Diana Lie Email & Phone Number

Diana Lie is a Managing Director in the Business Consulting – Enterprise Risk practice of Ernst & Young US LLP. She has over 20 years of experience with risk and control engagements with a variety of Financial Services, technology, Fintech, and retail clients. Diana is a client centric and technical advisor to C-level executives and Boards, focusing on internal audit, control transformations, risk management, and Sarbanes-Oxley 404. She is passionate about building and developing teams, and leads the West’s Consulting Development Program counseling family, her practice’s learning and development program, experienced hire recruiting, and is the FSO West executive alumni sponsor. Diana is also active with our women, leading multiple events with our Professional Women’s Network around mentoring and sponsorship. Diana also served as President of the San Francisco chapter of the Institute of Internal Auditors in 2019 and served on the Board of Governors for 8 years.In summary:- Financial Services risk and controls- Internal audit risk assessment & delivery- Strong developer of people and teams- First line risk and control assessment- Second line of defense control testing - Project management- SOX program development, review, and complianceMost recent experiences include:- Leads a number of internal audit co-sourcing arrangements for regional banks and Fintechs ranging from $10B - $65B, overseeing eight to ten audit teams at a time in the areas of banking operations, lending, credit, risk management, mergers & acquisitions and governance. - Leads a variety of SOX compliance and transformation engagements for Fintech organizations related to public readiness and compliance. - Serve as a subject matter specialist in developing, enhancing, and assessing internal audit methodology including risk assessment, Audit Committee reporting, and quality assurance. - Served as a lead engagement manager for a multi-year internal audit outsource engagement for the past 11 years, including the entity’s broker-dealer, banking subsidiary, and corporate function; one of the primary points of contact to the internal audit broker-dealer and corporate lead, chief auditor and previously, to the banking subsidiary’s management team, overseeing up to four teams at any given time.- Advised the evaluation and redesign of internal audit methodology, including rebuilding the risk assessment process, updating methodology to meet industry and regulatory standards, and building a more robust issue validation process for banking clients.

Listed skills include Sarbanes Oxley Act, Internal Controls, Internal Audit, Risk Management, and 15 others.