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Hello, I'm Sunny C.

Details

  • Professional CategoryCompliance & Risk Management
  • Location
  • Years of Relevant Experience15-20 years
  • Seniority LevelMid-Senior level

Experience

Vice President, Lead Independent Testing Officer

Wells Fargo BankNovember 2019 - August 2025 Acted as an Engagement Manager or Lead, conducted second line of defence compliance and operational risk testing for the Wells Fargo’s international businesses throughout APAC and EMEA regions to independently assess adherence to regulatory and internal policy requirements and evaluate the design and effectiveness of business controls.  Also conducted issue validation activities to verify the corrective actions addressed the root cause and mitigated recurrence of the issue, and the overall resolution of the issue was sustainable and comprehensive.  Focused on Regulatory Compliance risk, Financial Crimes risk and Operational risk, led and managed compliance testing activities on Risk Management Framework, Market Misconduct and Surveillance, Anti-Money Laundering (AML), Anti-Bribery & Corruption (ABC), Account Opening, Bookbuilding activities, Cross-Border activities, Outsourcing, Privacy, Business Continuity Plan (BCP) etc. to ensure compliance with the HKMA, SFC and MAS regulatory requirements.  Managed research of compliance requirements and risk assessment information to determine potential testing areas for the annual plan and test schedule development.  Collaborated with front-line and risk management stakeholders to facilitate awareness of testing activities, reporting results, and any items requiring action.  Reviewed and approved engagement tasks, and provided supervision to the team of four members to ensure the engagement was properly scoped and executed, and milestone dates were met.  Monitored and managed resource utilization and provided performance evaluation and feedback to the team.

Vice President, Compliance Consultant

Wells Fargo BankJuly 2015 - November 2019 Implemented the compliance framework to comply with the APAC regulatory requirements issued by e.g. HKMA, SFC and MAS as well as the enterprise standards for addressing the issue raised by the regulator in its compliance consent order.  Oversaw the build-out of a system of record to house a comprehensive list of regulatory requirements relevant to the APAC businesses and updated the policies and procedures to align with the applicable regulations.  Implemented adequate compliance controls for business teams to prevent or detect any non compliance issues.  Established compliance monitoring programs and conducted compliance and control reviews to assess the effectiveness of the program and identify areas for improvement.  Collaborated with business teams and provided advisory support in relation to regulatory compliance related matters.  Performed verification on the Customer Due Diligence (CDD), Know Your Client (KYC) and name screening during the transition of customer accounts, after the completion of the acquisition of GE Capital’s Commercial Distribution Finance (CDF) business in APAC.

Industry

  • Financial Services

Specific Jurisdictions That I'm Qualified In or Can Cover

Hong Kong S.A.R.

Language(s)

  • English
  • Chinese
  • Cantonese

Education

The Hong Kong Polytechnic University

DegreeAccountancy -

I am interested in

  • Professional / Business Networking
  • Career Opportunities
  • Providing Services based on my Expertise