Maxohlhaut has over 10 years of experience in financial crime compliance and internal auditing. They currently work as an Audit Leader for Wells Fargo focusing on BSA/AML compliance and remediation efforts to address regulatory consent orders. Previously, they worked as a Senior Global Financial Crime Compliance Specialist at Bank of America conducting complex fraud investigations, identifying control weaknesses, and facilitating suspicious activity reporting. Maxohlhaut also has experience in internal auditing, process improvement, risk-based auditing, and ensuring Sarbanes-Oxley compliance during audit rotations at Bank of America. They hold a Bachelors degree in Business Administration and are a Certified Fraud Examiner with additional Lean and Six

1. MAXOHLHAUT, CFE
Charlotte, NC 28203 919.260.5777 Maxohlhaut@gmail.com
PROFESSIONAL EXPERIENCE:
Wells Fargo: Charlotte, NC
Financial Crimes Audit Team
Audit Leader (November 2015- Present)
• Provide internal audit services with a focus on BSA/ AML compliance across the Wholesale
Portfolio lines of businesses
• Actively work with upper management on remediation efforts as it relates to an active consent order
regarding the processes and controls of Wells Fargo’s Due Diligence and Enhanced Due Diligence
requirements.
• On a quarterly basis led a team to test and conclude on the progress of the Relationship Memo
process of high risk customers. Ensure that all high risk factors and backup support is appropriately
retained.
• Create and execute test steps to validate audit issues as it relates to know your customer
requirements.
Bank of America: Charlotte, NC
Retail Fraud Investigations Group
Assistant Vice President; Senior Global Financial Crime Compliance Specialist (May 2013- Present)
• Conduct complex investigations in diversified areas, including organized criminal activities, internal
abuse and fraud, check fraud, eCommerce, Ponzi schemes, identity theft, wire fraud, money
laundering, ACH fraud, IRS and social security fraud, elder financial exploitation, complex criminal
rings, felony lane, and electronic fraud.
• Led an investigation of a three million dollar Ponzi scheme, where the suspect confessed to all wire
and security fraud charges.
• Identify control weaknesses and make recommendations to management to close process gaps,
mitigate risk, and address policy/procedure violations.
• Facilitate suspicious activity reporting as required by federal regulatory requirements.
• Conduct interviews of suspects and witnesses, and gather comprehensive evidence to support law
enforcement.
• Partner with Bank of America’s legal division to concur on legal strategy related to affected
customers accounts.
• Prepare reports for management covering investigative details, and recommended loss and recovery
prevention actions.
• Organize and facilitate an industry monthly meeting with other national banks and in the Charlotte
area, as well as Local and Federal Law Enforcement, to discuss current trends affecting the fraud
industry.
Corporate Internal Audit; Chief Financial Officer Division
Assistant Vice President; Senior Auditor I (June 2012- May 2013)
Auditor II (Jan 2010- June 2012)
• Performed process improvement within the Card Administration space to strengthen and add controls.
• Reviewed process mapping to determine key controls and create test steps surrounding these controls.
• Conducted risk based audits to evaluate the effectiveness and efficiency of company processes and controls.

2. o Audits performed include Public Funding Review, Corporate Investments Group-Whole Loan and
Secondary Marketing, Operational Risk, Global Accounting Operations, Accounts Payable/ Fixed
Assets, SAP system conversion, Reconciliations bank wide, and Executive Expense Review.
• Perform and review gap analysis to focus internal testing.
• Create sampling strategies and confidence levels to address internal processes risks
• Worked with upper management within the business unit to resolve existing business weaknesses.
• Performed testing to ensure compliance with Sarbanes- Oxley.
Corporate Audit Management Program (Auditor I) June 2008- Jan 2010
This is a competitive, rotational program which acquaints participants to a diversity of knowledge and
skills throughout different lines of business within Corporate Audit.
Global Markets
• Designed and implemented test strategies to ensure compliance with Sarbanes Oxley.
• Tested confidential material to ensure accuracy of the 10Q and 10K.
Enterprise Compliance and Operational Risk
• Managed the training and awareness section of the Regulation W. audit resulting in significant changes to the
Regulation W. board.
Global Corporate and Small Business Banking
• Performed testing that resulted in deficiencies on the Home Equity and Pricing Audits
• Created customer experience training.
EDUCATION:
University of North Carolina at Charlotte; Charlotte, NC August 2004 – May 2008
Bachelors of Science in Business Administration
Major in Finance, Minor in Economics
Business Honors Program, Graduate Cum Laude
CERTIFICATIONS & COMPETENCIES:
• Certified Fraud Examiner
• Six Sigma Black Belt
• Six Sigma Green Belt with Lean
• Completed 4 days of instructor lead training on the Reid Technique of Investigative Interviewing
and Advanced Interrogation Techniques
• Board of Directors of Make it Work (Charitable Nonprofit startup company)
• Received a Silver Award for an outstanding investigation