Marshall Rivers, CPA

As a pragmatic and passionate Internal Audit Director offering 15+ years prioritizing integrity, compliance, and ethics to transform financial services infrastructure into finely tuned enterprises, I act as an interpersonal leader and thought partner experienced in leading teams, coaching junior staff members, and building rapport with stakeholders to effectively communicate audit findings, agree on remediating action plans and monitor their implementation by the agreed due dates. I serve as a trusted advisor supporting the development and implementation of processes and procedures to include internal audit frameworks, methodologies, and assurance programs while helping develop internal audit strategy, including the balance of in-house and outsourced internal audit resources to meet the companies’ needs. I am dedicated to sound corporate citizenship, fostering professional growth in teams, deep civic engagement, supporting diversity, equity and inclusion, and leveraging strengths to give back to worthwhile organizations. Throughout my career, I have prided myself on constructing, leading, and maintaining comprehensive and impactful compliance, risk, and audit programming for multi-national organizations. I have come to find that instituting a reasonable, risk-based approach to building and monitoring compliance and audit programs is, in fact, one of my superpowers. I bring polished and sophisticated tactics to streamline governance, regulatory compliance, and risk management. Proudly serving as Senior Audit Director and Senior Vice President at Regions Bank, I understand the flexibility and focus needed to spearhead complex regulatory matters for multi-faceted financial services clients. I have perfected my diplomatic, strategic, and holistic approach to compliance, audit, and risk, ensuring ongoing adherence to guidelines and other applicable regulatory requirements. Additionally, I lead department SOX compliance as the SOX Director, serving as a vital resource for the external audit team when coordinating audit testing for a team of 100+ auditors. I thrive in environments where I can serve as an executive leader on compliance risks and strategies in the context of short and long-term commercial goals. Additionally, I can achieve measurable improvement in the risk profile, focusing on revenue growth, enhancing privacy programming, ensuring compliance, and succeeded in changing audit requirements to self-performed audit and successfully concluded agreement.