Wan Chyi Lee (李婉琪）
Head, Group Legal & Compliance
56, Jalan Setia Damai U13/14A, Setia Alam,,Selangor
Summary
Performance-driven strategic thinker, problem solver and leader with 17 years of experience aligning systems with business requirements, policies and regulatory requirements. Passionate in applying excellent organization and communication skills to manage and lead teams in compliance review methodology framework for effective management of compliance risk across the bank, performing thematic monitoring review such AML/CFT, personal data protection, complaints handling and etc. Demonstrated ability to exercise outstanding independent judgment, decision making, creativity and initiative. Results-oriented in interfacing and consulting on business processes that drive results based on sound overall business judgment.
Overview
3
3
Languages
21
21
years of post-secondary education
17
17
years of professional experience
Work History
Vice President, Group Legal & Compliance
CIMB Bank Berhad
Kuala Lumpur, Malaysia
07.2017 - Current
- Involved in establishing compliance review methodology framework for effective management of compliance risk across the bank.
- Facilitate and participate in periodic compliance risk assessment exercise to develop yearly compliance review and testing plan for Consumer Banking’s portfolio prior to submission to Head of Compliance Monitoring.
- Planning and manage Consumer Banking’s compliance review and testing plan. The coverage includes Consumer Banking’s Head office functions and Sales Distribution Channels such as Mobile Sales Forces, Auto Finance Service Center, Currency Exchange center, Retail Telemarketing and etc.
- Providing advice and guidance to the business on necessary actions to achieve regulatory compliance
- Involved in performing thematic monitoring review such AML/CFT, personal data protection, complaints handling and etc.
- Facilitate the resolution of the observation/findings raised by coordinating the meeting with internal and external stakeholders to ensure effective action plans are put in place to prevent reoccurrence of same compliance breaches going forward
- Tracking and monitor on the completion of action plan and escalate to senior management if there is any delay.
Assistant Vice President, Internal Audit
United Overseas Bank (UOB)
Kuala Lumpur, Malaysia
07.2009 - 07.2017
- Auditor- in- charge for Credit Risk areas in the independent review conducted on the bank’s ICAAP.
- Conduct Basel II Internal Validation Process of IRB Models Audit. Covered PD, LGD and EAD Models for Retail Portfolio (Personal Financial Services & Retail SME) and Institutional Financial Services Portfolio (IPRE).
- Involved in wholesale banking and Business Banking Use Test Audit to ascertain credit limit setting had considered IRB estimates and stress testing is in place to cover all possible unfavorable shift.
- Involved in thematic review on Anti Money Laundering (AML) for Retail portfolio covering amongst others, governance and processes, CDD during on boarding/ on-going reviews/trigger events, name screening, transaction monitoring, record keeping and staff training.
Assistant Manager, Assurance & Business Advisory
KPMG China (Hong Kong Office)
Hong Kong, China
02.2008 - 04.2009
- Senior-in-charge for Oerlikon Group, Wowee Limited, Acrathon Precision Technology Limited and the subsidiaries of Shenzhen Airlines Limited, as well as Deckers Asia Pacific Limited.
- Involved in Sarbanes Oxley (SOX) Act compliance engagement for China Grentech Corporation Limited.
Audit Senior, Assurance & Business Advisory
KPMG
Kuala Lumpur, Malaysia
04.2004 - 02.2008
- Senior-in-charge for a number of large companies. Work scope covered job planning, control evaluation, reviewing work of team members, review of consolidated accounts, identifying and resolving audit and accounting issues with client and managers.
- Involved in some special engagements such as IPOs. Responsible for preparing the long form accountant report and proforma consolidated balance sheet for the inclusion in the prospectus of Cognis Oleochemicals (Malaysia) Sdn Bhd, performed review engagement also agreed upon procedures.
- Seconded to the Corporate Tax Department for six months where was involved in preparation of tax computations for companies such as Maersk Logistics Malaysia Sdn Bhd, Orix Rentec (M) Sdn Bhd and Huolon Corporation (M) Sdn Bhd
Education
Advanced Certification in Regulatory Compliance -
The Asian Institute Of Chartered Bankers (AICB)
Kuala Lumpur 01.2019 - 12.2019
Advanced Certification in AML/CFT (Distinction) -
The Asian Institute Of Chartered Bankers (AICB)
Kuala Lumpur 01.2018 - 12.2018
Certificate in Regulatory Compliance (Distinction) -
The Asian Institute Of Chartered Bankers (AICB)
Kuala Lumpur 01.2017 - 12.2017
Certi. in Internal Auditing For Financial Inst. -
The Asian Institute Of Chartered Bankers (AICB)
Kuala Lumpur 01.2010 - 08.2010
Member -
Malaysian Institute Of Accountant
Kuala Lumpur 12.2004 - 12.2007
Admitted As Certified Public Accountant -
The Malaysian Inst. Of Certified Public Accountant
Kuala Lumpur 06.2004 - 08.2007
Bachelor of Accounting (Hons) - CGPA 3.5/4.0 - Accounting
University Of Malaya
Kuala Lumpur 06.2000 - 04.2004
Sijil Pelajaran Tinggi Malaysia (STPM) -
Jit Sin High School
Penang 01.1992 - 11.1999
Skills
Document review
undefinedPersonal Biodata
Date of Birth : 19 January 1980
Height : 156 cm
Weight : 53 kg
Nationality : Malaysian
Race : Chinese
Religion : Buddhist
Marital Status : Married
Timeline
Advanced Certification in Regulatory Compliance -
The Asian Institute Of Chartered Bankers (AICB)
01.2019 - 12.2019
Advanced Certification in AML/CFT (Distinction) -
The Asian Institute Of Chartered Bankers (AICB)
01.2018 - 12.2018
Vice President, Group Legal & Compliance
CIMB Bank Berhad
07.2017 - Current
Certificate in Regulatory Compliance (Distinction) -
The Asian Institute Of Chartered Bankers (AICB)
01.2017 - 12.2017
Certi. in Internal Auditing For Financial Inst. -
The Asian Institute Of Chartered Bankers (AICB)
01.2010 - 08.2010
Assistant Vice President, Internal Audit
United Overseas Bank (UOB)
07.2009 - 07.2017
Assistant Manager, Assurance & Business Advisory
KPMG China (Hong Kong Office)
02.2008 - 04.2009
Member -
Malaysian Institute Of Accountant
12.2004 - 12.2007
Admitted As Certified Public Accountant -
The Malaysian Inst. Of Certified Public Accountant
06.2004 - 08.2007
Audit Senior, Assurance & Business Advisory
KPMG
04.2004 - 02.2008
Bachelor of Accounting (Hons) - CGPA 3.5/4.0 - Accounting
University Of Malaya
06.2000 - 04.2004
Sijil Pelajaran Tinggi Malaysia (STPM) -
Jit Sin High School
01.1992 - 11.1999
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