QUALIFICATION HIGHLIGHTS
" Demonstrated capability in providing value added services and leading risk assessments/audits across the risk spectrum (i.e., compliance, operational, financial, and credit/market); communicated findings and worked with management to reach closure.
" Solid knowledge base in the financial service industry and risk management practice through work exposure and an array of professional development programs, including CFA and CPA.
" A proved team leader in building effective working relationship with clients and motivating colleagues.
" A strategic thinker with exceptional execution.
" Excellent track records in recruiting, coaching and developing staff to upgrade the departments human capital.
" Strong business acumen with a global perspective gained through international assignments across four continents.
" Proficient in overseeing the departmental budgeting, planning, scheduling and execution to achieve KPIs.
" Led the departments transformation efforts to institute an open and transparent culture, and effectively increase the deliverables quality and client satisfaction ratings.
" Enhanced departmental disciplines by designing/implementing the governance framework, processes and methodology along with continuous improvements.
EXPERIENCE
Voya Financial (re-branded from ING U.S.), Internal Audit and Advisory Services, Windsor, CT June 2008 Present
Internal Audit Director (December 2011 Present)
" Reported directly to and worked closely with the companys General Auditor to set departmental vision, mission and strategic direction and successfully cover a full range of activities.
" Led the transformation efforts of the department and achieved significant internal client satisfaction rating improvement (30% increases in both business knowledge category and overall satisfaction rating from 2012 to 2015).
" Led the department to successfully complete its first quality assessment with The Institute of Internal Auditors (IIA), achieving the General Conformance rating and compliments from the IIAs independent quality review team.
" Demonstrated leadership in motivating teams and organizing the department to accomplish various objectives.
" Managed internal audits annual risk assessment process, creating an audit plan to cover investment management, retirement, annuity and insurance business and key corporate functions.
" Created concise reporting decks for the Audit Committee, other oversight boards and industry regulators.
" Established the follow up process and partnered with management to mitigate risks through solution based recommendations.
" Improved departmental governance, audit methodology, implemented quality assurance program, and shared best practices.
" Managed the departmental budget and forecast, resource allocation, competency assessment, and performance reviews.
" Managed co-sourcing contracts with Big 4 CPA firms to achieve risk coverage in a quality fashion.
" Established a balanced scorecard to drive operating efficiency, overall quality and customer value.
" Spearheaded the departments recruiting efforts with proven managerial skills in building up a diverse, competent talent team.
" Oversaw audit software upgrade and its integration with industry/departmental standard, methodology, policy and procedures.
" Managed the departmental RCSA process and approved SOX documentation in support of the entity wide control review.
ING Investment Management Investment Audit Manager / Senior Credit and Market Risk Specialist (June 2008 November 2011)
" Led the investment Management segments annual risk assessment planning and monitored progress of audits.
" Fostered excellent client relationship with senior management through partnership while maintaining professional independence.
" Delivered reputable audit services with practical recommendations to senior management through various credit/market, operational, compliance, and financial audits.
" Engaged senior management about risk and control matters through regular and ad hoc meetings.
" Vigorously contributed to the companys enterprise risk management and led the audit teams to support the ING Groups organizational transformation and IPO ready efforts.
" Kept abreast of the development of investment management industry.
" Led different audits from planning to final reporting phase and conducted complex audits across INGs business lines and regions, covering main risks such as investment, operating, and compliance risks. Key investment management audits include:
" Mutual Fund Revenue Management and Billing Application, Mexican Retail Mutual Fund Audit, the Global Quant Boutique Review, Product Development and Approval, Model Review, Securities Trading Management, the Derivatives Audit, Aladdin Implementation, Counterparty and Credit Risk Management Review, Private Equity Audit, Fixed Income Compliance, CMBS Review, Retirement Services and Life Insurances Asset Liability Management (ALM), Annuity ALM and Market Risk, Organization Restructuring, Outsourcing Framework Review, Chile Pension Investment and Derivative Audit, Broker/Dealer FINRA Review, Investment Trust AML, Funds AML,
" Supported other global and regional audit teams as a senior risk specialist to identify credit and market risks associated with the business lines, designed testing programs, and reviewed work paper/audit reports prior to issuances.
" Directed credit and market risk training for internal auditors across Americas and vigorously contributed to their development.
" Led by example and effectively developed staff auditors throughout the audits.
Hartford Investment Management Company (HIMCO), Hartford, CT January 2006 June 2008
Senior Investment Auditor
" Led and/or supported various Capital Market audits, covering the full range of HIMCOs investment portfolios.
" Strengthened due diligence and management selection process in Hedge Fund Sector with FoF Mgmt.
" Evaluated global credit review, portfolio management, and performance dispersion in High Yield.
" Reviewed financial statement consolidations and CDO deal structures in the Capital Market.
" Analyzed credit valuation, deal structure, and surveillance process in the commercial mortgage backed securities/ mortgage backed securities/asset backed securities sector.
" Reviewed credit analysis and loan processing of Alternative Investments in Private Placement sector.
" Enhanced best execution, trade allocation, and security selection processes in Equity Sector.
" Assessed BlackRocks contractual performance, trading and PM, and risk management service.
" Enhanced the model validation program and assessed model validation results across multiple sectors.
Barnes Group Inc. February 2001 December 2005
Barnes Group Associated Spring, Saline, MI
Acting Controller (September 2005 - December 2005)
" Managed month-end/ad hoc financial reporting, budgeting, variance analysis, and reconciliations.
" Assisted Executive Management in financial planning to establish P/L targets.
Barnes Group Canada Corporation, Toronto, Ontario / Barnes Group Inc., Bristol, CT
International Auditing Manager / Staff Auditor, Senior Auditor (February 2001 - August 2005)
" Actively contributed to the implementation of the companys first SOX program. Reviewed and tested SOX controls.
" Maintained quality and intensive communications with management to drive changes.
" Reviewed business environments, identified risks and tested controls for subsidiaries globally.
" Led international audits in multiple countries across four continents.
" Performed operating consulting reviews to reduce waste and accelerate profitability.
" Partnered with local divisions to achieve effectiveness and efficiency to meet global competition while maintaining strong internal controls.
CIGNA Corp., Investment Management Division, Hartford, CT July 1999 - February 2001
Investment Audit Consultant, Investment Management team, Corporate Audit Department
" Planned and executed various audits over CIGNAs investment management business.
" Improved continuous risk assessment of investment management activities.
" Analyzed and tested derivative modeling and dynamic hedging methods.
" Reviewed trading strategy, authorization, timeliness, and accuracy.
PROFESSIONAL CERTIFICATIONS
CPA Certified Public Accountant
CIA Certified Internal Auditor
CFA Chartered Financial Analyst
CMA Certified Management Accountant
EDUCATION
Master of Financial Engineering, Cornell University, Ithaca, NY
Cornell School of Operations Research / Johnson Graduate School of Management GPA 3.8 June 1999
PhD Program of Materials Science, Graduate School of Engineering, Clemson University, Clemson, SC GPA 3.8 July 1998
B.S. in Materials Science, Tsinghua University, Beijing, China GPA 3.7 Aug. 1997
Certificate of Advanced Accounting, University of Maryland University College, MD GPA 3.7 Aug. 2008
SKILLS
Bilingual: Fluent English and Chinese
Expertise: Internal Audit, Risk Management and Control, Consulting, Organizational Development, Human Capital Assessment
Leadership/Communication: Dynamic leader / Effective communicator
Global Perspective: Extensive international audit experience across Europe, Asia, North and South America |
