Sonia Thomas

Sonia Thomas, MBA, CRMA

Sonia Thomas

Sonia specializes in internal audit, risk management, compliance, regulatory and consulting services for financial services clients.

Experience

Sonia has over 10 years of banking, investment, and insurance industry experience, primarily in the areas of internal audit and risk management.

Prior to joining Grant Thornton, Sonia spent 3 years as the Chief Audit Executive for First Command Financial Services, Inc., where she was tasked with the responsibility of creating an internal audit department for the firm, which was virtually non-existent prior to her arrival. She developed a fully functioning internal audit department in 4 months covering the Bank, Investment and Insurance entities of the Firm.

Sonia was responsible for all aspects of the firm’s internal audit department including risk assessment/audit universe, business process improvements, policies and procedures development, regulatory compliance with all applicable OCC, Federal Reserve, FINRA, and SEC rules/regulations, Bank Secrecy Act and Anti-Money Laundering compliance, and overall physical security.

Sonia’s previous experience includes being an Experienced Manager at Grant Thornton under the Business Advisory Services focused on internal audit and regulatory compliance for financial services clients. Prior to Grant Thornton, she worked at First Command Financial Services, as the Chief Audit Executive, where she developed a non-existent internal audit department.  Sonia was Vice President of Internal Audit – Asset Servicing at Bank of New York Mellon in New York for 5 years.  There she managed projects located across the United States and U.K. varying from Fund Accounting, Mutual Funds Processing, Wire Authentication, ACH Processing, Trade Authorizations, Reconciliations, Due Diligence, IT user controls, etc. In addition, she also spear-headed the Business Management Office within the internal audit department, which specialized in audit committee reporting, dashboards, thematic reporting, horizontal/continuous audits and the coordination of senior level management for the resolution of internal audit issues.

She has also worked for Lehman Brothers, Fleet Securities, and State Farm Insurance Company, primarily within the Investment and Compliance internal audit areas, back office trading operations, and insurance analysis, respectively.

Professional qualifications and memberships

·        Certification in Risk Management Assurance (CRMA)
·        Top 20 Women to Watch, August 2015 issue of “Ft. Worth Business, CEO” Magazine
·        2014 Emerging Leaders in Internal Audit, April 2014 issue of “Internal Auditor”, IIA

·        Chair of the Chief Audit Executive Round Table, Fort Worth IIA Chapter

·        Member of the Board of Directors, Fort Worth IIA Chapter

·        Member of the Publications Committee, IIA National

Education

Sonia has an M.B.A (Finance and Information Systems) from Pace University, New York, New York, and a B.S. from State University at Albany, New York, in Business Administration (Finance and Management Information Systems) and a minor in Spanish.

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