Iris Han Email & Phone Number

Led a team of 15 to meet all regulatory requirements for the bank and maintained healthy relationships with the regulators.  Managed and provided oversight on financial regulatory reporting for the consolidated bank and assigned subsidiaries. Led a team of 15 to ensure timely completion of the regulatory filings with good quality. Monitored Bank compliance with filing requirements, implemented process enhancements to improve accuracy and efficiency. Managed relationship with key regulators such as OSFI, Bank of Canada, CDIC, AMF and Statistics Canada.

Supported and coordinated OSFI supervisory exam management, continuous regulatory monitoring interactions, and reporting to internal Bank senior management and committees on regulatory topics. Championed a customer focused culture to deepen regulatory relationships while leveraging broader Bank relationships, systems, and knowledge. Managed coordination of interactions with OSFI by providing oversight for OSFI exams and being the central contact, providing guidance on regulatory matters, preparing senior management in advance of critical regulatory meetings, and drafting of regulatory responses in coordination with senior management. Ensured timely submission of all OSFI requested materials.

Toronto, Ontario, Canada

✅ Brought on board the Operational Risk Management team to re-design the Ops Risk methodologies (RCSA) and manage the ops risk framework – delivered oversight on financial Audit, HR audit, enterprise level audit and review closure of regulator issues for the bank. Mentored and managed a high-performing team and ensured compliance with regulatory frameworks➡️ Managed and updated the operational risk management framework and the related approval process.➡️ Supported the development of an operational risk management framework on-boarding process to ensure all relevant business entities were fully on-boarded onto the operational risk management framework.➡️ Re-designed the risk & control self-assessment (RCSA) methodology; ensured supporting tools were maintained/enhanced.➡️ Developed, implemented, delivered and monitored RCSA methodology related training. Captured RCSA data performing analysis and generated insightful reporting. Drove the development & delivery of operational risk management training.➡️ Designed memos & stakeholder distribution lists to communicate operational risk frameworks, policies and methodologies.📌Key Impact: set the overall strategic direction of the Enterprise Risk and Audit Service function by establishing goals, policies and short and long-term objectives & outcomes aligned with the overall strategic outcomes of the organization.📌 Received outstanding performance evaluations – was recognized as a top performer and earned an outstanding reputation in the entire internal audit department of the bank. 📌 Commended by senior management (VP, SVP and EVP) for outstanding presentations and knowledge demonstrated during internal audit methodology training sessions.

Toronto, Ontario, Canada

✅ Handpicked to manage a team responsible for streamlining operating infrastructure – consolidating and strengthening regulatory, risk management, operational and performance processes. Orchestrated complex due diligence reviews to capitalize on improvement opportunities. Offered expert advice on the building out of key risk reporting processes➡️ Improved the Global Audit Methodology Manual to ensure compliance with the regulatory standards, industry best practices, and the related approval process. Developed and implemented a supplemental guide to the manual. ➡️ Presented ideas via reports and presentations, outlining findings and making recommendations for improvements.➡️ Oversaw the specification and communication of business requirements related to risk management reporting.➡️ Reviewed the Bank’s resolutions to the findings raised by the regulator OSFI (The Office of the Superintendent of Financial Institutions), provided effective challenge and recommendation to the responsible business management. Prepared audit opinion letters and presented the OSFI issue updates and closures to the Chief Auditor on a quarterly basis.📌 Key Impact: developed and delivered Audit Methodology training programs to improve Internal Audit’s overall effectiveness. Built processes and prepared process documents to enhance the Internal Audit’s effectiveness (e.g., client survey process, regulatory issues tracking site). Trained and mentored over 250 employees each year.

✅ Promoted to Senior Audit Manager and tasked responsible with direct, mentor and coach two direct report audit managers as well as other resources to execute audit activities for assigned audit engagements – provided expertise and assisted in the development of risk frameworks, including Financing Guidelines. Was responsible for monitoring risk and reporting➡️ Reviewed all audit work, including SOX audit projects performed by team members, including work papers, audit trail documentation, audit findings and conclusions to ensure compliance with the Audit Methodology and SOX Methodology.➡️ Managed the planning of high complexity audits – ensured scope and extent of work was in accordance with the approved plan, that timing and budget were reasonable, procedures were efficient, and risks were properly assessed.➡️ Generated audit reports and correspondence for senior management, ensuring reports were clear, concise and accurate.📌 Key Impact: identified emerging risks and opportunities to improve policies – managed assigned activity in accordance

✅ Recruited to provide expert business knowledge (e.g., Finance, Regulatory Capital, Human Resources, Risk Management, Stress Testing, and Crisis Management) and manage risks and processes through an assessment of business overviews, risk assessment database, bank manuals and other information – proactively identified any emerging risk and recommended solutions➡️ Facilitated the completion of audit testing, discussions with management and documentation of work performed.➡️ Identified audit issues, prepared write-ups of the issues and presented findings to the audit clients.📌 Key Impact: spearheaded a Canadian auto loan audit (large and complex integrated audit project) – identified a logic error in model calculation, after which the finance team made an adjustment to the income statement (a value added audit finding).

Greater Toronto Area Metropolitan Area

-Prepared, analyzed and presented month-end, quarter-end and year-end financial results to project senior executives -Performed monthly financial forecasting, variance analysis and complex ad-hoc analysis, led financial reviews with partners and advised senior management in decision making-Provided recommendations for the implementation of appropriate accounting and auditing treatments for complex transactions -Performed balance sheet, income statement reconciliation, and fixed assets management -Reviewed legal contracts (i.e. Statement of Work, Service Level Agreement and Master Service Agreement) to design appropriate accounting procedures (e.g. revenue recognition, amortization, accruals).-Developed complex pricing models through incorporating rate card, inflation adjustments, foreign exchange provisions, cost amortization and advance billings-Supervised and coached financial analysts to ensure high quality of work and to provide them with feedback

Cpa-Cga

Bachelor'S Degree, Accounting And Finance