Dana Polentz

Dana has over 19 years of combined experience in the areas of internal audit, regulatory compliance, business process improvement, financial and operational controls, and information technology general controls in various industries including banking and mortgage lending. Dana has planned, directed, and performed over 500 SOC 1/SOC 2 audits for small, medium and large companies. Her experience also includes working directly with regulators. Her risk and governance experience includes monthly and quarterly meetings with Senior Management and the Audit Committee, assisting leadership with risk assessments, gap assessments, and internal audits of the following subject matter areas; Anti-Money Laundering (AML), Bank Secrecy Act (BSA), accounting and finance, compliance management systems, fair lending, compliance lending, depository compliance, abusive practices, privacy and consumer information, community reinvestment act, commercial, consumer, and mortgage credit underwriting, monitoring, and loan servicing, asset liability management, model governance, treasury operations, accounting operations, financial reporting, incentive compensation, vendor management, insurance, regulatory exam remediation, information security, and online and mobile banking. Lastly, she assisted in the design and implementation of SOX protocols including working with the external auditors, CFO and management to identify and ensure strength of controls, design of new controls as needed, test controls and/or review management’s testing of controls, remediation, and deficiency assessment from $1B-45B financial institutions.