Internal Audit Manager, Capital Market And Regulatory Risk
Nypb&T
• 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 the team’s work and presenting results/recommendation to senior management, Chief Audit Executive and Audit Committee. • 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 , spearheading Enterprise Risk Management, entity wide-Annual Risk and Control Self Assessment, Capital Planning, Stress Testing, Model Risk (ALLL, ALM,AML/BSA), Vendor Risk Management initiatives• 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 Committee.• 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 Alternative asset class including Hedge Fund and PE fund), Investment Advisor, Broker –Dealer, Specialized Lending Vehicles and Private Bank, reflecting the regulatory changes in Dodd Frank, Leverage lending rules: Coordination of audit program with various Business Unit, Controller group, internal legal counsel, external auditors, tax professionals and system support team.
