Peter C Y Chan

Peter C Y Chan Email and Phone Number

Regulatory Risk Management, Risk Management, Compliance, Internal Audit, Project Management @ Bank of America
charlotte, north carolina, united states
Peter C Y Chan's Location
Hong Kong SAR, Hong Kong
About Peter C Y Chan

Experience in Hong Kong, London and Melbourne.Over 19 years international experience and is a results oriented, qualified Chartered Accountant with extensive experience in Risk Advisory, Audit, Accounting and Finance. With a Strong background in both a professional services and corporate environment. Key areas of expertise include Risk Management, Auditing, Accounting and Information Systems. Achieved a track record of success in delivering reports with key recommendations and implementation plans including the identification, assessment, prioritisation of business and operational risks. Strong leadership skills to motivate teams to achieve positive outcomes.Industries include: Financial Services, Telecommunications, Professional Services, Media, Health, Retail, Manufacturing and Transportation. Internal Audit: Eight years experience in internal audit in both professional services and commerce and industry for small to large companies within various industries such as financial institution, manufacturing, retail, services and health. Compliance: Specific engagements for group compliance within the transportation industry and Sarbanes Oxley requirements within the Financial Services Industry. External Audit: Four years experience with external audits for hospitals and universities. Risk Management: extensive experience in compliance, identifying risks and building controls. Accounting: Experience with financial reporting, management accounting and financial analysis.Specialties: Risk advisory

