John Mason
Senior Associate Consultant
John Mason has over 20 years combined experience in financial services, internal audit, SSAE 16s/18s, regulatory compliance, information security, investigations, and process reengineering. John has performed over 200 SSAE 18 SOC 1 and SOC 2 audits throughout his career. He has held positions such as Chief Internal Auditor and VP of Audit & Compliance in a variety of companies. While at two multi-billion-dollar institutions, he was the Chief Information Security Officer and helped establish information risk management programs as well as designing risk-based programs several years before Sarbanes-Oxley.
EXPERIENCE INCLUDES
- Integrated regional and interstate banks’ IT-financial audit support for consumer and commercial loans, BSA/OFAC compliance, ALM/IRR, deposit operations, borrower-in-custody, IT, non-depository insurance products (NDIP), GLBA, SOX, branch retail audits, accounting/finance, asset-based lending, and factoring
- Provided key assistance during major IT conversion where the CAO stated that without Internal Audit’s help, the conversion would not have succeeded or been aborted
- Reduced compliance reporting costs by 90% and reduced SAR compliance reporting time to 6-8 minutes through personally-developed database tools
- Streamlined and reduced up to 40% the SOX compliance work at a major renewable products company
- Established multi-phased and integrated information security and HIPAA solutions resulting in estimated cost-savings of $25,000+ per client
- Has routinely authored, reviewed, and researched finance control policies and procedures
- Performed audits for governmental agencies
- Performed over 200 SSAE 18/16 SOC 1 and SOC audits and readiness assessments
- Managed a full spectrum of financial, operational, SOX compliance and data processing audits; designed, performed, and evaluated domestically and internationally in multiple languages:
- Operations administration and internal control audits at over 15 different institutions encompassing over 150 locations
- Lending-related operational and compliance audits at over 12 institutions encompassing over 110 locations
- Accounting/finance-related operational and compliance audits at over 12 institutions encompassing over 100 locations
- Foreign exchange and trade finance operational and compliance audits at over 10 institutions encompassing over 80 locations
CONSULTANT OVERVIEW
Education:
- B.A. in Economics degree from the UC San Diego
- M.B.A
- CISA
- CISM
- CFE
- CGEIT
- CDPSE
Community Involvement:
- Member of Information Systems Audit and Controls Association (ISACA)
- Member of Association of Certified Fraud Examiners (ACFE)
Services:
- Internal Audit
- Accounting & Finance
- ALLL
- Compliance Management Systems
- CRA
- Operations Compliance
- Electronic Banking
- Information Technology
- Investments
- IRR/Liquidity
- Lending Compliance
- Regulatory Compliance
- Remote Deposit Capture
- Risk Management
- SSAE 18 SOC1, SOC2 & SOC3 Audits
- SOX Compliance
- TRID
- UDAAP
- Vendor Management
- Website compliance