James Qu Email & Phone Number

Shanghai

• Responsible for conducting investigations into the misconducts of staff members as alleged (e.g., Ethics Hotline, client's complaint, and external regulatory inquiries).• Independently, timely and thoroughly handled each case from a preparation of work plan to the completion of a final report, as well as the follow-ups of any remedial actions for process improvement when necessary.• Supported the Conduct Unit to work out the framework of investigation to staff’s misconducts and behavioral breach matters.• Worked on collaborations with various stakeholders (e.g., QRM, HR, Public Affairs, Business lines) at certain ad hoc projects to mitigate any potential or emerging risk detected through the routine investigations.• Worked to have set up a case management system for the Conduct Unit.• Participated in other miscellaneous tasks (e.g., workflow optimization, investigativeprocedure governance).

Hangzhou And Shanghai

• Independently investigated each assigned case and ensured investigations could be conducted in a prompt, timely and appropriate manner.• Worked on the triaging of allegations of each case, and a preparation of work plan, the performing of investigation procedures and a final report.• Worked with investigation team and business units on each case, for the set-up of investigation strategy to final report, plus the implementation of follow-up measures when necessary.• Performed risk assessment against business fraud and worked with stakeholders from different teams for a continuous improvement of internal control.• Implemented ad hoc audit projects to evaluate risks at high-risky business areas.• Served as a member of the policy and procedure committee for setting up the framework and composition of compliance policies.• Designed and prepared compliance training materials including e-learning course and delivered in-class training to different levels of employees.• Optimized investigation methodology, standard and guideline, and with digitalization approaches to foster an integrity and probity culture.

Shanghai City, China

• Independently conducted investigations into each case, assigned, received from internal or external channels, such as Compliance Hotline, regulatory inquiry, and the matters escalated by staff.• Collaborated with various functions, from investigation strategies to the completion of a final report, to the alignment on investigation results, and remediation action if any.• Supported compliance monitoring program on the preparation of work procedures, and for spot check activities when necessary.• In terms of non-compliance issues typically found from investigations, worked on ad hoc case study sharing with stakeholders for risk control improvement.• To address regulatory inquiries, collaborated with legal counsels, providing timely support from a compliance investigator’s perspective.• Responsible for case data management for the local team, and routine cooperation with local consulting firms providing investigation services.

Shanghai City, China

• Worked on multiple engagements on fraud investigation, forensic accounting review, compliance assessment, and internal audit support sometimes, for clients from scores of industries including pharmaceutical.• Worked closely with forensic technology teammates on computer forensic and forensic data analytics on digital investigations to address client’s concerns.• Worked at client’s premises on routine engagement procedures covering on-site progress control, timely status update, and communication with client.• On project when required, responsible for preparing deliverables (e.g., summary, project report) for client, during and after engagement procedures.• Supported project managers/partners on miscellaneous engagement administration related work, not least for data analytics and documentation.

Shanghai City, China

• Supported the department head to implement the methodologies of internal investigations on corruption and bribery cases, to mitigate corruption risks.• Timely conducted and completed investigation to allegations client or client’s supplier raised, such as bribery-receiving that staff (auditor or inspector) conducting at their work.• Performed full investigation procedures, ranging from a preparation of proposal to individual interview, site visit at the client’s supplier’s premise and the completion of a final report.• Worked on integrity monitoring when staff performed field work, largely with phone call inquiry to the client’s supplier’s representatives at the accompany of their field work.• Held periodic communication with clients or client’s suppliers about anti-corruption and anti-bribery policies including ethics hotline.

Shenyang

• Labor Risk ManagementAssisted team manager to implement the employee communication program, to mitigate any labor risk from line workers; also working with external labor lawyer to cope with some sort of labor dispute.• Casual Staff ManagementSupported line worker recruiting, daily attendance, monthly payroll, and labor agency management; also supporting subcontractors on their labor risk assessment project.• OthersProvided support in campus recruiting, administration affairs for local-based Korean staff, staff’s rewards/incentive appraisal, staff’s induction & resignation, labor contract management, and discipline policy training for line workers.

Postgraduate Diploma, Procedural Law

Cfe

Activities and Societies: Certificate at CEF

Bachelor, Electronic Commerce