surprise Examinations and Internal Control Reporting requirements.
• Proven ability to manage client and firm relationships, applying regulatory and technical knowledge coupled with 9 years audit and financial services experience to provide tactical solutions to clients’ business, IT and risk related issues. From September 2008 to Present (7 years 4 months) San Francisco Bay AreaRisk Assurance Operations Manager @ -Duties included Operations and MI with specialties in Financial , Analysis & Reporting
-Overall management for Group Sarbanes Oxley operational performance metrics through the production of information used by the Executive Committee to track and monitor the Bank’s performance against the base requirements for SOX compliance. From November 2006 to May 2008 (1 year 7 months) London, United KingdomRisk Assurance Services Manager - Specializing in Financial Services and IT Optimization @ • Effective engagement leader and project manager for multiple year-end integrated audits (including SOX, FDICIA and statutory audits) for the several industry leading Commercial Banks and Mortgage Lenders.
• Design and assess internal controls for several global investment banks to facilitate SOX readiness as well as provide advisory services. From February 2003 to November 2006 (3 years 10 months) London, United KingdomRisk Assurance and Risk Management Consultant @ • Worked in ERM Group specializing in Risk Assurance
• Performed controls optimization while maintaining high quality timely deliverables for multiple SSAE 16 (former SAS70) business process and IT general controls engagements.
• Experienced in designing and assessing internal controls for several global investment banks to facilitate SOX readiness as well as provide advisory services. From August 2002 to July 2003 (1 year)
Bachelors, Political Science & French @ University of Southern California From 1997 to 2002 Megan Monroe-Coleman is skilled in: Risk Management, Risk Assessment, Risk Analysis, Operational Risk Management, SOX, Information Management, Information Technology Optimization, Regulatory Compliance, Financial Risk, Financial Analysis, Financial Reporting, Financial Regulation, IT Audit, Financial Services, Internal Controls