Experience

• 

  HSBC

  • Shanghai City, China

  • Internal Audit Manager

    • Jan 2019 - Present
    • Shanghai City, China

    Lead or participate in internal audit engagements and other tasks.

• 

  Bank of China (New Zealand) Limited

  • Auckland, New Zealand

  • Internal Auditor & Secretary of the Board

    • Aug 2017 - Jan 2019
    • Auckland, New Zealand

• 

  Westpac New Zealand Limited

  • Auckland, New Zealand

  • Senior Auditor

    • Sep 2015 - Dec 2016
    • Auckland, New Zealand

    o Executing end-to-end audits, including process walkthrough, design effective testing and operating effectiveness testing.o Communicating audit findings to the managemento Contributing to audit planning and reportingo Following up on outstanding audit issuesPortfolio: Compliance audit, Product audit, Branch network audit, Operational audit.

• 

  China Construction Bank

  • Shanghai

  • Internal Auditor

    • Dec 2011 - Dec 2014
    • Shanghai

    Duties and Responsibilities: o Draft audit plans, design control matrix, allocate work and arrange for field work;o Coordinate auditing material handover both within the audit team and with the clients;o Detect deficiencies of internal control or business processes by means of database inquiry or modeling (SAS), data analysis (MS EXCEL), interviewing, sampling, walkthrough, etc.;o Find out probable causes of each defect from operational level, management level, strategic level and the aspect of computer system;o Propose feasible solutions regarding company policy amendment, control activities establishment, system improvement and integration, and corrective actions;o Communicate audit findings to responsible personnel and management;o Draft audit working papers and reports to render audit results to the audit department head.Portfolio: Personal Loan, Business Loan, Credit Card, Foreign Exchange Settlement and Sales, Asset Custody, Bullion Trading and Finance Management.

• 

  Ernst & Young

  • Shanghai

  • External Auditor

    • Dec 2009 - Sep 2011
    • Shanghai

    Assurance Department -- Financial Service OfficeDuties and Responsibilities:o Draft audit plans, design control matrix, arrange for business trips and field work;o Conduct test of control procedures to determine the reliability of internal control;o Employ proper approaches to verify the true and fair value of financial statements;o Record audit methods, procedures, adjustments, and results in working papers (MS EXCEL);o Render audit results to the team leader;o Communicate audit findings and adjustments with the client;o Draft audit reports and conduct report formatting, numerical casting and verbal checking.Portfolio: Banking, Insurance, Fund Management, Real Estate, Trading.