Henry Monroy
Anaheim
Summary
Quality Assurance Analyst and Risk & Controls Professional with 20+ years of experience in banking and financial services, including 10 years in audit, compliance, and quality assurance functions. Expertise in internal controls testing, operational risk assessment, root cause analysis, and process improvement. Proven ability to evaluate control effectiveness, identify risk exposures, and partner with business leaders to strengthen compliance and operational performance. Known for strong analytical thinking, clear reporting, and delivering actionable recommendations across cross-functional teams.
Overview
24
24
years of professional experience
Work History
Quality Assurance Analyst / Risk & Controls Professional
U.S. BANK
Brea
05.2016 - 07.2026
- Evaluate published procedures and internal controls across business units to ensure compliance with standards and regulatory expectations
- Conduct control walkthroughs with business partners to document processes and validate control design and execution
- Perform testing of approximately 11 controls per quarter, assessing operational effectiveness and identifying control gaps
- Independently recreate control activities to verify accuracy and identify deficiencies in execution
- Document findings, risk exposures, and recommendations for remediation and process improvement
- Partner with stakeholders to strengthen internal controls and support enterprise risk and compliance initiatives
Customer Advocate Team
MUFG, UNION BANK
Monterey Park
02.2011 - 05.2016
- Resolved complex customer escalations involving multiple business units and high-risk service issues
- Conducted root cause analysis to identify process breakdowns contributing to customer complaints
- Partnered with management to implement corrective actions and improve operational procedures
- Served as liaison between executive leadership and customers to resolve sensitive issues
- Protected organizational reputation through effective resolution and communication strategies
Underwriter / Dealer Service Representative
CONSUMER PORTFOLIO SERVICES, INC.
Irvine
01.2010 - 02.2011
- Reviewed funding packages for accuracy, completeness, and compliance with internal policies
- Identified documentation discrepancies, verification issues, and potential fraud indicators
- Coordinated with dealers and internal teams to resolve funding issues and expedite decisions
- Maintained accuracy while managing high-volume, time-sensitive workload
Direct Banking Supervisor
DOWNEY SAVINGS AND LOAN ASSOCIATION, F.A.
Newport Beach
05.2002 - 05.2009
- Supervised and coached ~40 customer service representatives, enhancing service delivery in high-volume banking environment
- Resolved escalated customer issues, facilitating operational efficiency and improving customer satisfaction
- Supported performance management, coaching, and annual employee evaluations
- Audited employee work for accuracy and compliance, ensuring adherence to service quality standards
- Contributed to service quality improvement and internal process consistency
Education
Coursework Completed
California State University, Fullerton
Associate of Arts (A.A.) - Liberal Arts
Santa Ana College
01-2002
Skills
- Risk Assessment
- Risk analysis
- Compliance oversight
- Audit compliance
- Audit Support
- Control assessment
- Operational risk
- Operational Guidelines
- Process Improvement
- Problem solving
- Issue resolution
- Microsoft Office
Key Qualifications
- 20+ years banking and financial services experience (since 2002)
- 10 years audit, QA, controls testing, and compliance experience
- Testing of ~11 internal controls per quarter across business units
- Strong experience identifying control gaps and operational risk exposures
- Supervised and coached ~40 customer service professionals
- Expertise in escalation management and regulatory compliance
- Root cause analysis and process improvement focus
- Bilingual: English & Spanish
Languages
Spanish
Native/ Bilingual
Timeline
Quality Assurance Analyst / Risk & Controls Professional
U.S. BANK
05.2016 - 07.2026
Customer Advocate Team
MUFG, UNION BANK
02.2011 - 05.2016
Underwriter / Dealer Service Representative
CONSUMER PORTFOLIO SERVICES, INC.
01.2010 - 02.2011
Direct Banking Supervisor
DOWNEY SAVINGS AND LOAN ASSOCIATION, F.A.
05.2002 - 05.2009
Coursework Completed
California State University, Fullerton
Associate of Arts (A.A.) - Liberal Arts
Santa Ana College