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Suzanne Clune
Looking for a jobSenior Director, Corporate Compliance
More than 15 years of experience in Internal Audit and Compliance, I bring a strong foundation in internal controls, compliance, and risk management.
United StatesSenior Director, Corporate Compliance at Cboe Global Markets
Experience
Senior Director, Corporate Compliance
Led a six-person compliance team overseeing trade controls, data governance, compliance training, and records management. Served as primary compliance lead for Cboe Data Vantage, ensuring alignment with IOSCO Principles for Financial Benchmarks.
ComplianceTrade ControlsData GovernanceCompliance TrainingRecords ManagementIOSCO PrinciplesGRCAI SolutionsControl FrameworksRisk Assessment
Director Internal Audit
Directed end-to-end execution of compliance, operational, and regulatory internal audit engagements. Designed and executed the annual risk assessment process and presented findings to senior leadership and the regulatory oversight committee.
Internal AuditRisk AssessmentComplianceOperational AuditsRegulatory Audit ProcessesQAIPExternal Audit ManagementSECCFTCBroker Dealer Compliance
Manager, Internal Audit
Managed end-to-end audit engagements including planning, fieldwork, and reporting across compliance, regulatory, and operational areas. Supervised and developed staff auditors and interns.
Internal AuditComplianceOperational AuditsRegulatory Audit ProcessesTeam LeadershipStaff Development
Senior Internal Auditor
Executed risk-based audits covering operational, regulatory, and compliance areas. Supported SOX testing and regulatory audit requirements.
Internal AuditRisk Based AuditSOX TestingRegulatory Compliance
Risk Analyst
Facilitated and managed the University's Enterprise Risk Management (ERM) initiative. Developed consulting engagements and managed the GRC tool (Paisley GRC on Demand).
Enterprise Risk ManagementGRCPaisley GRC On DemandRisk ReportingHeatmapsBusiness Process Impact Analysis
Senior Associate, Advisory Services
Led SOX documentation and controls testing engagements across financial services sectors. Managed end-to-end SOX compliance testing and supported AML/KYC compliance for an international bank.
SOX ComplianceControls TestingInternal AuditAMLKYCFinancial ServicesInsuranceBankingMortgageBroker Dealer
Internal Auditor
Designed and executed internal audit reviews for an FCM/Broker-Dealer. Led process documentation and control assessments across high-risk functional areas.
Internal AuditFCMBroker DealerModel ValidationAMLKYCCapital RequirementsInvestment OperationsCredit Risk
Education
DePaul University – Kellstadt School of Business
Master of Business Administration in Finance from DePaul University – Kellstadt School of Business, completed in 2004.
Master of Business Administration in Finance from DePaul University – Kellstadt School of Business, completed in 2004.
Indiana University – Kelley School of Business
Bachelor of Science in Business with a focus on Accounting and Legal Studies from Indiana University – Kelley School of Business, completed in 1999.
Bachelor of Science in Business with a focus on Accounting and Legal Studies from Indiana University – Kelley School of Business, completed in 1999.
Institute of Internal Auditors
Certified Internal Auditor (CIA) certification from the Institute of Internal Auditors.
Institute of Internal Auditors
Certification in Risk Management Assurance (CRMA) from the Institute of Internal Auditors.