James Loo Email & Phone Number

Singapore

Hong Kong Sar

Responsible for the retail and wealth management portfolio. Managed a team of four.

Hong Kong

Singapore

Singapore

Singapore

Major international banks – Led and coordinated audit work with other regional offices, performed integrated reviews (ie SOX reviews and IT general control reviews) over the private, consumer and investment banking process. This includes the loan, deposit, treasury, credit review, valuation, reconciliation, trade initiation/ confirmation, settlement/ disbursement, pricing and financial reporting (GL) process.Has led independent assessment engagements on IT regulatory compliance review for banking clients with reference to the Monetary Authority of Singapore (MAS) guidelines (TRM). The objectives of the engagement required him and his team to perform an independent validation of controls implemented by the bank to assess if the requirements set out in the MAS Guidelines for Internet Banking and Technology Risk Management such as Outsourcing, Endpoint Security and Data Protection & Resiliency, Reliability, and Recoverability Circulars, and Business Continuity Management, are met.Led and performed a SOC engagement review for one of the largest US based international bank. The scope of work includes evaluating the design and testing the operating effectiveness of the IT general controls application controls, identifying internal control gaps and documentation for both business and IT processes, and reviewing the management’s assessment of the IT controls. Has also accumulated wide product knowledge ranging from fixed income securities to interest rate, credit and equity derivatives and is well-tuned with the front to back processing of these products, including their accounting, and related risk management functions.