Xiu Ping Miranda Liu
Minneapolis,MN
Summary
Detail-oriented Compliance Audit Manager offer 10+ years of expertise in audit and risk management. Advanced knowledge of regulatory and internal policy compliance with a proven track record of partnering with executives and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships during various audits.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Risk Compliance Manager
Amazon
02.2022 - Current
- Conduct quarterly audits of Amazon Payment Groups, including Pay-by-Invoice (PBI) and Small Business Loan underwriting processes, to ensure compliance with the internal SOPs and regulatory requirements.
- Play an instrumental role in Amazon Payment Group's risk assessment efforts, supporting enhancements in business processes and controls.
- Build the internal quality assurance program from scratch to establish the audit guidelines for recurring audit projects, including SOX controls testing.
- Manage the full life cycle of assigned audits in alignment with departmental procedures, delivering progress as well as closing reports to senior management and clients.
- Drive optimization of regulatory risk management, control testing, and process improvements.
Audit Project Manager
U.S. Bank, N.A.
07.2020 - 02.2022
- Led and managed data governance-related audits, including data privacy compliance, to ensure the bank is deploying and enforcing policies and procedures that maintain data usability, consistency, availability, security, and integrity.
- Participated in reviewing pre- and/or post-implementation of data governance projects to ensure the right people, processes, controls, and technology were involved and that each component in the plan was building on the evolving structure, culture, and technology.
- Monitored project performance to identify areas for improvement and make adjustments.
- Communicated with the risk management team and front-line business units to advise improvements and provide credible challenges through audit engagements and the periodic business monitoring process.
Internal Audit Manager
Wells Fargo
08.2014 - 06.2020
- Supervised multiple concurrent audit projects and collaborated with various teams to facilitate and execute the audit plan.
- Led, guided, and developed Treasury and Financial Crime Risk Audit Teams through the audit process and provided ongoing coaching feedback.
- Wrote and presented audit opinions in an objective and unbiased manner to all levels of management.
- Evaluated and escalated significant liquidity risk and loss exposures to senior management and provided appropriate solutions for complex problems.
- Served as a subject matter expert to support and manage the audit team through audit professional practices, coverage coordination, key risk expertise, and audit methodology.
Senior Auditor
Ernst & Young
01.2012 - 07.2014
- Professional experience in accounting and auditing with a core industry focus in Financial Services
- Directed and coordinated engagements over 5 billion of net assets
- Conducted assigned audit engagements successfully from planning, interim, year-end substantive testing, to reporting
- Supervised an average or 3-4 junior auditors and provided guidance and overall review of deliverables
- Developed audit programs and testing procedures relevant to risk and test objectives
- GAAP, SEC and Non-SEC registrant guidance, and SSAE 16 compliance.
Education
Bachelor of Science - Accounting
University of Minnesota - Twin Cities
Minneapolis, MNMBA - Management Information Systems
University of Minnesota - Twin Cities
Minneapolis, MN05.2025
Skills
- Audit Facilitation
- Annual Audit Plans
- Risk Assessment
- Control Optimization
- Compliance Monitoring
- Sarbanes-Oxley Compliance
- Risk Management
- Strategic Execution
- Audit Oversight
- Compliance Auditing
Languages
Chinese (Mandarin)
Native or Bilingual
English
Native or Bilingual
Certification
- CPA - Certified Public Accountant
- CISA - Certified Information Systems Auditor - in progress
Timeline
Risk Compliance Manager
Amazon
02.2022 - Current
Audit Project Manager
U.S. Bank, N.A.
07.2020 - 02.2022
Internal Audit Manager
Wells Fargo
08.2014 - 06.2020
Senior Auditor
Ernst & Young
01.2012 - 07.2014
Bachelor of Science - Accounting
University of Minnesota - Twin Cities
MBA - Management Information Systems
University of Minnesota - Twin Cities
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