Melissa Ding Email & Phone Number

Sydney, Nsw, Au

Australia

Kuala Lumpur, Malaysia

Established Compliance Function for Global GBS in 4 countries; to implement Compliance risk frameworks for Conduct, Compliance and financial crime risks (CCFC)Developed a team to be technically competent in the all functions of the Regulatory Compliance and corporate governance including dissemination of regulatory guidelines and implementation of compliance obligations relevant the local country and group regulatory requirements; Compliance risk assessment and reporting; Advisory for all business function, products compliance and compliance assurance reviewso Engagement with external stakeholders and supporting the GBS entities heads in audits by internal, external and regulatory bodies. o Undertake compliance monitoring reviews and assurance controls testingo Monitoring of complaints, breaches, key risk indicators and other emerging risks with timely mitigations in consultation with Senior management.o Manage Business Continuity Program (BCM) design for Business Continuity (BC) and IT Disaster Recovery (DR) and tested in line with the BCM Policies. Facilitate BC planning, testing, and incident and disaster management.o Establish vendor management / third party risk management controls and ongoing assessment of complianceo Implement record management controls and undertake ongoing assessment of compliance.o Timely reporting of regulatory breaches to senior management, Board and Central Bank (BNM, PRA, country regulators, etc)Proactively work with the business and projects / technology team in risk process and business controls for business to meet its risk management governance requirements.o Develop new or revised procedures arising from new obligations, systems or policy changes or process improvements.o Training for company staff in CCFC risk management o Reporting to EXCO and Board

Kuala Lumpur, Federal Territory Of Kuala Lumpur, Malaysia

o Implementation of compliance risk function with full Compliance Framework from inception taking the company to comply with BNM Compliance Function guidelines.o Revamp Board Reporting from lengthy report style reports to simple presentation style to refocus reporting on current areas of risks and non-compliance as well as holistic overview of Banks compliance risk profile at the point in time.o 3-year Compliance plan based on risk assessment of compliance risk profile o Resource budget plan to establish the compliance function.o Hiring and training of new resources o Established framework with robust processes for managing / monitoring of new regulations gap analysis to ensure processes and controls are meet the spirit and letter of the regulatory obligationso Implemented process to ensure timely breach reporting and timely remediations.o Undertake Baseline review of Regulatory Reporting Governance Framework to assess the adequacy of business process controls to meet the obligations and staff understanding of risk associated to the process and impact of non-compliance.o Provide guidance on the interpretation of new regulatory reporting requirements / remediation of erroneous reporting to business and project specification, testing and review of the accuracy, completeness and validity of components reported. o Identified and remediated gaps in data quality framework and governance of Regulatory Reporting for the FI as a whole; o Identifying gaps and rectified errors arising from inaccurate and incomplete identification of data elementso Implementation of hands-off integrity and controls between core source systems and reporting systems to ensure completeness and timeliness of reporting.o Undertake reviews of AML/FCC compliance reportingo Provide advice and guidance to functions on compliance matters.o On the job training of current compliance staff in compliance risk assessment and management and the understanding of risks, and process controls

o Undertake all aspects of business operational and compliance risks management; acting as the subject matter expert for risk and compliance across the business globallyo Pro-actively assist business unit Managers in identifying, monitoring and reducing risk.o Undertake assessment, management and reporting of all aspects of risk and compliance related activities concerning legislative and regulatory changes impacting business processes.o Identifying key risks and implement process controls to ensure compliance by businesso Proactively work with the business and projects / technology team in the effective improvement in quality & risk process that enables business to meet its risk management governance requirements.o Develop new or revised procedures arising from new obligations, systems or policy changes or process improvements.o Training staff globally in new or revised procedures.o Develop LS global risk profile in line with enterprise risk framework.o Assess, test and report on adherence to key risk items identified for BU.o Proactively manage the user access / security administration function for core systems.

Melbourne, Australia

o Planning and management of risks with business units and supporting technology groups to identify, assess, develop and implement mitigation strategies for business and technology risks.o Identification of key risks and control objectives relating to clients' assets, liabilities and related transactions in the provision of custody, investment administration and unit registry services.o Design, implement and monitor key process controls to achieve compliance with Sarbanes Oxley 404 and GS007 (AGS 1026 prior to 2009) Guidance Statement.o Perform reviews of key regulatory obligations (e.g. SIS Act, ASIC Act, Corporations Act, Insurance Act, APRA, AMLCT, Privacy Act, etc) and key obligations arising from policies and client agreements, which must be met by the business.o Monitor and report non-compliance with these obligations and how breaches and incidents are to be handled including escalation and reporting.o Manage Business Continuity Program (BCM) design to ensure that major elements of Business Continuity (BC) and IT Disaster Recovery (DR) are addressed, reviewed and tested in line with the BCM Policies.o Monthly Risk and Compliance reporting to Risk Management Committee. o Key liaison person with second and third line of defence, external auditors, regulators, service providers and clients in risk and compliance management matters.o Perform reviews of technology and business project management plan and project deliverables to reduce risk of project delays, budget overrun and compliance to System Development Life Cycle Methodology.o Conduct risk management review to deliver a more robust IT and business risk management framework, tools and techniques whilst enhancing existing risk management practices and procedures.

Melbourne, Victoria, Australia

Malaysia

Head IT Audit

Post Grad Diploma Ecommerce, Risk Management, Ecommerce

Bachelor Of Science (Bsc), Computing And Accounting