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Tom specializes in advisory services to management and boards of directors, independent reviews and monitoring efforts, and investigations. His primary areas of focus include corporate governance, risk management and controls, auditing, regulatory compliance, regulatory relations, accounting, and reporting. He draws on over thirty years’ experience in consulting to the executive suite and the boardroom.
Prior to joining Promontory, Tom spent over twenty years with KPMG and KPMG Consulting, where he was an audit partner leading audits of major financial institutions, a co-founder of the firm’s structured finance and investor reporting practice, and then a managing director and member of the executive committee of the financial services consulting practice. Tom also co-founded and was a managing director of Clarient Group LLC, advising executive management and boards of directors with respect to oversight of risk, controls, auditing, regulatory compliance, accounting, and reporting matters.
- B.S., accounting, Fairfield University
- Board of Trustees and member of Executive Committee of Fairfield University. 2003-2009
- Chairman/member of D.C. Public Charter School Board.1996-2005
- Board of Trustees of Washington Project for the Arts, 1990-1996
• Assessment of board and management governance with respect to a major bank’s risk management, compliance, and controls oversight activities.
• Review of a bank’s controls framework, including delegation of roles and responsibilities among business lines, compliance, enterprise risk management, and internal audit to identify and address both gaps and overlapping efforts.
• Independent review of management and board capabilities and effectiveness, pursuant to a regulatory enforcement action at a large bank.
• In-depth review of a systemically-important financial institution’s internal audit function, relative to emergent best practices and regulatory expectations.