Manager Management

Stephanie Huang

*** **** ******, **, ********, NY 11220

Home Phone: 347-***-****) ~ Cell Phone: 646-***-****) ~ Email: ***************@*****.***

QUALIFICATIONS:

Keen analytical focus with strong investigative abilities; quick recognition of errors and anomalies.

Confident decision making while exercising discretion, reliability and prudent judgment.

Extremely well organized, and detail oriented, with strong prioritizing skills.

Succinct communicator with persuasive interpersonal skills; works well with individuals and groups on all levels.

Extensive experience in problem resolution, troubleshooting.

Highly merited on maintaining high unit standards and complying with guidelines, policies and procedures.

WORK HISTORY:

Tokio Marine – Jersey City, NJ December ’15 - Present

Senior Internal Auditor

Perform Japanese Sarbanes Oxley (JSOX) in accordance with the annual plan. Review the effectiveness of the control environment for all areas of the business, which includes underwriting, premium accounting, claims, reinsurance, financial reporting and reserves.

Lead and execute operational audits in accordance with established methodologies and professional

standards that include: preparing planning memos to set audit scope and objectives, developing an understanding of management’s business processes, risks, and controls, analyzing

and evaluating the effectiveness of management's control design, formulating and

executing audit procedures to test key controls.

Identify control gaps or potential improvements from JSOX review and operational audit. Recommend course of action and present findings and control testing results to business management.

Monitor all outstanding recommendations and

action plans for assigned audits; prepare status commentary and perform follow-up

testing as needed.

New York Life – New York, NY December ’14 – November ‘15

Corporate Audit – Senior

Performed risk assessments, audit planning, control evaluation, and audit testing. Determined the risk level and followed-up and verified closure of audit issues.

Analyzed and evaluated accounting documentation; prior audit report, workpapers, and flowcharts to determine audit scope.

Documented process and prepared audit findings memorandum and communicated to management.

Identified opportunities for improvement in the design and effectiveness of key controls.

Accountable for meeting deadlines while adhered to department and professional standards and utilized the audit methodology.

Provided ongoing continuous monitoring and relationship management for certain key areas.

Engaged to continuous knowledge development regarding sector’s rules, regulations, best practices, tools, techniques and performance standards.

Ernst & Young, LLP – New York, NY October ’12 – December ’14

Advisory Services – Senior

Engaged in co-sourcing internal audit services for a national bank and performed assessment of relevant risks and conclusion of the business processes under audit; Mortgage Accounting, Investments, Borrowing and Liquidity Management, Market Risk Management, and Capital Management. Project required identifying risk factors and its mitigating control procedures in place through walkthroughs with the business units, assessed control design and performing tests based on that assessment, and concluded on issues identified as either a significant issue reportable to management or a suggestion of process improvement.

Engaged to perform extensive Sarbanes Oxley test work for a banking client. Identified and tested key controls for significant processes include; Commercial Lending, Consumer Lending, Loss Mitigation, REO and Retail Banking. Took responsibilities for workpapers that was performed by other staffs during interim testing which if appropriate, to re-assess key controls and/or identify more relevant attributes to test at year-end. Documented test steps and results on workpapers. Communicated to the manager on a regular basis on status updates and timeline of work.

Assisted on an investment bank’s Unauthorized Trading Incident Remediation (UTIR) mandated by FINMA to provide assurance that the improved UT related controls implemented across IB are operating effectively. Evaluated the key controls for significant processes includes: Equities System Deficiencies, Middle Office Setup and Operations, which were identified by UBS Internal Audit team and recommended revised controls to process owners if needed. Wrote test scripts with attributes to test for controls.

Performed an internal audit on a vehicle company’s External Investment Manager Operational Due Diligence (ODD). Responsible for testing and documenting 25 External Investment Managers (EIM) for their Ongoing phase of the ODD, which is to ensure external managers that the Client hired to account for their investments are in compliance with objectives, guidelines and restrictions on the Investment Management Agreement. Reviewed supporting documents received for testing the relevant fields in the creation of new accounts and populating the testing matrix. Communicated with EY senior manager and client on a regular basis to provide periodic progress updates.

Performed a review on one area within Client Corporate Employee Financial Services plan administration for an investment bank to assess the validity of the system data for a global financial services company. Validated the system settings against Questionnaires that were populated by users of 28 pre-selected client companies. Provided periodic progress updates and met with Client periodically to review results of discrepancies and substantiate differences between system settings and Questionnaires. Provided Client with findings and recommendations outlining any weaknesses or concerns identified within the process. Supervised staffs.

JP Morgan Chase & Co. – Brooklyn, NY November ’11 – May ’12

Foreclosure Research Analyst (Consultant)

Researched and resolved escalated first mortgage loan and/or home equity account related issues received from borrower complaints that come in through the Foreclosure Lookback process.

Reviewed loan servicing files, supporting documentation and any other information that might validated or invalidated the claims.

Documented all issues in the Foreclosure Lookback database, as well as other systems or servicing platforms that might be required.

Developed and maintained key contacts and working relationships with various functional servicing areas.

Proactively seek and maintained a working knowledge of select processes and current procedures of other functional areas which are necessary to facilitate research and provide resolution.

Obtained approval from all parties involved in the recommended course of action. Maintained contact with support areas such as Legal and Compliance.

Prepared system and self-authored written responses, adhering to Chase’s business letter-writing guidelines and within RESPA guidelines.

McGladrey & Pullen, LLP (formerly known as GGK) - New York, NY September ’06 - May ’10

Financial Services Group - Senior Auditor

Responsible for month-end close for hedge fund clients: posted investment transactions into Advent Axys for investment companies that adopted the layering method in allocation of capital gains/losses; reconciled and balanced all accounts; prepare analysis of accounts; prepared monthly trial balance, NAV, P&L allocations among investors and quarterly capital account statements distributed to individual investors. This task required calculation of management and incentive fees.

Responsible for all stages of risk focused audits: from planning, fieldwork to wrap-up

Conducted and reviewed audits of hedge funds for a diversified client base, including stand-alone funds, master-feeder funds, fund-of-funds, onshore funds and offshore funds.

Worked on funds requiring accounting for complex derivatives and financial instruments which include total return swaps, credit default swaps, forwards, options, warrants, bank debt, distressed corporate debt, private securities and thinly-traded securities.

Performed valuation of investments and searched of corporate events utilizing Bloomberg terminal and IDC.

Examined pricing methodologies of investments in accordance with SFAS 157.

Reviewed client financial statements, including all footnote disclosures and supplemental schedules.

Generated and reviewed partnership economic and tax allocations.

Prepared and reviewed K-1s using Advent Partner, tax estimates and 1065 partnership income tax returns for clients.

Managed multiple tasks and staff in an efficient and effective manner

EDUCATION:

Brooklyn College-CUNY

Bachelor of Science in Public Accountancy - February 2006

Bachelor of Science in Computer Science - February 2004

COMPUTER/TECHNICAL SKILLS:

ACL

Concur

G/L System (SAP)

UNIX Shell Scripting, Borland C++, QBasic, HTML, MX Coldfusion

MS Office, MS FrontPage, Adobe Photoshop, MX Dreamweaver, QuickBooks

MS SQL/ Query Analyzer

Axys, Advent Partner

IDC, Bloomberg terminal

Caseware, TeamMate

ProSystem, Billing Systems (RBS, BD), Claims System ( ClaimCenter), Reinsurance System (Insight)

InfoSource, Customer Care Workbench (CCW), Lender Processing Services (LPSD), Mortgage Servicing Package (MSP), i-Vault, Vendorscape

Contact this candidate