Josh Fuller FINRA Series 99
Director, Risk & Control Services, TIAA
Josh has over 10 years of experience in Defined Contribution Retirement Recordkeeping Operations with TIAA. Josh started TIAA by working on institutional requests related to funding plan contributions. For the last 8 years Josh has been a part of the Risk and Controls Organization.
Currently Josh is the Leader of a team of Risk and Control Managers and Risk and Control Analysts responsible for:
• SOC1, SOX, and other key Internal control testing for Management.
• SOC1 Testing coordination with external Audit and Assurance firm.
• Support various financial statement evidence requests for Operations functions with external Audit and Assurance firm
• Complex plan audit support
• Risk and control advice, planning, tracking, and testing support to new products and services.
• Internal Audit remediation advice and monitoring
Currently Josh is the Leader of a team of Risk and Control Managers and Risk and Control Analysts responsible for:
• SOC1, SOX, and other key Internal control testing for Management.
• SOC1 Testing coordination with external Audit and Assurance firm.
• Support various financial statement evidence requests for Operations functions with external Audit and Assurance firm
• Complex plan audit support
• Risk and control advice, planning, tracking, and testing support to new products and services.
• Internal Audit remediation advice and monitoring
Appearances
Identification56DateMay 11, 2016This session will provide tips and general framework for getting the most out of the plan service providers you work with…Speakers
Heidi L. LaMarca, CPAPresident/Managing Partner, Windham Brannon,P.C.Michael F. Kraemer, CPAFidelityPeggy A. Bradley, BASenior Vice President | Client Business Solutions, Northern TrustJosh Fuller, FINRA Series 99Director, Risk & Control Services, TIAA$49Standard Price
