Mindy R. Kaplan

Mindy R. Kaplan

Work History

Work History

Supervisor

Federal Reserve Bank of New York

Managed "Regulation D" reserve requirements for Member Banks. Dealt with Bank Presidents and Large NYC EVPs to maintain proper account balances at the Fed. Worked with Treasury to implement Treasury Tax & Loan program allowing businesses to earn interest on tax deposits. Trained international banks on maintaining deposit accounts. Wrote paper on "Float in the Economy". Managed Fed Budget, insurance program and created first Productivity Analysis reporting mechanism

Asst. Vice President

J P Morgan Chase

• Partnered with line managers to assess needs and oversaw the design and implementation of company’s 1st customer profitability system that determining ROA and ROE and supported strategic planning. • Developed Corporate Pricing Model that resulted in operational efficiencies and determined profitability of new business. It became part of the corporate sales and service strategy.

Jul 2009 - Present

Consultant

Independent Contractor

Through Accume Partners performed trade finance, investment / treasury / asset management, compliance, and accounting and finance audits at various foreign banks.  Developed internal audit plans.  Performed pass through accounting reconciliations for $ billion media company.  Consulting services including audit, compliance, business planning, Balanced Scorecard, project management and training services.

Jan 2005 - Jul 2009

Senior Manager, Internal Audit

David Landau & Associates, LLC

Provided outsourced internal audit services including Sarbanes Oxley 404 support, internal audit, IT support, process improvement, and strategy to CFOs and their financial teams - across industries.  Managed SOX and internal audit engagements.  Oversaw project planning (budget, scheduling and staffing), project quality.

Managed and performed operational and financial audits ranging from loan impairment, asset valuation, credit monitoring, liquidity, asset management and loan restructure to expense allocation, wire transfer/cash management, payroll/human resources to bank regulations including BSA/AML and call reporting testing.

Developed training program for company and developed narrative and testing standards.

Sep 2003 - Dec 2004

Consultant

Independent Contractor

Worked with large companies through Control Solutions International ("CSI"), including Steinway Piano and Vital Works to implement Sarbanes Oxley; also designed a training program for claims managers at AIG, performed HR benefits Benchmark for law firm.

Oct 1991 - Sep 2003

Project Manager, Management Consultant, Change Manager

TIAA-CREF

As a project manager, change manager and internal management consultant at this pension, investment and insurance company, partnered with senior executives of line business units to help deliver more efficient and cost effective processes. recognized for identifying solutions to address critical business issues.

Sep 1989 - Feb 1991

Marketing Specialist

Merrill Lynch

Developed and led the marketing of a new corporate Financial System to executives which resulted in immediate usage and reduced help desk calls by 50%. Developed 'Quality Improvement' program, which measured over 500 clients satisfaction with service. Resulted in identification of technical problems and improvement of data center service.

Education

Education

MBA

New York University - Leonard N. Stern School of Business

Skills

Skills

Technical Writing

Functional Process Flows - Visio Policies and Procedures - MS Word Templates End User Guides - MS Word Projects and Presentations - MS PowerPoint Analyses and Reporting - MS Excel

MS Word

MS Word MS Excel MS Powerpoint MS Visio MS Project

Project Management

Process Analysis

Business Analysis

Auditing

Compliance, internal audit Sox at industries including finance, banking, healthcare, software technology and manufacturing.

Summary

Experienced SOX, internal audit and compliance Senior Manager focused on client service. Over 15 years management consulting/project management experience partnering with executives to deliver more efficient and cost effective processes, improve key performance indicators (KPI) including customer satisfaction, efficiency and productivity and turnaround times. Broad industry experience including financial services (banking, insurance), REITs, health care / pharmaceutical, technology, leasing, and manufacturing. MBA in Finance (Stern NYU)

Interest

Member:

Institute of Internal Audit  (IIA)

Webmaster, IIA - Long Island Chapter

Certifications

Certifications

CIA

Institute of Internal Audit