Managing the internal audit function; communicating with audit committee, regulators and senior management; setting the strategy and leading the department;

Acted as the Head of IA to build up the team, managed outsourced vendor to execute audit plan and reg issues validation, maintained relationship with regulators and senior management, led meeting with regulators etc

managing regulatory exams and remediation validations, overseeing co-source service providers, delivering annual risk assessments and audit plans, reporting the results to executives management, enhancing audit methodology and building the team.

• Supervised various complex audit engagements covering Global Trade and Receivable Finance (GTRF), Commercial Bank (CMB) Credit Lending end to end process including IT, operation, credit risk, and delivered audit reports • Attended meetings with US regulators and responded to their exam requests and questions • Develop Annual Audit Plan and coordinated with other audit teams on resource, audit coverage and audit schedule• Provided audit support to Loan Syndication, Product Governance, Payment Cash Management Audits

• Participated in AML transaction monitoring audit project for a bank, reviewed alert disposition identified through Mantas system and provide recommendation to audit findings; Performed internal audit issue and regulatory issue validation on such as RDC policy implementation and Mobile banking ; Developed risk assessment;• Performed a model validation review of AML transaction monitoring system for a foreign bank. This included evaluation of conceptual soundness, completeness and integrity of data inputs and testing of model outputs, model maintenance and operational risks. Conducted review of the bank’s BSA/AML and OFAC compliance program, which consisted of a review of the bank’s risk assessment manual, OFAC Manual, Compliance Manual, alert review process, SAR monitoring and reporting process.• Supervised three audit staffs and performed home mortgage foreclosure reviews for a commercial bank. Identified prohibited fee and expense by State and GSE regulation through data analysis• Conducted a SOX compliance review for a commercial bank. Reviewed allowance for loan and lease loss process.• Executed a SOX compliance review for a hedge fund company. The audit entailed a review of the design and operating effectiveness of controls. This included conducting walkthroughs in order to understand and document processes and supporting applications. Key areas of focus included: pricing matrix accuracy and approval, reconciliation package review process, wire transfer approval process, management fee calculation, approval process and trade transaction process.• Performed internal audit for a private organization and focused on third party contracts compliance review. Identified process and procedures not compliance with contracts to save client from significant financial loss. Recommended action plan based on the issues and control weakness identified to improve operational effectiveness.

-SOX compliance implementation and testing-Internal audit-Social compliance audit-Process reengineering-Risk assessment

-Statutory Audit and IFRS reporting-SOX 404 Compliance Audit-Annual Financial audit for listed companies under HKIFRS and PRC GAAP-IPO Audit-M&A