Experienced Director with more than 10 years of experience in the financial crime compliance, internal audit, internal controls and regulatory compliance covering various processes such as fund management, investment, treasury, finance and accounting, human resources/payroll, Anti-Money Laundering (“AML”) and Know Your Customers (“KYC”) and regulatory, regulations gaps analysis for numerous global financial institutions, insurance and fund management companies.
She has successfully led internal audit assignment, compliance reviews as well as AML/KYC work in the financial crime compliance (“FCC”) space in the Asia Pacific and Greater China regions.
Prior to joining GT SG, she worked with a big four accounting firm, as well as in the training and development team for one of the Singapore’s largest insurance distributor.
Some of Pauline's experience includes:
- Performed internal audit reviews on a wide spectrum of processes through execution of yearly internal audit plan for numerous global financial institutions, insurance and fund management companies against MAS regulations/ requirements, including Compliance, AML/CFT, Outsourcing, etc.
- Led a team to perform an audit inspection of a regulatory audit for one of the licensed financial advisory firm in Singapore, wholly owned a leading insurer. The scope of work includes validation of the management actions committed to the regulator, assessing the sustainability of the management actions by identifying associated/existing controls that mitigate the risks and observations/findings as well as validation of the design and operating effectiveness of the identified controls.
- Led a team to assist in the establishment of new workflow processes and procedures and updated guidelines in accordance with the regulatory changes and worked closely with the global forex trading company headquartered in the United States to identify gaps and provide recommendations and actions plans for adherence to the regulatory requirements.
- Successfully performed and led internal audit reviews on business and operational processes in a leading Singapore-based oil and gas company headquartered in UAE as well as a commodities derivatives exchange in Singapore.
- Led a team to perform a Joint venture (JV) audit review to check compliance to the shareholders’ agreement & service agreements and dry-docking cost against the time charter contracts for a leading oil and gas company headquartered in Singapore.
- Part of the key working group to assist one of the world largest multilateral development bank (“MDB”) headquartered in Greater China, which the team has successfully led the bank to achieve its first Internal Control over Financial Reporting (“ICFR”) certification within 18 months. The scope of work spans across bank wide processes such as investment, treasury, loan administration, human resources and payroll, special funds, procurement, information technology general controls, entity level controls and all financial related processes.
- Was previously seconded to one of the global top tier banks headquartered in the United States to drive various projects across different market and segments in client onboarding process, and also performed periodic reviews to ensure conformity to AML standards, including client risk assessments, due diligence analysis, in addition to remediation work to correct audit findings at the back of a regulatory audit/inspection conducted by MAS. She was also involved in performing source of wealth/fund validation as part of the AML/KYC work for private banking clients.
Qualifications
- Bachelor Degree in Economics and Finance
- Diploma in Law and Management
- Member of the Institute of Internal Auditor (IIA)