Peter C Y Chan's Current Company Details
Bank of America

Bank Of America

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Regulatory Risk Management, Risk Management, Compliance, Internal Audit, Project Management
charlotte, north carolina, united states
Website:
bankofamerica.com
Employees:
250057
Peter C Y Chan Work Experience Details
  • Bank Of America
    Director - Global Regulator Relations (Grr) Issues Management
    Bank Of America Feb 2020 - Present
    Hong Kong, Hong Kong Sar
    Responsible for managing Regulator findings for the APAC Region.
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  • Wells Fargo
    Compliance Management Consultant
    Wells Fargo May 2015 - Nov 2018
    Hong Kong
    • Delivering the APAC Regional Compliance Program (the Program) as a subject matter expert (SME). The Program defines the general framework within which the APAC Compliance and Financial Crimes Risk Management team operates to reasonably ensure that business lines covered by the Program comply with applicable laws, rules, regulations and internal policies. Working with International Group, business groups and non-U.S. regions and offices to provide compliance and risk expertise. Required strategic thinking with communication across all levels of management.• Identified and mitigated risks by developing appropriate controls through the SHRP system• Worked with the Compliance Policy team to update and write policies • Reviewed, advised and recommended improvements on policies based on Global, regional and country legal, regulatory and internal requirements.• Assisted the Control room in the effective management of key Control Room procedures Achievements• Successfully delivered the APAC Regulatory Compliance Risk Management (RCRM) program• Successfully identified and mitigated risks by developing appropriate controls and assisted the Control room in meeting tight deliverable dates for their reporting requirements for Personal Account Dealings.
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  • Barclays Uk
    Internal Audit Compliance Manager
    Barclays Uk Mar 2014 - Feb 2015
    Canary Wharf, London, Uk
    • Tested controls and agreed the results with the businesses• Worked with the Sub Process / control owners and agreed controls as needed• Documented processes and identified key controls• Obtained sign off from control / sub process owners• Managed SOX significant changes. Participated in SOX significant projects• Established and maintained business relationships with all stakeholders.Achievements Successfully completed various Sarbanes Oxley testing requirements.
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  • Rbc Capital Markets
    Internal Audit Manager
    Rbc Capital Markets Feb 2013 - Mar 2014
    Monument, London
    Audits performed:• Equity Finance• Anti Money Laundering (AML / KYC)• Libor • Swaps• Fixed Income Derivatives• Foreign Exchange Spot and Forward• Global Credit lending• Market risk• Money Market Funding and Liquidity• Repo• Structured Rates• Valuations GroupReviews and assesses the condition of controls against established criteria• Evaluate to verify controls meet established assurance objectives• Appraise the effectiveness and efficiency with which resources are employed to fulfil responsibilities• Maintain/review working paper evidence of the examination of controls• Develop/maintain up to date and comprehensive Audit Programs to guide the performance of reviews• Use appropriate techniques, including Business Intelligence Tools and CAATs to identify and ensure audit coverage of key business risks.• Identify control weaknesses and highlight areas for potential process improvements to audit clients.• Follow up with management for corrective action on significant deficiencies.Achievements Successfully completed internal audit and Sarbanes Oxley testing requirements.
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  • Lloyds Bank
    Sox Manager
    Lloyds Bank Aug 2012 - Feb 2013
    Bishopsgate, London, England
    • Tested controls and agreed the results with the businesses• Worked with the Sub Process / control owners and agreed controls as needed• Documented processes and identified key controls• Obtained sign off from control / sub process owners• Managed SOX significant changes. Participated in SOX significant projects• Established and maintained business relationships with all stakeholders.Achievements Successfully completed various Sarbanes Oxley testing requirements.
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  • Instinet Incorporated / Nomura
    Sox Consultant Internal Audit (Contract Role)
    Instinet Incorporated / Nomura Sep 2011 - May 2012
    Canary Wharf, London
    Performed necessary compliance work within the Sarbanes Oxley reporting requirements.
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  • Circle Health Ltd
    Internal Audit Consultant (Contract Role)
    Circle Health Ltd Jul 2011 - Sep 2011
    Marylebone, London, Uk
    Developed the internal audit function of a newly AIM listed organisation
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  • Thales
    Internal Audit Consultant (Contract Role)
    Thales Sep 2010 - Apr 2011
    Tower Hill, London, United Kingdom
    Perfomed all testing requirements of the Internal Control Questionaire (150 questions) to comprehensively cover business processes with Thales. Similar to SOX.
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  • Bbc
    Internal Audit Consultant (Contract Role)
    Bbc Mar 2010 - Jun 2010
    White City, London, Uk
    Perfomed internal audits as outlines in the internal audit plan, from planning, testing to reporting stage of the audit cycle.
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  • Scope
    Internal Audit Consultant (Contract Role)
    Scope Nov 2009 - Feb 2010
    London, United Kingdom
    Performed internal audits as outlined in the internal audit plan for the planning, testing and reporting stage of the audit cycle.
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  • Royal Brompton Hospital
    Finance Manager (Contract Role)
    Royal Brompton Hospital Apr 2009 - Nov 2009
    Chelsea, London, Uk
    Reporting to the Managing Director, Private Patients, performed analysis over potential new overseas markets that require cardiology and thoracic treatments. Business Analyst.
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  • Northern Health
    Financial Accounting Manager
    Northern Health May 2008 - Nov 2008
    Melbourne, Australia
    Work with a team of accountants to prepare financial accounts to be externally audited.
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  • Symbion Pty Ltd
    Internal Audit Manager
    Symbion Pty Ltd Feb 2007 - May 2008
    Melbourne, Australia
    Internal Audit
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  • Centro Properties Group
    Internal Audit
    Centro Properties Group 2005 - 2007
    Melbourne, Australia
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  • Kpmg
    Internal Audit Senior
    Kpmg Jan 2004 - Dec 2005
    Melbourne, Australia
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  • Victorian Auditor-General'S Office
    Internal Audit Senior
    Victorian Auditor-General'S Office 2000 - 2004
    Melbourne, Australia
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Peter C Y Chan Education Details

Frequently Asked Questions about Peter C Y Chan

What company does Peter C Y Chan work for?

Peter C Y Chan works for Bank Of America

What is Peter C Y Chan's role at the current company?

Peter C Y Chan's current role is Regulatory Risk Management, Risk Management, Compliance, Internal Audit, Project Management.

What schools did Peter C Y Chan attend?

Peter C Y Chan attended Chartered Accountants Australia And New Zealand, Deakin University, Ivanhoe Grammar School.

Who are Peter C Y Chan's colleagues?

Peter C Y Chan's colleagues are Irina Nifontyeva, Aneri Choudhary, Satheesh Kumar, Kevin Mcdevitt, Lawrence Pan, Marcel Bloomer, Brittany Broda.

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