Hong Kong SAR
Roy has over fifteen years of professional experience, providing services that include internal controls reviews for listing applicants and listed companies, Sarbanes-Oxley advisory projects, contract risk and compliance reviews, internal audit co-sourcing and outsourcing, and internal controls and operational reviews. He has extensive financial auditing experience, especially for manufacturing clients, before joining Enterprise Risk Services. His clients included recreation and entertainment, telecommunications, construction, manufacturing businesses and government-sponsored organizations.
- consulting small business owners, analysing and remediating their internal controls weaknesses and providing suitable remedial actions; - Assisting small business owners with their customer generation and client retention programs
Sarbanes-Oxley (“SOX“) 404 Readiness/Attestation • Lead and supervise a team of ten to execute SOX attestation projects for a US listed conglomerate covering entity level controls, financial reporting, and business level controls and report verbally and in written correspondence to client's upper management FCPA Compliance • Executed FCPA audits for US Listed Corporations. Industries included pharmaceutical, manufacturing and a world largest data center & colocation provider Internal Controls Due Diligence • Lead and supervised twenty-nine (29) PN21 internal controls due diligence exercises to identify controls deficiencies and reported to Audit Committee for management to take remedial actions. Industries include FMCG business, real estate (HK & PRC), manufacturing, energy and resources, and financial securities. Business processes typically cover revenue, expenditure, fixed assets, human resources, legal, taxes and general IT controls Process Improvement Reviews • Lead and supervised more than twenty IC reviews for two government-sponsored research organizations and provided process improvement and value-added recommendations Contract Risk & Compliance • Performed and implemented local and regional software license compliance programs for global software firms. Performed pre-review customer targeting, data-mining and license entitlement analysis, on-site and remote execution at a wide range of third party multi-national corporations and local entities. Assisted with revenue collection for cases of non-compliance Development of Corporate Policies and Internal Controls Procedures • Lead and supervise a team to draft policies and procedures for a HK/PRC real estate company, processes include land acquisition, project Initiation, tendering process, procurement, sub-contractor/consultant monitoring, project management (including project budgeting and monitoring)
Financial Auditing for various industries including manufacturing, electronics, real estate and etc.