Robert E. Humphreys

Background

About Robert E. Humphreys

Prior to joining the firm, Mr. Humphreys was a 31-year employee of the Office of the Comptroller of the Currency (OCC). He has served as an acting Examiner in Charge (EIC), Team Lead, and Senior Advisor to the Senior Deputy Comptroller for Large Bank Supervision. Mr. Humphreys has served as an Information Technology (IT) and Operational Risk expert supporting the most complex supervision and policy development in the agency. He has led supervision in many of the most complex banks for the last 17 years working in Washington DC, and various locations across the country. Mr. Humphreys has led direct supervision in the areas of IT, Operational Risk, Compliance Risk Management, Enterprise Risk Management (ERM), BSA/AML, and Internal Audit. As Acting EIC and Team Lead he has worked with Large Complex Financial Institutions to address regulatory findings. Other areas of focus include compliance management, BSA/AML program and controls, various violations of law, and UDAP risk management. He provided SME level input on OCC industry guidance on Resiliency, Business Continuity Planning, Third Party risk management, new products and services, cybersecurity, and Heightened Standards for Large Bank ERM. Prior to joining Large Bank Supervision, Bob worked in Midsize and Community Banks serving as an EIC, Portfolio Manager, District analyst and District Lead Expert for IT working in Atlanta and Nashville and across the southeast. Mr. Humphreys led the supervision of several of the largest industry third party service providers working on an interagency basis. Mr. Humphreys also worked in a regional bank for five years in back room operations and system conversions. Mr. Humphreys is a commissioned National Bank Examiner and holds industry certifications in Information Systems Auditing, Enterprise IT risk management and governance, and Fraud risk management. He is a graduate of the University of South Carolina with an MBA and BSBA in Finance.