NICHOLAS KIM 415-***-**** adid38@r.postjobfree.com San Francisco, California

LinkedIn Profile: https://www.linkedin.com/in/nicholas-kim-mba-909ab8a/ QUALIFICATIONS AND PROFILE

Proactive, teamwork, and solutions focused leader with 15+ years of experience in banking and financial services industry. Managed the firm’s annual SOX, audit, and compliance programs with a proven track record of consistently exceeding performance expectations. Led and managed 6+ team members and consultants in executing the annual program, including risk assessments and policy alignments. Capable of using logic to identify and define a problem, collect information to establish facts, draw valid conclusions, and deal with abstract variables for unique or unfamiliar situations to craft a solution. Strong aptitude to perform in-depth analysis and formulate strategies and solutions to present to senior management. Diplomatic and tactful with professionals at all levels while building positive relationships with clients and colleagues.

EXPERIENCE

SOX – Sarbanes-Oxley Act of 2002 - San Francisco, CA Feb 2016 – Nov 2020 Senior Manager, SOX PMO LendingClub 2019 – 2020

VP, Team Lead – Audit Portfolio Manager MUFG Union Bank 2018 – 2019 VP, Senior Lead Compliance Manager Bank of the West 2016 – 2018

• Drove and managed the SOX program (IT and Business Process) by working closely with key stakeholders across business units and internal and co-source audit teams.

• Led teams to generate a strategic vision, establishing direction, motivating team members, coaching staff on the annual SOX testing program, risk assessment process, regulatory reporting, and control reduction/rationalization management to promote improved SOX program for reliance.

• Coordinated M&A efforts for SOX/SOC controls to ensure key control alignment, reduction, and reporting impacted controls are correctly identified and absorbed.

• Evaluate current audit approaches and practices, providing thought leadership on industry best practices to drive maturation and evolution of the SOX program, such as enhancing the change management processes, updating and identifying key risks and controls, identifying applicable IUCs, and developing and updating audit test steps.

• Coordinated process flow walkthrough meetings, documentation, and evaluation of deficiencies.

• Collaborated with external auditors and control owners to validate deficiencies and advise on remediation efforts.

• Monitored external auditor’s testing scope to ensure alignment with testing procedures for the control and reliance strategy.

• Created and managed the SOX Change Management Process to capture all changes to the controls and process.

• Prepared Audit Committee reports for Senior Management and the Board.

• Assisted in negotiating and reviewing consultant SOW as well as external auditor Reliance Strategy. Audit and Compliance - San Francisco, CA Aug 2007 – June 2019 VP, Team Lead – Audit Portfolio Manager MUFG Union Bank 2018 – 2019 VP, Senior Lead Compliance Manager Bank of the West 2016 – 2018 Compliance Project Manager Charles Schwab 2015 – 2016 Compliance and Regulatory Consultant Independent 2014 – 2015 Associate Principal Examiner FINRA 2012 – 2014

Compliance and Operations Manager Merrill Lynch 2009 – 2012 Compliance Supervisor Merrill Lynch 2007 – 2009

• Managed and led audit team engagements including performing timely reviews and providing constructive feedback on control environment.

• Utilized a risk-based approach to plan, evaluate, summarize, and communicate assigned risk assessments and audit scope for the team/department.

• Prepared and provided written communications to management and present observations and recommendations for internal control improvement and facilitate management action plans.

• Performed quality assurance reviews (QAR) across the organization and educated staff on quality of workpaper documentation.

• Created and managed the department’s monthly, quarterly, and annual risk reports and ensured they were executive-ready to present to the Committee.

• Advised on the creation of the annual Audit Plan and continued to manage the plan and resources as needed.

• Proactively coordinated with other audit teams, such as IT and BSA, for integrated audits to better service the clients and produce a high-quality audit report.

• Managed the quarterly Audit Committee report communicating audit findings to management, identifying timely risks under my purview, and identifying opportunities for improvement in design and effectiveness of audit controls.

• Continuously build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value through Ongoing Monitoring reviews and advising on Management Self-Identified issues.

• Led the creation and implementation of the enterprise wide Quality Control and Quality Assurance program for the 1st and 2nd Lines of Defense.

• Managed and helped create the Enhanced Due Diligence process incorporating BSA/AML and OFAC/Sanctions for global trade finance deals and RMA Keys on foreign correspondent banks.

• Proactively managed and reviewed the team’s QC/QA monitoring reviews and advised on gap analysis, Bank Policy, and regulatory guidelines to ensure alignment within Compliance and further downstream alignment to the lines of businesses.

• Lead coordinator for policy alignments and regulatory risk assessments. EDUCATION

• University of San Francisco, Graduate School of Management

• Master of Business Administration (MBA) – Emphasis in Corporate Finance

• University of California, Los Angeles

• BA in English

• Specialization in Business Administration

Contact this candidate