Timothy A. Swoboda
La Vista
Summary
Achievement-driven leader with over ten years of experience in team development and communication strategies. Developed operational performance standards that improved engineering efficiencies, resulting in a 30% reduction in cycle time. Expertise spans multiple industries including insurance, banking, software, and energy. Proficient in accounting and auditing, with a proven track record of managing financial records, conducting audits, and ensuring compliance with regulations, leading to improved financial reporting processes.
Overview
11
11
years of professional experience
1
1
Certification
Work History
Director of Internal Audit
American National Bank
08.2024 - 06.2025
- Developed an audit management strategy by implementing a 3-year risk-based audit cycle, using a risk-based analysis approach, that covered 100% of the control environment and was presented to the Audit Committee, resulting in increased regulatory rating.
- Led efforts in creating an audit-document-repository reachable by the operational staff, decreasing the time wasted searching by 2 hours weekly, and increasing productivity.
- Cultivated close working relationships with 10+ executive leaders for finance, operations, and technology business units, enhancing open dialogue and cooperation for audit findings related to re-mediation of the root cause of fraud.
- Introduced staff training program for audit best practices, training team members to 90% average score on internal quality reviews.
Manager Enterprise Risk Management
Nebraska Public Power
12.2023 - 08.2024
- Built ERM platform, operational process flow.
- Drafted standards, guidelines, and procedures.
- Built working relationships with executive leaders in operations, risk, finance, and technology.
Director (CAE) Internal Audit
United Federal Credit Union
04.2020 - 12.2023
- Supervised and finalized 24 annual operational audits, personally signing off on each audit after thorough review of the team's findings, and ensuring the audit remediation rate went from 75% to 99.9% each year.
- Built relationships with 10+ operations managers through monthly workshops, boosting joint project results by 25%.
- Recommended updates to operational policies and processes based on industry benchmarks, FASB accounting standards, and emerging risks, including IT and privacy controls, leveraging data analytics to identify vulnerabilities.
- Introduced a risk-based audit planning process that identified 95% of critical company risks and improved audit efficiency by adhering to Auditing Standards and IIA Statements on Internal Auditing Standards.
- Defined the enterprise risk framework and constructed an audit plan, which allowed the internal audit team to complete 100% of planned audits on schedule.
- Recommended updates to operational policies and processes based on industry benchmarks, FASB accounting standards, and emerging risks, including technology and privacy controls.
- Ensured compliance with regulations and monitored data security to mitigate vulnerabilities.
- Increased audit projects by 63% over three years, from an average of 9 to 24.
- Enhanced financial reporting accuracy by implementing rigorous validation protocols for expense tracking and reporting, resulting in a $20,500 reduction in discrepancies and improved stakeholder confidence.
Vice President, Internal Audit
Axos Securities LLC
01.2014 - 01.2020
- Led SOX 404 compliance and enhanced governance, improving internal control systems and compliance oversight by reducing control exceptions by 30%, achieving an annual clean audit opinion.
- Created automated controls, reducing deficiencies by 30% and ensuring SOX success.
- Established training on regulations and IPPF best practices to preserve group knowledge.
- Implemented a multi-year risk-based audit plan for two entities with $12B AUM.
- Standardized WSPs across departments, reducing potential regulatory fines by $100k.
Education
Masters Business Administration (MBA) - Artificial Intelligence
Nebraska Wesleyan University
Lincoln, Nebraska12-2026
BSBA - Accountancy
University of Nebraska
Lincoln, NebraskaSkills
- Enterprise risk management (ERM) and governance, risk, and compliance (GRC)
- Financial analysis and data analysis
- Risk monitoring and assessment
- Control design and change control
- Regulatory compliance
- Project management
- Internal auditing
- Process improvement
- Executive communication
Certification
- Certified Internal Auditor (CIA), Institute of Internal Audit
- Certified Risk Management Assurance (CRMA), Institute of Internal Audit
Timeline
Director of Internal Audit
American National Bank
08.2024 - 06.2025
Manager Enterprise Risk Management
Nebraska Public Power
12.2023 - 08.2024
Director (CAE) Internal Audit
United Federal Credit Union
04.2020 - 12.2023
Vice President, Internal Audit
Axos Securities LLC
01.2014 - 01.2020
Masters Business Administration (MBA) - Artificial Intelligence
Nebraska Wesleyan University
BSBA - Accountancy
University of Nebraska