Milton Kim Email & Phone Number

Frankfurt Am Main, Hessen, DE

• Developed and implemented a risk-based second line of defense review plan which includes a quarterly update of planned reviews to ensure that regulatory risks and changes were properly prioritized.
• Execute and manage reviews from planning, fieldwork, vetting issues and reporting to senior management and stakeholder - Area covered - Volcker, Market access rule, trading desk reviews, info barriers
• Coordinated with review functions within the first and third lines of defense to avoid testing duplication, while defining appropriate objectives and scopes of reviews. Assess and validate corrective action for.

Zurich, CH

• Responsible for the day-to-day management for internal audit engagement (e.g. Front to Back for Investment area- Fixed Income, Multi-Asset with ETF, Real Estate, Operation Risk Management Framework as 2nd LOD.
• Led business monitoring (Continuous Risk Assessment) meetings with business management (global coverage of Fixed Income and Alternative Investment area, to identify emerging risk and used information augment planning.
• Serve as Subject Matter expert on Regulatory changes (e.g. MMF Reform, Fiduciary Rule, SEC Reporting Modernization and DFAST) and its impact on Asset Management Business.

New York, New York, US

• Responsible for the day-to-day management for internal audit engagement; planning (including annual risk assessment and audit plan), executing audit, reviewing(including annual Quality Assurance review) and coaching.
• Acting as chief of staff to a new Chief Risk Officer, monitoring alternative investment portfolio valuations including HF/PE and VC funds, in-house pension fund, streamlining the BOD Risk Committee Reporting tools.
• Prepared and reviewed quarterly valuation reporting package for Private Equity portfolio and Venture Capital fund, supported by different valuation tools DCF/Comps/ 409A/ 3rd Party report, reporting to CRO and Risk.
• Participated in operational due diligence for new investment including alternative fund PE/HF/VC with in-house employee Pension Plan
• Reviewed and facilitated the expanded audit scope for regulatory risk for Bank Holding Company including significant non-banking operation including Capital Market (Equity, Corporate, Muni, MBS, Repo, Derivatives and.

Zurich, CH

• Responsible for fund accounting and administration for Venture Capital Fund; Quarterly LP reporting, Capital call, Distribution (Cash and DIK) and financial statement (including Year End audit).
• Prepared and reviewed quarterly Valuation Committee meeting reporting package and annual LP conference presentation preparations.
• Coordinate corporate actions of portfolio companies monitoring and controlling including selling of public securities with Regulatory reporting (e.g. under section144), M&A, IPO, Follow-on financing, deal documentation.
• Manage Co-Investment vehicles for Secondary Fund; day to day book activities, new plan set up including documentation review, various LP reporting (semi-annual capital account reporting, cap call, distribution and K-1)
• Legal Entity/Firm reporting (including month-end close, FIN46 Consolidation, FAS 157 Disclosure) and coordination with accounting policy group, regulatory reporting project group (e.g. FATCA, TIC, SLT Form, Form PF).
• Successfully planned and implemented SOX (Internal control) testing and documentation update as department coordinator.

GB

• Performed an acting engagement manager role and managed various audit engagements and special projects, including internal control reviews
• Provided audit and business advisory services to commercial and retail banks, asset management companies, alternative investment vehicles, international bank agencies, branches and subsidiaries, and other financial.
• Conducted interactive interviews to obtain and clarify perceptions, define issues, assess options and gain consensus
• Instructor for training in PwC Audit Methodology including SOX practice for second year associates in 2005
• Specifically for internal control work o Co-outsourcing work for PNC Bank Group, Corporate Banking/Asset Management in 2003 o FDICIA/SOX implementation for new $500M regional bank in 2004 thru 2006 o JP Morgan Conduit.
• Specifically for Transaction Service work o Due diligence of US subsidiary for SK Global, one of the major trading companies in Korea in 2003 o On Site Investigative review for Nikko Securities in Tokyo, one of the top.

Corporate Finance and Strategic Planning

Mba, Finance And Accounting

Bba, Business