Vice President, Internal Audit

• May 2019 - Present

AVP, General Audit

• Sep 2015 - May 2019

Supports: All businesses and support unitsSummary of role:Focus on regulatory audits including bank-wide Anti-Money Laundering audits and compliance with Deposit Protection Board‘s requirements. Other areas of audit include the Bank’s HK and overseas branches, call centre, credit assessment process, structured financing and back office operations. Supports: All businesses and support unitsSummary of role:Focus on regulatory audits including bank-wide Anti-Money Laundering audits and compliance with Deposit Protection Board‘s requirements. Other areas of audit include the Bank’s HK and overseas branches, call centre, credit assessment process, structured financing and back office operations.

AVP, Equity and Prime Brokerage Operations (Operational Risk)

• Oct 2013 - Sep 2015

Supports: Institutional Clients Group -Settlements for Equity and Prime Finance Operations for APAC (Back Office)Summary of Role:- Develop Control Infrastructure and Framework- Perform Thematic Reviews on Selected Operation Processes - Monitor Regulatory and Policies Compliance of the Dept- Monitor Key Risk Indicators- Management Reporting and Project Management Supports: Institutional Clients Group -Settlements for Equity and Prime Finance Operations for APAC (Back Office)Summary of Role:- Develop Control Infrastructure and Framework- Perform Thematic Reviews on Selected Operation Processes - Monitor Regulatory and Policies Compliance of the Dept- Monitor Key Risk Indicators- Management Reporting and Project Management

Senior Operations Specialist, Asia Regulatory Reporting （Internal Control)

• Nov 2009 - Nov 2011

Supports: Institutional Securities Group - Operations Teams in APACSummary of role:- Performed internal control reviews and assessments on individual regulatory reports - Acted as global project lead for Regulatory Reporting Monitoring Tool system roll-out initiative, and acted as regional liaison person for various other control enhancement exercises- Assisted reporting teams to complete and consolidate receipts of Risk and Controls Self Assessments (RCSAs) Supports: Institutional Securities Group - Operations Teams in APACSummary of role:- Performed internal control reviews and assessments on individual regulatory reports - Acted as global project lead for Regulatory Reporting Monitoring Tool system roll-out initiative, and acted as regional liaison person for various other control enhancement exercises- Assisted reporting teams to complete and consolidate receipts of Risk and Controls Self Assessments (RCSAs)

Senior Consultant, Enterprise Risk Services

• Feb 2006 - Oct 2009

Summary of Role:- Performance of internal auditing, SOX readiness, operational, contractual and compliance auditing services for clients’ businesses- Covered operational and financial reporting controls related to clients’ businesses under scope of review Summary of Role:- Performance of internal auditing, SOX readiness, operational, contractual and compliance auditing services for clients’ businesses- Covered operational and financial reporting controls related to clients’ businesses under scope of review