R. Charles Waring

Director


Biography

Charles Waring is a Director in the Assurance and Technology Control Services Practice within the Audit Group. He has extensive experience as an audit professional specializing in internal controls and IT risk management. Charles focuses on compliance and controls within financial services organizations, and has experience relating to supporting external audits, delivering internal audits, assessing compliance functions and performing risk assessments of consumer protection financial laws. He also has experience delivering regulatory compliance internal audits in accordance with CFPB exam requirements for financial services companies. Specific regulations include SCRA, FCRA, UDAAP, TILA, BSA, AML, OFAC and GLBA.

In addition, Charles has a broad range of expertise in external and internal audit, Sarbanes-Oxley 404, SOC 1, regulatory compliance, and consulting. He has focused on reviews of business process and application controls, IT general controls, trading and operations, and asset management regulatory compliance. Charles has worked extensively with loan servicers, banks, insurance companies, and broker-dealers. He has experience working with companies across various industries that were undergoing carve-outs, IPO readiness or other significant transactions.

Prior to joining the firm, Charles was an Internal Audit Director at a Big 4 Accounting firm where he spent the last 13 years of his career in their Risk Assurance practice. This enabled him to develop a broad and deep knowledge of the spectrum of financial services companies and their associated products, risks, and controls.

Charles has been a panel speaker and presenter for the Pennsylvania Institute of Certified Public Accountants, where he is an active member, and a past “40 Under 40” Members to Watch recognizing up-and-coming young leaders.

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