Alex Yan
Head of Corporate Assurance at CIMB Singapore- Claim this Profile
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English Native or bilingual proficiency
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Chinese Native or bilingual proficiency
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French Professional working proficiency
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Japanese Professional working proficiency
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German Limited working proficiency
Topline Score
Bio
Credentials
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BCG RISE Certificate of Completion Digital Transformation & Change Management Program
Boston Consulting Group (BCG)Sep, 2021- Nov, 2024 -
BCG RISE Distinction PMO & Change Management
Boston Consulting Group (BCG)Aug, 2021- Nov, 2024 -
ISCA 20 Years Membership Milestone Badge
Institute of Singapore Chartered Accountants (ISCA)Jan, 2020- Nov, 2024 -
Chartered Accountant
Institute of Singapore Chartered Accountants (ISCA)Jan, 2013- Nov, 2024 -
Certified Internal Auditor (CIA)
The Institute of Internal Auditors Inc.May, 2001- Nov, 2024
Experience
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CIMB Singapore
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Singapore
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Banking
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400 - 500 Employee
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Head of Corporate Assurance
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Aug 2021 - Present
Manage the Corporate Assurance Singapore department and responsible for the internal audits of all CIMB Bank, Singapore Branch businesses which include retail and consumer banking, commercial banking, corporate banking, private banking, investment banking, treasury and markets. Member of CIMB Singapore Management and advisor on governance and internal controls. Manage the Corporate Assurance Singapore department and responsible for the internal audits of all CIMB Bank, Singapore Branch businesses which include retail and consumer banking, commercial banking, corporate banking, private banking, investment banking, treasury and markets. Member of CIMB Singapore Management and advisor on governance and internal controls.
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CLSA
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Hong Kong
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Financial Services
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700 & Above Employee
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Executive Director - Group Audit Partner
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Feb 2014 - Mar 2020
Audit Partner at CLSA managing the strategic direction of the internal audit department and providing oversight of the group audit engagements. Partnered Management to define the risk management framework and audit plan of the group. Pioneered several new audit engagements within CLSA Group e.g. Volcker Rule, FATCA, Financial Crime/AML. Delivered impactful recommendations which provided impetus for Management to continually restructure and enhance other functions e.g. Compliance, Risk Management, Operations, etc. Highly conversant with Capital Markets regulatory requirements of all major financial centres around the globe e.g. US, Korea, Japan, India, Australia, Hong Kong, Singapore, etc Show less
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Senior Manager - Group Audit
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Jun 2007 - Jan 2014
Pioneered the internal audit function in Singapore and implemented new audit methodologies and systems. Recruited and expanded the internal audit department and managed audit teams in Singapore, Hong Kong and Korea with responsibility for more than 15 business locations across the globe. Business lines responsible for included global equities, equity derivatives, investment banking, fund management and private equity. Managed relationships with Senior Management, external auditors and regulators. Show less
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UBS
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Switzerland
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Financial Services
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700 & Above Employee
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Associate Director - Group Internal Audit
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Jan 2003 - May 2007
Responsible for wealth management and asset management audits of UBS in Asia Pacific. Managed industry leading internal audits across all Front Office and Back Office functions. Subject matter expert for UBS WM investment services in APAC. Responsible for wealth management and asset management audits of UBS in Asia Pacific. Managed industry leading internal audits across all Front Office and Back Office functions. Subject matter expert for UBS WM investment services in APAC.
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Commerzbank AG
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Germany
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Banking
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700 & Above Employee
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Associate - Group Audit
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Jan 2001 - Dec 2002
Responsible for the global investment banking and asset management audits of Dresdner Bank/Dresdner Kleinwort Benson, a global investment bank subsequently acquired by Commerzbank. Onsite audit locations included London, Tokyo, Taipei, Singapore, etc Responsible for the global investment banking and asset management audits of Dresdner Bank/Dresdner Kleinwort Benson, a global investment bank subsequently acquired by Commerzbank. Onsite audit locations included London, Tokyo, Taipei, Singapore, etc
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UOB
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Singapore
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Banking
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700 & Above Employee
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Assistant Manager - Group Internal Audit (OUB)
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Jun 1997 - Dec 2000
Responsible for retail and corporate banking, investment banking and group companies audits of Overseas Union Bank (OUB), a regional Singapore bank subsequently acquired by UOB. Responsible for retail and corporate banking, investment banking and group companies audits of Overseas Union Bank (OUB), a regional Singapore bank subsequently acquired by UOB.
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Deloitte
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Business Consulting and Services
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700 & Above Employee
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Audit Assistant
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Aug 1996 - May 1997
Member of financial services audit group in Deloitte and responsible for audits of financial services clients. Member of financial services audit group in Deloitte and responsible for audits of financial services clients.
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Education
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1993 - 1996
Nanyang Technological University Singapore
B.Acc (Hons), Accountancy -
1988 - 1989
Raffles Institution
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1984 - 1987
Tanjong Katong Secondary School
Community
