Lam Nguyen

Experience

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  Deloitte Vietnam

  Aug 2003 - Aug 2007

  Audit and Enterprise Risk Services Senior

  Statutory Audit Services:- Conduct the audit assignment of the financial statements, prepare team planning event memorandum, time budget, conduct brief meeting;- Prepare audit strategy memorandum, identify significant accounts, calculate materiality;- Analyze client’s environment, financial position and result, develop audit programs to cover operational and financial areas based on the result of the analyzing; report audit findings; make recommendations for improvements and discuss audit issues with Management;- Assess the adequacy and effectiveness of internal controls in client operational procedures;- Timely review, supervise and instruct staffs’ performance for an effective audit;- Hold meetings with client’s management for accounting, auditing and business issues; provide according consultant advices for client’s accounting and business system;- Prepare consolidation package following group instructions and financial statements in conformity with VAS, IFRS;- A lecturer to train staffs of audit technique, knowledge and use of audit software Auditing System 2.Enterprise Risk Services:Internal audit services:- Review operations of all departments to ensure they are effective and in compliance with the company procedures, policies, and legal regulations;- Provide value-added recommendations to improve findings;- Prepare internal control reports;- Follow up corrective actions; Review general computer control: Review and test operating effectiveness of 10 elements of computer control environment and write report to the management. Show less

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  Coca Cola Sabco Vietnam

  Aug 2007 - Oct 2008

  Country Internal Auditor

  - Perform risk assessment, develop risk based internal audit plans and execute projects in accordance with the plans;- Conduct audits based on agreed time target and budget, ensure that audit work is completed and documented in accordance with required standards;- Write audit reports that include practical and value added recommendations to improve risk management practices;- Perform follow up activities of reported audit issues to ensure that recommended actions are done;- Provide advice for the improvement of efficiency and effectiveness of the standard operating procedures in all departments;- Training for new auditor;- Continue professional development by attend internal training, CIA, Group internal audit conference. Show less

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  Holcim Vietnam Ltd.

  Oct 2008 - Jan 2011

  Deputy Head Of Internal Audit Department

  - Support to develop risk based internal audit plan and execute projects in accordance with the plan;- Conduct audits based on agreed time target and budget, ensure that audit work is completed and documented in accordance with required standards/ internal audit methodology;- Review the internal control implementing/operating effectiveness as requirement from Holcim Group. - Perform ad-hoc investigating from CEO or Board of Director.- Write audit reports ;- Perform follow up activities of reported audit issues to ensure that recommended actions are done;- Provide advice for the improvement of efficiency and effectiveness of the standard operating procedures in all departments; Show less

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  Deloitte

  May 2010 - Oct 2012

  Manager - Enterprise Risk & Business Advisory Services

  • Managing and monitoring client portfolio, exploring the market via membership and visibility in professional and civic organizations; and to build relationship and communication with potential clients.• Engaging in Financial Auditing, Compliance & Internal Auditing, Business Process Reengineering, Internal Control System design and implementation, Contract Risk & Compliance review, and Consulting services. • Understanding on the risks in Southeast Asia and providing multinational clients with risk consulting services included compliance review, internal auditing, assessment of operations and internal control, and development of business processes as well as operation policies and procedures. • Involving in high level COSO\SOX based reviews of internal control systems and risk-based compliance & internal auditing projects and has experience in planning, conducting, and monitoring internal audit reviews across a range of industries.• Providing Compliance and FCPA services to Multinational Companies for their operations within Pharmaceutical, Education, Construction, Energy and Manufacturing, and I am also the engagement manager for an Internal Audit engagement with a leading manufacturing in the Asia Pacific region.• Leading the Business Process and Internal Control consulting project for a Multinational Alcoholic Beverages Corporation (Listed in UK and US), to perform the FIT/GAP analysis and operating effectiveness for 450 internal control activities including all areas of the business.• Conducting end to end ITGC review as Deloitte standard for significant information system involve organizations such as: Banking and Telecommunication. Utilizing ACL software to assist with SAP data extraction for audit sampling and internal control review. Show less

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  Prudential Vietnam Assurance Private Ltd.

  Oct 2012 - Sept 2015

  Head of Financial Crime - Compliance Department

  • Leading and monitoring the development of fraud and complaint monitoring system via data analytics tool to support the efficiency and effectiveness of the fraud preventive mechanism.• Cooperating with other compliance functions to develop compliance strategy and annual compliance plan based on a comprehensive risk-based approach to address all the compliance and financial crime risks.• Monitoring and cooperating with other functions such as: Business Intelligent Unit, HR, Sales and Legal to maintaining the company fraud risk analysis database and conducting the investigation of significant fraud cases, propose action plan and follow up action.• Developing methodology and managing the nationwide project team to conduct mystery shopping, spot check and internal audit of sales events, new agent trainings and 160 General Agency offices to ensure that they are complied with local law and company requirements.• Developing and conducting of fraud and anti-bribery and corruption training for all 1,600 employees and high-risk staffs annually via both online and face to face training.• Engaging with National Police Academy and Regional Financial Crime team to provide specialty training for both frontline staffs and claim investigators in the areas such as: interview skill, fake signature recognition, fraud investigation. • Representing Compliance Department to lead the product suitability project to ensure that the financial solutions are met the customer needs and prevent to risk of mis-selling.• Conducting advisory projects such as: development of early warning red flag to prevent and detect fraud at all areas of operation, development sales force fraud investigation methodology, know your agent, General Agency Enhancement.• Managing of Gift and Hospitality log and approval system in compliance with Regional and Global Compliance Standards. Show less

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  AIG

  Sept 2015 - Jun 2017

  Country Compliance Officer

  • Maintaining and ensuring the effective implementation of Compliance policies and execution of the compliance program through the provision of risk assessment, internal control and business process development, compliance review and training to meet compliance requirements. • Conduct compliance monitoring and testing and report its findings to Management, Audit and Risk Committees in accordance with prescribed methodologies. Monitor progress and support management during the implementation of agreed action plans with high quality and timely. • Collaborating and engaging with stakeholders on the development and implementation of key business initiatives; acting as an advisor for compliance issues and support front-line teams in day-to-day potential high-risk activities such as: money laundering, economic sanction, and bribery/ corruption.• Raising compliance awareness, ethical integrity and conduct via online and offline training/ testing for more than 400 employees with topics cover all areas of compliance such as: bribery and corruption, code of conduct, conflict of interest, privacy, money laundering and economic sanction.• Functioning as in country ‘point of contact’ for externally led examinations or visits and liaise with local regulators to ensure that the company is compliant with all government requirements, especially about quality and timely submission of all relevant compliance management reports. Show less

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  Self-employed

  Jul 2017 - Mar 2022

  Freelance Consultant
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  Mitsui Sumitomo Insurance Oceania

  Apr 2022 - now

  Risk and Compliance