Head of Operations

Kee S. Ma

917-***-**** • *** Cypress St, Floral Park, NY 11001 • ***.*.***@*****.***

Accomplished professional with a broad-based risk and audit experience in multiple specialties within the finance industry.

Professional Experience

Meraki Consulting, Inc January 2019 – Present

Head of Business Operations

Responsible for overseeing company’s financial operations and making strategic decisions based on company’s financial stability including investments, health benefits, payroll, etc.

Oversee and develop cash management strategies to increase company’s reserves

Implemented procedures and best practices to ensure proper audit trails of expenses

Responsible for accounts payable/receivables and payroll functions

Collaborate with CEO for best short term and long term financial planning goals

Oversee timely submission of documentation for tax reporting

Develop weekly expense, budget and financial analyses for CEO to review

Guardian Life September 2015 – January 2019

Risk and Control Manager

Managed the annual risk assessment certification process and scoping workstream

Trained and successfully launched risk control self-assessment program (RCSA) across business units

Oversaw and conducted annual testing of internal controls and ensured timely closeout of audit plans

Presented findings and recommendations to business process owners and other stakeholders (SOX/MAR)

Approved test plans and reviewed workpapers completed by team members

Led the annual certification of controls by assessing control deficiencies, participation in diligent inquiry meetings with business and functional area executives to ensure sign off

Managed and ensured annual SOC Type II reports were obtained and tested

Continuous monitoring by interviewing business process owners, communicated best practices on control design and updated existing workflow documents

AIG September 2013 – September 2015 Quality Manager, Global Shared Services

Developed an audit training program and trained Quality Analysts globally

Project Manager to align and implement the global quality management system with the Americas and Asia

Drove consistency and discipline for shared service sites in standardizing operational procedures globally

Implemented strategies to reduce risk, improve management performance and ensure compliance for all shared service sites

DLA, LLC IA & Forensics/Compliance/Risk Management August 2010 – September 2013

Senior Internal Auditor

Internal audit/SOX Compliance engagements at: Fortress Investment Group, Newcastle Investment Group, Kimco Realty Trust, Starwood Property Trust, Artio Global Management, Arbor, Greenhill, SL Green, WP Carey, NYU Langone, iStar Financial and various joint ventures

Coordinated and managed SOX404 compliance efforts by assisting in the development of audit scopes and budgets

Assessed the design effectiveness and adequacy of non-critical and critical controls based on walkthroughs and testing for REITS and Hedge Funds

Designed control test plans, supervised and reviewed control testing, identified practical remediation and evaluated deficiencies

Assigned as the main contact between business process owners and audit team

Prepared audit reports and documented control deficiencies in a clear and concise manner to provide value to senior management that identified and documented observations/findings

Identified gaps between implemented controls and key risks and recommended remediation action

EmblemHealth April 2008 – August 2010

Manager, Internal Controls Standard and Procedures (SOX)

Evaluated and reviewed internal control deficiencies, control effectiveness and proposed remediation action plans to management through walkthroughs and testing

Supervised and reviewed the planning and execution of test work by external consultants and staff

Responsible the launch of SOX program and testing by implementing, training and monitoring of business units to maintain compliance in accordance to SOX 404 guidelines

Introduced and made management aware of the testing of SAS 70/SSAE 16 SOC Type II reports

Led and assessed annual SAS 70/SSAE 16 testing and UCC mapping to existing operational and IT internal controls

Morgan Stanley April 2005 – February 2008

Manager, SOX Testing Group - Internal Controls

Managed staff to develop a centralized firm-wide consolidated control database

Led team for Year 1 SOX compliance by communicating with external auditors, drafting/implementing risk control matrices and policy and procedures across business units

Continued monitoring of action plans of failed controls by implementing mitigating controls

Documented entity level controls and coordinated fraud assessments

Assisted in annual risk assessment of audit plan for Sarbanes Oxley testing

Evaluated the adequacy and enhancing the effectiveness of operating controls by communicating with senior management, line management and external auditors of all low to high-risk areas

Instinet Group, Inc. October 2003 – April 2005

Bank Reconciliations Manager / Treasury SOX

•Developed and implemented automated reconciling system for 32 cash accounts

•Streamlined controls for Firm’s T&E process from employee submission to disbursement from Accounts Payable.

•Centralized cash accounts of all subsidiaries to one corporate entity

•Ensured Sarbanes Oxley compliance with the Treasury, A/P, Payroll and Bank Reconciliation Department

•Led team to provide support and analysis as required for quarterly reviews and annual audits by outside accountants

ABN Amro, Inc. November 2001 – October 2003

Fixed Income Specialist / Operations Control

•Performed month-end closing and reporting of trade breaks between corporate cash accounts

•Enhanced efficiency and reduced processing errors by automating all bank reconciliations by utilizing MS Access

•Daily interaction with the bond operations department to monitor settlements and reconciliations to ensure accuracy and prevent trade discrepancies

•Oversaw the production of trade break exception reports between DTC/BONY vs. internal stock records

National Discount Brokers.com June 1999 – November 2001

Equities / Fixed Income / Mutual Funds Desk

Responsible for daily transactions, settlements and redemptions of all mutual fund purchases

•Handled all fixed income products (Municipals, OTC/Listed Corporates, Agency Bonds, U.S. Treasuries, CD’s)

•Calculated daily pending sales/buys and buying power for high net-worth clients

•Acted as a liaison between the Customer and various departments on subjects such as Reorganization, Margin, ACATS, Compliance, IRA and Trading

Key Skills/Certifications

MS Excel, MS Word, MS Powerpoint, Paisley, ADP, Quickbooks

NASM Certified Personal Trainer, NASM Youth Exercise Specialist, NASM Nutritional Coach, NASM Performance Enhancement Specialization (pending), CPR/AED Certified

Education May 1999

Binghamton University, Harpur School of Arts and Science

Bachelor of Arts in Economics with Concentration in Business

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