Katie Powell

Katie is a Managing Director at Protiviti where she provides clients with regulatory compliance consulting and internal audit advisory services. She has prepared, managed and executed reviews for a variety of clients including risk assessments, regulatory reviews, regulatory submissions, documentation and mapping of organisational processes to risks and controls, governance reviews, risk culture assessments, third party risk, regulatory issue validation and assessing the effectiveness of business processes.

Katie is a member of the IIA and holds a masters degree in finance. Prior to joining Protiviti, Katie held a position with a non-profit organisation in the Finance Department. In her multiple roles within this non-profit, Katie was responsible for monitoring budget spend, regulatory reporting, providing training, including regulatory research and analysis on investment activities.

Major Projects

Internal Audit Outsourcing and Co-Sourcing:

• Experience evaluating board and audit committee governance effectiveness at multiple financial institutions. Assisted with re-design of internal audit validation process for regulatory and audit findings, including preparation of documentation templates, sustainability, board reporting and day to day management of teams to validate issues backlog.
• Led redesign and implementation of enterprise-wide skills assessment for internal audit
  Katie has coordinated and created onboarding efforts, developed training materials, client management and development of monitoring metrics.
• Completed External Quality Assessment Reviews (EQAR) of internal audit programmes in accordance with OCC Heightened Standards, Federal Reserve SR13-1 and IIA standards and reported recommendations for improvements.
• Katie supports multiple international organisations to enhance the Quality Assurance programme. 

Regulatory Compliance:

• Experience re-designing and leading regulatory and enterprise issue validation programmes for international and national financial institutions.
• Katie led an initiative utilising a global bank’s Compliance center of excellence to design and execute a Global Risk Assessment methodology with Financial Crime Compliance procedures by client type across multiple lines of business.
• Katie has worked with multiple organisations to agree core CDD and KYC data points, working with SMEs to review legal requirements & compliance procedures, create training materials and KYC templates for commercial banking business’s core and specialist client types based on legislation for its key international markets.
• Katie has assisted international clearing organisations to create disclosure frameworks in accordance with the CPMI (committee on payment market infrastructure), including coordination with other central counterparties and key stakeholders across the organisations.
• Assisted a multinational exchange to manage the legal and regulatory work stream in coordination with ten additional workstreams for a change of business submission and EMIR self-assessment.
• Completed assessment of Risk Culture for a SIFMU, considering guidance from the FSB, FCA, FRBNY, OCC, BCBS & IIA.

Areas of Expertise​

• Internal Audit Services
• Regulatory Compliance
• Advisory Services

Industry Expertise

• Financial Services
• Insurance
• Hospitality
• Healthcare
• Energy
• Telecommunications

Education & Certifications

• B.S. Business – University of South Florida
• M.B.A – University of South Florida
• Member, The Institute of Internal Auditors