Yyyyyy x. yyyyyy

183 Wellington street West, Suite 4503, Toronto, ON M5V 0Axxx-xxx-xxxx ● abc@xyz.com

Internal Audits ~ Enterprise Risk Management

Executive Leadership ~ SOX Compliance ~ Process Improvements

         Dual Citizen (British & Canadian) with demonstrated track record of internal audit success with several leading financial services organizations.

         Able to contribute dynamic communication skills toward effectively liaising between executive team and internal/external stakeholders in support of achieving corporate objectives.

         Outstanding skills in developing processes, systems, and tools which conform to corporate and regulatory criteria while sufficiently meeting financial reporting and operational support needs.

         Credible and confident with extremely polished problem solving skills.

         Highly appreciated for collaborative work approach, adaptability, decisiveness, and integrity.

         Expertly plan, manage and execute multiple projects within budget and on schedule.

         Innovative, insightful, and able to analyze and translate policy into practical business processes.

         Diligently analyze, identify, and implement innovative solutions to achieve cost savings and profit enhancements.

         Proven skills in auditing and analyzing operational processes and controls to significantly curtail risk.

         Handpicked to serve as Canada s sole representative within elite group of auditors (G25) serving North America s largest financial institutions.

Independent Internal Audit Services, Toronto, ON, 2009 to Present

President

         Deliver comprehensive consulting and advisory services to primarily financial institutions such as TDBFG, CIBC, BMO, Scotia, Swiss Re, and Close Brothers.

         Partnered with internal audit group to complete assignment for Ontario Ministry of Education; charged with determining audit rating, fortifying audit planning process, standardizing reporting, and advising client in improvements to enhance internal controls and risk management.

         Customized risk management framework for major financial institution by focusing on credit, market and operational risk, and introducing reporting capabilities to senior management and regulators.

         Critically assess internal audit methodologies to expose and address potential concerns resulting from financial market crisis.

         Integrate emerging risk and risk appetite statement to highlight significant risks vital to internal audit.

         Revamp audit plan following client s global business expansion and realign business units to address strategic risks uncovered.

         Evaluate protocols for audit report generation and present recommendations to executives and internal committees to maximize risk management efforts.

KEB HANA Bank of Canada, Toronto, ON, 2016

Chief Internal Auditor

         Analyzed and proactively evolved inspection-focused function to internal audit function by devising processes to enforce and enhance regulatory compliance.

         Championed efforts to position Internal Audit department as a credible, capable, and influential contributor to sustaining an effective governance framework.

Continued ... ►

Yyyyyy x. yyyyyy Page 2 of 2

Old Mutual Financial Network, USA, 2008 to 2009

SVP & Chief Internal Auditor

         Methodically created and implemented internal audit plans which addressed risks faced by Asset Management, Life Insurance and Reinsurance business segments.

         Diligently administered program budgets and helmed concerted efforts to strengthen governance and control environments.

         Applied dynamic leadership talents toward directing, mentoring, and supervising auditors and support staff.

         Aligned and mobilized company s only audit team to deliver all necessary audit reports by year-end, surpassing expectations and remaining under budget.

Canadian Imperial Bank of Commerce, Toronto, ON, 2002 to 2006

Executive Vice President, Chief Privacy Officer, Chief Auditor

         Evaluated, reduced, and managed privacy risk for all client and employee data, and provided crucial leadership to 150 auditors in monitoring internal controls.

         Joined forces with top-level executives, legal teams, and regulatory committees to refocus and tighten accounting controls, ensure SOX compliance enterprise-wide, and automate audit processes.

         Resourcefully consolidated roles to decrease executive headcount from 13 to five which translated to $3M in annual savings.

         Accomplished record-setting zero preventable losses via outstanding expertise in coordinating security, protection, and investigation programs.

         Played an instrumental role in instituting enterprise-wide fraud management policy which reduced losses.

         Contributed to amalgamation of CIBC and Barclays PLC Caribbean business into newly-formed bank.

         Effectively expedited accounting and audit report cycle from +30 to -7 days of closing, and accelerated report time to audit committee from 25 days to 12.

         Methodically consolidated Code of Conduct from 40 pages to six and assembled training and attestation programs which dramatically decreased non-compliance issues.

TD Bank, Canada, 1996 to 2002

Senior Vice President, Chief Auditor, Retail Business Development

         Refined accounting standards for 2^nd largest bank in Canada to substantially enhance risk management and improve audit outcomes.

         Conducted due diligence on proposed acquisition of Merrill Lynch retail brokerage business in Canada and merger with CIBC.

         Steered seamless integration of Canada Trust and TD audit groups, and subsequently slashed labor expenses as a result of reducing headcount by 30%.

         Fueled revenues for TD by masterminding strategy to sell third-party products (e.g. deposits, mutual funds) and launching co-tenancy/brand loyalty program to attract clients to TD branches.

Prior background includes leadership roles with Principal, Coopers and Lybrand in Toronto, ON & London, UK

BA (Hons), Economics, University of Leeds, West Yorkshire, United Kingdom

Fellow, Institute of Chartered Accountants of England and Wales

Member, CPA Ontario

Member, Global Association of Risk Professionals & Risk Management Association

Member, Institute of Internal Auditors

Advisor to NMI Tax Consultants

Yyyyyy x. yyyyyy

183 Wellington street West, Suite 4503, Toronto, ON M5V 0Axxx-xxx-xxxx ● abc@xyz.com

DATE

HIRING AGENT NAME

TITLE

COMPANY NAME

ADDRESS

CITY/STATE/ZIP CODE

Dear__________________:

I am currently seeking a challenging career opportunity as a (INSERT TARGET / JOB TITLE) and am submitting my resume for your review. In advance, thank you for your time and consideration.

In addition to excellent academic and industry credentials, I bring to you extensive experience in all aspects of governance including matchless proficiency in internal audits and risk mitigation. My seasoned background in evaluating and ensuring strict regulatory compliance as well as outstanding skills in conducting large-scale enterprise audits would enable me to effectively transition into your organization and garner immediate results. To complement these qualifications, I offer a steadfast commitment to driving continuous improvement within the organization which is paramount to achieving cost containment and consistent revenue growth.

I am a highly experienced senior executive committed to supporting you in achieving your corporate goals through significant financial savvy, project management expertise, international exposure, and staff leadership talents. I am confident that I am an ideal candidate for this role, and look forward to interviewing with you in the near future.

Sincerely,

Yyyyyy x. yyyyyy