Connie Chan
New York City Metropolitan Area,United States
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Connie Chan is a highly accomplished and seasoned professional with over 18 years of extensive experience in internal audit, regulatory compliance, risk management, and financial crime prevention within the global financial services industry. Holding prestigious certifications including Certified Internal Auditor (CIA), Certified Anti-Money Laundering Specialist (CAMS), and the advanced CAMS-Risk Management (CAMS-RM), Connie possesses a deep and practical understanding of complex regulatory landscapes, internal control frameworks, and sophisticated financial crime typologies. She has a proven track record of developing and implementing robust compliance programs, leading critical investigations, assessing and mitigating multifaceted risks, and advising senior leadership on strategic initiatives to enhance organizational integrity and resilience. Connie is recognized for her analytical acumen, leadership capabilities, and her commitment to upholding the highest standards of ethical conduct and regulatory adherence in dynamic and challenging environments.
Professional Summary
Connie Chan's work history includes a series of influential roles in various companies. Here is a detailed list of his professional journey:
Notable Achievements
Led Regional AML/CFT Program Enhancement
Successfully directed a comprehensive AML/CFT program enhancement across multiple jurisdictions in APAC for a multinational bank, significantly improving transaction monitoring effectiveness, KYC/CDD robustness, and overall regulatory compliance posture, leading to positive feedback from regulators.
Developed and Implemented Group-Wide Internal Audit Methodology
Pioneered and implemented a risk-based internal audit methodology across the group, aligning audit activities with strategic objectives and emerging risks, resulting in more impactful audit findings and improved operational efficiencies.
Spearheaded Financial Crime Risk Assessment Framework
Designed and rolled out an enterprise-wide financial crime risk assessment framework, incorporating advanced CAMS-RM principles, enabling the institution to proactively identify, measure, and mitigate exposure to money laundering, terrorist financing, and sanctions risks.
Successful Regulatory Examination Management
Effectively managed and coordinated multiple high-stakes regulatory examinations by bodies such as the Monetary Authority of Singapore (MAS) and other international regulators, ensuring transparent communication and timely remediation of any identified issues.
Educational Background
BBA, Accounting
Pace University - Lubin School of Business
Certificate, Echocardiography
Sanford Brown Institute - Year 2010
Certification, IT Auditing
New York University - Year 2009
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Company Overview
Bank of ChinaBank of China is one of the four largest state-owned commercial banks in the People's Republic of China. Founded in 1912 to replace the Imperial Bank of China, it is the oldest bank in mainland China still in existence. It provides a comprehensive range of financial services to customers across the Chinese mainland, Hong Kong, Macau, Taiwan and 60 other countries and regions. Its services include commercial banking, investment banking, insurance, and asset management.
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