Connie Chan

WORK HISTORY

EDUCATION

SKILLS

ABOUT CONNIE CHAN

SummarySelf-motivated and dedicated audit professional with distinguishing career in conducting risk-based and integrated audits across various areas. Demonstrated ability to work independently and as a team member to successfully achieve project goals and objectives and to drive value-added results.Core CompetenciesProficient in Microsoft Office, Visio, Lotus Notes, IDEA, ACL, Teammate and AutoAuditKnowledge of Sarbanes-Oxley Act (SOX)Knowledge of COSO frameworkKnowledge of financial crime and consumer related laws, rules and regulationsValuable and innovative team player. Key AccomplishmentsAwarded the Outstanding Individual for contributing to the \"Strong\" rating from OCC and the successful validation and closure of all Articles within the bank\'d Consent Order with the OCC.Awarded the Employee of the Quarter for contributing to the team by volunteering to lead two complex audits and delivered value added results.Participated in an advisory role in the development of a bank-wide Sarbanes-Oxley Act (SOX) 404 risk-based assessment program. Assisted participants in the pilot programs in assessing inherent risks, evaluating mitigating controls and developing self-assessment test scripts to ensure residual risk are adequately managed.Acted as a Compliance Advisor to the General Manager of the North America operations. In consultation with both internal and external counsels, developed a U.S. Compliance Manual detailing all applicable consumer regulations as well as BSA/AML/KYC, OFAC Sanctions, and Anti-Bribery Act.Assisted in developing and implementing audit standard operational procedures in accordance with the IIA Standards and Practices and the COSO Framework.Assisted in developing and implementing standardized audit programs, audit report format and audit charter.