James Farmer

About James Farmer

Jim Farmer is an internal audit, compliance and risk management leader with an extensive background in internal controls, risk assessment, operational effectiveness, SOX 404 compliance, training and project management. Jim leads the Sun Life US Internal Audit team, as well as the Investments and Professional Practices teams. In his previous role at KPMG, Jim advised clients globally in the banking, asset management, trust, broker-dealer and insurance industries. Jim served as the leader of the Boston Internal Audit practice, responsible for driving revenue growth, developing and strengthening relationships with client executives, while building, leading and motivating teams of professionals focused on providing high-quality to services to premier clients in various industries.Specialties: Internal Audit (CIA), compliance, risk advisory, continuous auditing & monitoring, project management, enterprise risk management, risk assessment, business process improvement, internal audit leading practices, FRB SR 13-1, COSO 2013, BSA/AML, SOX 404. private wealth management, commercial lending, investment management (front/middle/back office), banking operations, broker-dealer and insurance. Internal audit methodologies, best practices, audit innovation, corporate governance, development of the audit universe, risk assessment and risk-based audit plan, audit execution and communication of results to executive management and the Audit Committee.

Experience

1. VP of Internal Audit

   Sun Life

   Jun 2017 — Present · Boston, MA, US

   Internal Audit executive for Sun Life Financial U.S. and Sun Life Capital (SLC) Management

Skills

• Sox 404
• Internal Audit Transformation
• Banking
• Risk Management
• Insurance Risk
• Enterprise Risk Management
• Internal Controls
• Internal Audit
• Sarbanes-Oxley
• Certified Internal Auditor