Pallavi Agarwal, CPA

Experience

• 

  Madhukar Garg & Co.

  Aug 2001 - Sept 2006

  Audit Associate
• 

  RMIC

  Oct 2007 - Jan 2010

  Financial Analyst
• 

  Lincoln Financial Group

  Jan 2010 - Jul 2011

  Senior Financial Analyst
• 

  Bank of America

  Jul 2011 - Aug 2019

  Responsible to review Credit and Operational Risk processes, to identify risks and ensure appropriate controls are in place. Ensure the processes and controls comply with the regulatory requirements including Basel AMA and other credit regulations. Partner with program owner to identify issues and make recommendations to resolve findings. Provided oversight, co-ordination, guidance and tested controls to assess the effectiveness of internal controls relating to Sarbanes-Oxley 404 (SOX), Disclosure Controls and Procedures (DCP), Federal Deposit Insurance Corporation Improvement Act (FDICIA). Partnered with Process Owners, Internal Audit and External audit to ensure they have a clear understanding of the requirements of the regulations and provided support to meet the requirements.

  • SVP, Global Compliance and Operational Risk Manager

    Mar 2019 - Aug 2019

  • SVP, Enterprise Credit and Operational Risk Program Adherence Testing Manager

    Oct 2015 - Feb 2019

  • VP, Manager; Finance Risk Management

    Mar 2014 - Oct 2015

  • AVP, Financial Risk Management

    Jul 2011 - Feb 2014
• 

  Wells Fargo

  Sept 2019 - now

  Compliance Director, Compliance Quality Assurance