Shu Yang
Legal Compliance at Gates Corporation
- Role
- Compliance Manager at Gates Corporation
- Location
- Denver, CO, US
- LinkedIn followers
- 500 followers
About Shu Yang
Shu\'s specific experience and capabilities lie within legal compliance program management, hotline investigations, third-party due diligence, sanctions and export control compliance, training program design, transformation initiatives of organizational process improvement, new procedures implementation, and technical solution integration. She has been successful in leading several key initiatives in the areas of communication, knowledge transfer and strategic execution by utilizing strategic thinking, problem solving and quick learning.Core Competencies:Ethics and Compliance | Hotline Investigation | Third Party Due Diligence | Sanctions Compliance | Strategic Thinking | Change Management | Project Management | Training and Development | Business Process Improvement | Strategic Communications/Business Case DevelopmentIndustry Experience:· Start-Ups, Public Companies and Multi-National Companies (Fortune 500) in China and U.S.· Manufacturing· Financial Services · Education· E-Commerce/Online Retail
Experience
Compliance Manager
Mar 2022 — Present · Denver, CO, US
Due Diligence and Sanctions Compliance Program• Reviews third party diligence questionnaire submissions, assesses third party risks and determines enhanced diligence requirements• Provides guidance to operational and commercial groups on outcomes of due diligence results• Sources and integrates denied party screening and due diligence systems • Trains on, develops operating procedures for, and resolves issues relating to Global Sanctions Compliance and Business Partner Due Diligence Program• Provides export control regulatory (e.g, EAR) guidance to commercial, marketing, product development and operational functions Legal Compliance Policies and Procedures• Drafts and reviews policies on key legal compliance topics, including Code of Conduct, Anticorruption, Gift, Anti-discrimination and Anti-harassment, Conflicts of Interest, and Human Rights• Develops operational compliance procedures and work instructions for key contacts responsible for day-to-day compliance activities • Develops, messages and executes compliance process updates as regulations require change to business transactionsLegal Compliance Training• Sources, designs and implements legal compliance training courses • Develops and delivers anti-corruption, Code of Conduct and other compliance trainings to employees and third parties annuallyHotline Investigation• Conducts investigations on hotline reports received from global entities and presents investigative findings and corrective actions to leaderships • Provides guidance to investigators on internal investigations approachData Privacy ComplianceLegal Budget Management
Education
East China Normal University
Bachelor in Management, Public Administration (Concentrated in Educational Management)
2008 — 2012
University of Denver - Daniels College of Business
Master of Science (M.S.), Management, Business
2012 — 2014
University of Denver
Master of Science (M.S.), Strategic Human Resources Management
2015 — 2017
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