Harish Kumar CBA, CFSA, CIDA

646-***-****

SUMMARY OF QUALIFICATIONS

• 20+ years of internal audit experience; managed teams on banking audits of $500k-$2.5B in assets

• Certified Bank Auditor (CBA), Financial Services (CFSA), and Investments and Derivatives (CIDA)

• Presented and wrote recommendations to top level executives (CEOs, CFOs, and Department Heads)

PROFESSIONAL WORK EXPERIENCE

Citic Kawah Bank (Hong Kong), New York, NY 2007-2008

Senior Internal Audit Manager

• Created Audit Plan (risk assessment sheets, audit goals, and risk weighting categories) for a 30 person organization with $1B in financial assets; met the goals of the audit plan at each stage of review

• Interacted with Hong Kong headquarters office in audit operations; observed daily changes in the balance sheet, other financial documents, and problems in funds transfer operations

• Attended and participated in weekly operations meetings with department supervisors; insured that problems were discussed, action plans developed, and that follow-through occurred

Shinhan Bank (South Korea), New York, NY 2006-2007

Internal Audit Manager

• Monitored financial, operational, compliance (BSA/AML/KYC) and credit audits in accordance with GAAS, federal and state regulations for a 40+ person operation with $10B in assets

• Tested accounting records, documentation and appraisal of procedures and controls

• Developed new audit programs (growth from 10-30 programs) and revised current audit programs as required to ensure audits were comprehensive and effective for the entire Branch

• Documented control process for the audit work papers using Excel spreadsheet application

Spectrum Financial Services, BDO Siedman CPAs, e-Delta Consulting, Washington, DC 2003-2006

Consultant for Sarbanes-Oxley Project (SOX Project)

• Served as a Consultant for Sarbanes-Oxley project oriented work; reviewed business controls for various financial activities (Foreign Exchange, Treasury Division, etc); clients included Riggs Bank and ING

• Comprehensively reviewed internal audit papers of hundreds of documents (weekly basis) and updated key controls for 5 departments comprising 30+ banking professionals

• Identified control gaps and formulated suggestions to key members of senior management team

Other Work Experience

New York State Banking Department (Principal Internal Control Specialist/Audit) 2001-2003

Sanwa Financial Products (VP and General Auditor) 1997-2001-Legal entity became inactive in 2002.

Rabobank (Treasury Accountant-VP, Capital Market Auditor) 1992-1997

Unibank (Internal Auditor- AVP) 1987-1992

Creditanstalt Bankverein (Internal Accountant, Senior Accountant) 1982-1987

Banco di Roma (Accountant- Section Head) 1979-1982

Mangalore Chemicals and Fertilizers Limited (Junior Auditor) 1977-1979

EDUCATION

New York University, New York, NY (Financial Management, International Banking Certification 1983,1980

St. Joseph College of Business Administration Master of Business Administration 1976

Bangalore University Bachelor of Arts in Accounting 1974

ADDITIONAL INFORMATION AND SKILLS

• US Citizen; Fluent in English and Hindi; Advanced skills in Microsoft Excel, Word, and PowerPoint

• Volunteered for non-profit organization Help Foundation, Old Bridge, NJ

• Completed many classes and seminars in auditing, Sarbanes-Oxley, Finance, Risk Management & System Security in relational database concept like Oracle.

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