Sher Huey Lee Email & Phone Number

• Led the design and implementation of the surveillance enterprise platform to automate the sales and advisory review
• Developed and conducted surveillance review surrounding the sales and advisory process to assess that Front Office and Product Management Group staff meets the regulatory requirement and internal policy requirements;
• Reviewed and designed framework and methodology to align with the regulatory or market environment;
• Prepared statistical and quarterly reporting to senior management;
• Conducted email and endpoint content monitoring activities to identify potential data losses

Singapore

• Developed and conducted reviews in order to detect fraud, churning and unethical agents’ misconduct;
• Conducted compliance training on common agents’ misconduct and enforcement action taken;
• Prepared statistical and quarterly misconduct reporting to Agency Department and Management Team;
• Performed annual updates of Market Conduct Guidelines and Investigations Procedural Manual;
• Liaised with both internal (Group Internal Audit) and external (MAS, PWC) parties including regulatory inspections;
• Developed Service Quality Toolkit in line with Group’s effort to be customer centric.

Singapore

• Actively involved in the establishment and alignment of the department’s Anti-Money Laundering / Counter-Terrorism Financing (“AML/CFT”) and FATCA procedures;
• Drafted and performed annual updates of the department's SOP and policies such as Personal Data Protection Policy and AML Policy;
• Advised business units on regulatory compliance matters, including aiding in the clearance of potential AML / CFT hits as well as identification of ultimate beneficial owners of corporate companies;
• Conducted ongoing due diligence for Brokers / Service Providers in accordance to MAS Outsourcing Guidelines;
• Conducted training to business unit on FATCA, AML/CFT procedures, PDPA, Outsourcing and TSOFA;
• Established, evaluated and strengthened the internal controls procedures and systems;

Singapore

• Conducted due diligence work and ascertained effectiveness of existing controls surrounding the premiums, claims and cash management cycle of a distress insurance company;
• Evaluated adequacy and effectiveness of internal controls in an overseas’ asset management, providing recommendation surrounding the investment, sales, finance, compliance and operations process;
• In an operational audit of the credit administration function, recommended timely reversion of temporary limits granted to avoid overexposure of the company by S$4.5 million;
• Assisted audit manager to perform fraud investigations.

Singapore

• Reviewed Consolidated Financial Statements prepared by Group Accountant of public listed companies;
• Exposed to many industries, including insurance companies (Ace Reinsurance, Great Eastern Reinsurance, GenRe), retail companies (Adidas) and shipping companies (Avra Shipping, Navigate Group);
• Evaluated the effectiveness of internal control policies concerning the preparation of financial statements.
• Analysed financial statements to identify trends and anomalies in financial data.
• Ascertained that there are adequate controls to ensure reliability of accounting and other information as a basis for producing accounts;
• Performed qualitative and quantitative analysis, including evaluation of industry and business risks;

Singapore

• Audited Multi-National Corporations and Public Listed Companies;
• Exposed in many industries, including asset management firms (ARA Asset Management), trading institutions (Hyflux Group) and property developers (CDL Group);
• Analyzed information, business processes and new systems of the client, identifying risks and key control activities;
• Assisted in the assessment of financial statement risk, identifying weaknesses and recommending solutions;
• Peruse journal and ledger entries of cash and check payments, purchases, expenses, and trial balances;
• Experienced in special audit assignments including equity fund-raising;

Malaysia

• Provided direct assistance to two senior consultants and directors of the firm, including taking on project management responsibilities for the core banking strategy project for a large regional bank;
• Involved heavily in performing vendor financial analysis in both the Request for Information (RFI) and Request for Proposal (RFP) stage;
• Conducted various business case analyses, including a comprehensive cost benefit analysis for a regional bank;
• Prepared weekly financial reports for senior management and the client;
• Involved in the analysis of the impact of the FRS rules and regulation on the requirements of the core banking system of a major client.Selected Achievements –
• Vendor Financial Analysis o Analysed financial performance of vendors through cost ratio analysis and benchmarking against industry averages; o Responsible for scoring vendor performance and providing ratings for the.

Associate'S Degree, Accounting And Finance

Bachelor Of Science In Applied Accounting

Association Of Chartered Certified Accountant, Accounts

Certified Accounting Technician, Accounts