Robert Da Email and Phone Number

Serve as the department's regulatory contact; build trust and maintain relationship with FRB, DFS, and other major regulators. Manage comprehensive safety and soundness exams and MR(I)As issue closure process.Actively contribute to the firm's major transformation project, such as bank holding company governance, operational risk management framework, process design and system selection.Oversee the preparation of various committees and Board packages.Establish and manage the relationship with the Audit Committee and the Board.Lead the Department's professional practice activities. Engage stakeholders within and across departments through various continuous improvements and transformation projects to meet regulators and other key stakeholders' ever increasing expectations.Enhance the quality of all aspects of internal audit activities, per FRB guidelines and IIA standards.Set strategic priorities for the department and lead project teams to deliver practical solutions.Support the Chief Audit Executive in managing the internal audit function.Partner with other departments to improve the company's practices/processes.Carefully cultivate the departmental culture and lead the department to become a self-learning and self-growing organization that attracts and maintain talents (Less than 3% staff turnover rate achieved in 2019).Support the department's expansion from 30 to 130+ headcounts over a seven-years period.Represent internal audit in the Global Transformation Steering Committee.Lead the team to build MIS reporting tools to manage audit budgeting and scheduling processes to support audit plan completion.Establish the data analytics function to improve the depth and breadth of audit coverage.

Closely worked with the Chief Auditor and other senior colleagues to transform and upgrade the Internal Audit Department. Main responsibilities include:1. Methodology development and maintenance, including identification and sharing of best practices (including benchmarking) 2. Development of framework and approach to leverage use of automated audit techniques3. Tool selection, implementation, maintenance and user support for audit workflow tool 4. Development, maintenance and execution of Quality Assurance Improvement Program for the department5. Staff development support including continuous improvement in internal audit competency framework, development and delivery of training within the department6. Communications and reporting within the department, with senior management and eventually Audit Committee, including risk trending and reporting. Support internal and external conference participation.7. Financial control and reporting including MTP process.8. Selects, develops, motivates, directs and appraises high potential professional staff.9. Managed various other duties, such as managing cosourcing budget to support the completion of audit plan.10. Develop Departmental policy and procedures in support of a standalone company.

• Actively contributed to annual risk assessment planning and monitored progress of audits as assigned. • Fostered excellent client relationship with senior management through partnership while maintaining professional independence.• Delivered reputable audit services with practical recommendations to senior management through various credit/market, operational, and financial audits.• Engaged senior management about risk and control matters through regular and ad hoc meetings.• Vigorously contributed to the company’s enterprise risk management and led the audit teams to support the ING Group’s organizational transformation and IPO ready efforts.• Led and/or participated in different audits from planning to final reporting phase and conducted complex audits across ING’s business lines and regions. Key capital market products and investment processes related audits include the Global Quant Boutique Review, Product Development and Approval, Mutual Fund Platform establishment, Revenue Sharing and Arm Length Pricing Model Review, Securities Trading Management, the Derivatives Audit, Aladdin Implementation, Counterparty and Credit Risk Management Review, Private Equity Audit, CMBS Review, Retirement Services and Life Insurance’s Asset Liability Management (ALM), Annuity ALM and Market Risk, Mexican Retail Mutual Fund Audit, Organization Restructuring, Outsourcing Framework Review, Chile Pension Investment and Derivative Audit, Broker/Dealer FINRA review, Investment Trust AML, Funds AML, Mutual Fund Revenue Management and Billing Application Audit, etc.• Supported other global and regional audit teams as a senior risk specialist to identify credit and market risks associated with the business lines, designed testing programs, reviewed work paper and audit reports prior to issuances. • Directed credit and market risk training for internal auditors across Americas and vigorously contributed to the departmental development.

• Led and/or supported various Capital Market audits, covering the full range of HIMCO’s investment portfolios.• Strengthened due diligence and management selection process in Hedge Fund Sector with FoF Mgmt.• Evaluated global credit review, portfolio management, and performance dispersion in High Yield.• Reviewed financial statement consolidations and CDO deal structures in the Capital Market.• Analyzed credit valuation, deal structure, and surveillance process in the Commercial mortgage backed securities/ mortgage backed securities/asset backed securities Sector. • Reviewed credit analysis and loan processing of Alternative Investments in Private Placement sector.• Developed global risk assessment framework over international investment platform.• Consulted on the Hartford’s Capital Attribution Benchmark project and risk management practice.• Enhanced best execution, trade allocation, and security selection processes in Equity Sector.• Assessed BlackRock’s contractual performance, trading and PM, and risk management service.• Enhanced the model validation program and assessed model validation results across multiple sectors.

• Actively contributed to the implementation of the company’s first SOX program worldwide and led multiple regional testing teams to successfully meet annual report disclosure deadlines. • Maintained quality and intensive verbal and written communications with senior management to drive changes throughout the organization worldwide.• Reviewed business environments and identified risks and controls for subsidiaries around the world.• Participated in company-wide project to standardize operational processes.• Performed operating consulting reviews for divisions to eliminate waste and accelerate profitability.• Assisted senior management to develop long term strategic plan.• Partnered with local divisions to achieve effectiveness, efficiency and economy under global competition while maintaining strong internal controls.

• Planned and executed various audits over CIGNA’s investment management business.• Improved continuous risk assessment of investment management activities.• Analyzed and tested derivative modeling and dynamic hedging methods.• Reviewed trading strategy, authorization, timeliness, and accuracy.