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Katie Neumann V

Katie Neuman Lindstrom

Regulatory Compliance Director

CliftonLarsonAllen

Expertise:

Download headshot Katie Neumann V

Katie joined the Financial Institutions Group at CLA in 2021, following 20 years of experience in lending, regulatory compliance, and enterprise risk management in community banks. Her positions have included Loan Officer, Vice President of Compliance, and Director of Enterprise Risk Management. Katie’s experience has included establishing two secondary market mortgage divisions in community banks, enterprise risk management, overseeing third party risk management in a complex community bank with numerous national FinTech partnerships, and administration of the model risk management program.

Katie has been an active participant in several management committees and has a diverse background which allows her to assist clients in many types of consulting and outsourcing engagements.

Technical experience

  • Regulatory compliance, including building, implementing and maintaining a risk-based compliance management system

  • Examination management, coordination, issue tracking, remediation and regulatory relations

  • Portfolio and secondary market mortgage origination and operations, quality control program manager

  • Third party risk management program oversight, including due diligence and oversight of FinTech partnerships that move, store and/or lend of money on the financial institution’s behalf

  • Enterprise risk management program development, implementation, administration and oversight

  • Model risk management program development, implementation, administration and oversight

  • Developing, implementing and maintaining enterprise-wide training curriculums/programs

  • Identity and access management, segregation of duties controls, business continuity

  • Corporate insurance program management

  • New/changed regulation implementation, change management, project management, process development and improvement

Education and professional involvement

  • Master of Business Administration, Western Governors University

  • Bachelor of Science, Business Administration - Management, Western Governors University

  • Certified Regulatory Compliance Manager (CRCM), American Bankers Association

  • Certified Enterprise Risk Professional (CERP), American Bankers Association

  • Advanced Certificate in Risk Management, American Bankers Association

Speaking engagements

  • September 2022 – Independent Community Bankers Association (ICBA) – Enterprise Risk Management, Third Party Risk Management and Model Risk Management

  • October 2021 – National Association of Federal Credit Unions (NAFCU) – Third Party Risk and Managing Vendors

  • September 2021 – Association of Credit Union Internal Auditors (ACUIA) – BSA Model Validation

Civic organizations

  • Compliance Committee Member (former), Minnesota Bankers Association