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Carlos Carthen is Vice-President & Senior Compliance Manager at Bank of America Corporate Office in Atlanta Georgia . Mr. Carthen is responsible for the management, implementation and development of the quarterly Compliance Monitoring and Testing Program for the Asset Management Group. Served as liaison with regulators and internal auditors, coordinating examinations and investigations. Attended exit discussions and reviewed draft reports and management’s responses prior to issuance and submission for appropriateness of the audit findings and adequacy of responses. Assisted in the preparation and implementation of audit/regulatory action plans where appropriate. Served as an ex-officio member of various fiduciary management committees. Responsible for the classification and tracking of Reg. 9 exceptions via an automated tracking database. Provided management with continuous independent assessments of risk. In conjunction with management, participated in the development, implementation and maintenance of appropriate policies, procedures and internal controls. Provided continuous training presentations to the lines of business regarding regulation, policies and procedures. Participated in the review and evaluation of new products and services to identify potential risk exposure Prior to joining Bank of America, Mr. Carthen was Vice-President & Trust Audit Manager for the Bank of Oklahoma Financial Corporation in Tulsa , Oklahoma . There he was responsible for the development, planning and management of the audit function of trust and investment activities within the bank holding company with fiduciary assets of $20 billion. | 