Protiviti Contact

Protiviti Contact

Sue Ling Yip

Associate Director

PROFESSIONAL EXPERIENCE

Sue Ling has over 20 years of international and local experience in the banking and financial services industry. She is a regulatory compliance and anti-money laundering subject matter expert, and her experience also encompasses front line operations as well as the management of enterprise compliance programs, internal audits, investigations and remediation project. Her background also includes operational and enterprise risk management. 
Prior to joining Protiviti, Sue Ling was part of the Audit Division and the Global Anti-Money Laundering (GAML) groups at one of the Big 5 Canadian banks. Other past roles include Chief Compliance Officer for a global commercial bank, Compliance Examiner for a Canadian regulator and AML Program Lead for a global bank. 

MAJOR PROJECTS

  • Acting Chief Compliance Officer for one of the world’s largest commercial bank, which included managing the remediation project related to a regulatory enforcement action.
  • Performed the audits of the RCM and AML Programs for a number of FRFIs (effectiveness testing).  
  • Founding board members of the Association of Certified Financial Crimes Specilaist (Toronto Chapter).
  • Project Lead for the implementation of a North American Bank’s Regulatory Library to support the Compliance Risk Assessment and Regulatory Compliance Management (RCM) Program.
  • Designed and executed the AML Inherent Risk Assessment methodology for a financial institution focused on alternative lending solutions.
  • Established and managed the Anti-Money Laundering testing program (AML/ATF, Sanctions and ABAC) of a large global bank, including design of the risk-based methodology, framework and testing requirements.
  • Member of the Committee responsible for establishing the AML Monitoring and Testing Target Operating Model at a large global bank.
  • Assisted the largest Canadian insurance company to review and enhance their AML Program.
  • Acted as the regulatory compliance liaison during regulatory reviews for a number of foreign authorized banks.
  • Acted as the Lead on regulatory compliance projects for multiple banks and provided support to executive management in the establishment of Compliance and AML frameworks.
  • Worked as a regulatory examiner performing reviews of banks, asset management and capital markets firms. 
  • Created and delivered AML Compliance training for senior executives and board of directors for various financial institutions.

AREAS OF EXPERTISE

  • Anti-Money Laundering
  • Regulatory Compliance
  • Internal Audit
  • Enterprise Risk Management

INDUSTRY EXPERTISE

  • Financial Services
  • Banking and Capital Markets
  • Pharmaceutical
  • Public Sector

EDUCATION

  • Diploma of Accounting & Finance

PROFESSIONAL CERTIFICATIONS

  • Certified Anti-Money Laundering Specialist (CAMS)
  • Certified Financial Crimes Specialists (CFCS)
  • Certified Fraud Examiner (CFE)
  • Certified Information Systems Auditor  (CISA)
  • Certified in Risk & Information Systems Controls (CRISC)
  • Member of the International Association of Privacy Professionals (IAPP)
  • Member of the Institute of Internal Auditors (IIA)