Doris Lam

Doris is a director at Protiviti Hong Kong,  with over 15 years of experience in providing internal audit and risk management consulting services in Hong Kong and China. She has extensive knowledge in business process improvement, Sarbanes-Oxley and financial reporting controls compliance, financial due diligence and licensing audit. She has served key clients, including Chow Tai Fook Jewellery Group Ltd., DFS, Chanel, Techtronic Industries, Vistra Group Holdings (BVI) Ltd., Quality Healthcare Medical Services Ltd., PineBridge Investments and Silverhorn Group.

Major projects

• Led internal audit projects for MNCs and listed companies in Hong Kong to assess the internal control effectiveness of major operation procedures. Key services delivered included planning and conducting internal audit reviews, providing recommendations to clients on how to enhance the internal control system, and reporting findings to management and the audit committee
• Led the Hong Kong team in the development of the audit technology solutions, including implementation of the audit platform and deployment of various audit tools. Also provided internal audit transformation consulting services to assist the client in upscaling the internal audit function by leveraging various analytical tools (e.g., process mining tools) and establishing monitoring dashboards to achieve continuous auditing and monitoring
• Provided consulting services to clients for the transformation of their governance, risk and compliance function to enhance the agility, scalability, and sustainability of the GRC operation
• Led various process improvement review projects using process mining tools to provide process transparency for analysis, identify process inefficiencies or other process enhancement opportunities, and explore how process mining tools can add value to process optimisation
• Provided compliance review services related to the requirements of Section 404 of the Sarbanes Oxley Act 2002 for US-listed clients. The scope of services included risk assessment and scoping, process documentation, control assessment, control testing,  remediation recommendations and project management. Also led pre-IPO internal control review engagements to assist the listing applicants (including clients in the aesthetic medical industry) in improving their internal control systems before listing in Hong Kong.

Education

• BBA in Finance and Marketing, Hong Kong University of Science and Technology

Industry expertise

• Retail and consumer services
• Manufacturing and distribution
• Financial services

Areas of expertise

• Internal audit and financial advisory
• Governance, risk and compliance
• Business process improvement

Professional memberships and certifications

• Member of the Hong Kong Institute of Certified Public Accountants (HKICPA)
• Member of the Institute of Internal Auditors