Nancy Lim Email & Phone Number

Los Angeles, Ca, Us

Los Angeles, Ca, Us

As a manager based in Los Angeles, I am responsible for leading activities and operations related to supporting the continued growth of the Fixed Income business at Capital Group, enhancing FI results/attribution capabilities, and managing several major in-flight projects. I manage, coach, develop and oversee a team of 11 associates and am focused on enhancing the team’s capabilities and services, and helping to set the strategic direction for my group. • Displays broad knowledge of key performance measurement, risk and portfolio analytics concepts. Serve as business owner and subject matter expert for one or more internal or external industry applications.• Actively engages with key stakeholders within Distribution and Investment Group to develop a detailed understanding of their support needs from Results Analysis. • Develops a team which leverages industry best practices, strategically utilizes technology, optimizes business processes, and intelligently manages risk.• Provides guidance and makes decisions on complex and/or ambiguous operational issues, technical questions and business processes, as appropriate.• Plans, prioritizes, delegates and coordinates projects, which include the stabilization of new attribution capabilities, delivering data solutions to deliver timely and accurate investment management data, and leading the team to deliver on new product launches

Plano, Tx, Us

In this role, I:Proactively developed and broadened treasury capabilities to support TMCC’s current and future capital funding requirements, through securitizations of SEC-registered auto loan, revolving auto loan conduit, & retail and lease conduit transactions. My contributions enabled the Company to issue approximately 70+ deals to date (~$80 bn in ABS borrowing raised), with scalability to report on over 30 ABS deals monthly. Successful in achieving no investor reporting deficiencies in recent annual SEC Reg AB compliance audits. Ensured that the ABS reporting system was properly and accurately updated to be able to report accurately on TMCC’s ABS transactions. Oversaw setup and system enhancements with ABS Suite securitization software platform, internal loan and lease servicing systems, treasury management systems to ensure accurate booking and servicing of ABS transactions. Prepared SEC regulatory filings (ABS Form EE and 10-ads) , company memorandums to support Management assertions.Executed wire transfers (averaging $1bn total) to remit principal and interest payable to investors monthly, ensuring payments were made in accordance with timeframes as required under transaction agreements and SEC guidelines. Issued monthly investor reports to SEC and investors by legal and contractual deadlines.Collaborated with other TMCC stakeholders to improve company’s servicing controls and processes. Provided recommendations and guidance to develop compliant internal servicing controls and testing programs. Supervised the CA team of 10 members during the company's headquarter relocation, and was responsible for recruiting and training of a wholly new ABS operations team based in Plano, TX. Ensured successful business continuity and minimized operational risk.Served as subject matter expert to review legal documents for each new deal, liaised with internal/external counsel, rating agencies, underwriting banks, managed trustee bank relationships

Plano, Tx, Us

During my tenure, my key accomplishments and responsibilities included: • Key participant in development and creation of ABS Operations Department in 2010 and led in the successful implementation & setting-up of the department’s accounting, investor reporting & analytics, and systems infrastructure• Performed the day-to-day general ledger accounting, financial reporting and analysis for ABS related debt. Prepared quarterly and monthly reporting of financial results for SEC and Japan reporting requests• Provided alternative funding source for TMCC during the financial crisis and obtained over $21B within four years• Handled detailed securitization transactions, collaborate extensively with Capital Markets group, middle office cash management and treasury operations teams, compliance, legal and technology departments, bankers and auditors, forging required consensus, resolving inquiries and finalizing transactions settlements• Issued timely monthly investor payment and reporting, prepared general ledger, established internal accounting controls, and ensured SOX compliance as well as SEC-required disclosures• Performed balance sheet account reconciliations, account analysis, accrual calculations, and other related accounting documents/schedules• Prepared monthly ABS portfolio reporting and participated in ongoing complex auditing for SEC REG AB requirements

Plano, Tx, Us

While in this position, I: • Designed, developed, and executed lease portfolio analysis and oversaw account reconciliations, analyzed and investigated P&L and Balance Sheet variances between plan, prior year and actuals.• Researched current accounting literature and made recommendations to Senior Management as necessary• Completed month end closing, reviewed journals for accuracy and compliance• Liaised with external & internal audit for quarterly/annual audits and assisted the financial planning and analysis teams as needed• Supervised 2 individuals and was responsible for reviewing and overseeing creation of month end, quarter end, & year end reports on the company’s lease portfolio. Reviewed and ensured that all journal entries were completed on time and accurate• Prepared SEC & Japan reporting requests, federal and state income taxes, and internal financial reporting• Coordinated with different departments to develop internal reports to optimize accounting department’s analytical capabilities• Ensured SOX controls were adhered to and regularly updated

Plano, Tx, Us

While in this role, I: • Completed rotational programs in Financial Planning & Analysis, Accounting & Financial Reporting within Retail & Lease accounting, and FP&A departments• Prepared and updated financial forecasts, and reports on corporate-wide key performance metrics for senior management’s use• Completed training & coursework in Kaizen Process Improvement/Operational Excellence

Pasadena, California, Us

During my tenure, I held multiple roles and responsibilities, among which were: • Coordinated examination preparation and responses to regulatory findings or inquiries, maintained all necessary data and reporting. • Coordinated successful SEC examination, applied cross-departmental resources. Administered Legg Mason’s SEC mock examination of U.S. & London corporate offices to test effectiveness of company controls and processes.• Managed & coordinated company’s ongoing Compliance Monitoring Program to test company’s controls. • Authored RFPs and new client due diligence questionnaires. • Developed, analyzed, and implemented new controls and processes as needed.• Served as regulatory relations subject matter expert providing leadership and meaningful input to ensure consistent and accurate information is provided to regulators as required on a timely basis. • Liaised with brokers, establishing contract agreements to implement electronic data feeds to obtain personal trading information to support the company's Code of Ethics program , significantly enhancing SEC compliance and fiduciary integrity in individual trading

Pasadena, California, Us

• Provided daily oversight and audited client portfolios; advised client service executives & portfolio managers to optimize compliance and minimize risk.• Reported & addressed breaches and engaged in discussions on remediation.• Referred to Bloomberg and other informational resources to validate securities data.

Pasadena, California, Us

• Authored comprehensive manual on Citigroup’s mutual funds ratings, portfolio management, investment strategies, corporate structure and governance for senior management’s use during acquisition period.• Provided analysis of Citigroup’s asset and personnel to WAMCO senior management. • Organized & maintained data directory and legal documentation, instituting exemplary corporate conversion and transition protocols.

Pasadena, California, Us

• Coordinated SAS 70/FRAG 21 examination, reviewing controls, consolidating documentation and finalizing report.• Participated in completion of successful audits, ensuring SOX compliance.• Reviewed firm business continuity and disaster recovery planning, consulting with departments to improve controls and operations.