Mark T.

Appointed by UOB Group in Singapore and relocated to Hong Kong to lead the independent Internal Audit function, reporting functionally to Group Audit and administratively to the Hong Kong CEO. • Own the complete audit universe across Wholesale Banking, Private Banking, Global Markets, Technology, Operations, Finance, Corporate Services, Compliance, AML and enterprise risk functions, together with audit coverage of UOB Taipei Branch. • Direct a core Hong Kong team and assemble multidisciplinary engagement teams from Group Audit's regional pool of credit, financial crime, markets and technology specialists, delivering at least six risk-based audits annually. • Approve annual risk assessments and audit plans, engagement resourcing, audit files, issue ratings and reports; oversee root-cause analysis, remediation follow-up and closure validation. • Rebalanced the 2024-2025 audit plan toward Private Banking growth, wealth-management conduct and source-of-funds risk, securing senior-management and Group Audit support for the revised coverage. • Identified a significant breakdown in the governance of a Commercial Banking-Private Banking client initiative. A lookback found 12 borrowers with similar vulnerabilities; presented the implications to the CEO and Management Committee and negotiated substantive action plans with the Wholesale Banking COO. • Participate in monthly Hong Kong Management Committee and Risk and Compliance Committee meetings and maintain regular engagement with the CEO and senior executives on emerging risks, audit results and remediation priorities. • Lead responses to HKMA and SFC enquiries directed to Internal Audit and serve as UOB Hong Kong's HKMA-registered Manager under section 72B for Internal Audit. • Build team capability through targeted development, including formal training and supervised work with Group subject-matter specialists.

Led regional audit coverage and risk assessment for UOB's international network across 13 overseas branches in Asia, Europe and the Americas. • Directed multi-jurisdiction audits across wholesale banking, Global Markets, regulatory compliance, AML/CFT, treasury, liquidity, market risk, payments, settlement and financial accounting. • Assessed locally executed business activities alongside material technology and operations services hubbed to Singapore, intra-group outsourcing and local third-party arrangements. • Covered six Global Markets centres with locally licensed Trading and Sales desks, evaluating front-to-back governance, trading, funding, settlement and risk controls. • Developed and executed R-based analytics over full datasets from core lending systems, Murex and SAP, increasing population coverage and reducing audit effort by more than 10% based on mandays. • Personally designed analytics reconciling SAP payments to outsourcing and third-party registers, identifying undeclared providers for which risk assessment and due diligence had not been completed. • Shared the audit logic and required control outcome with Non-Financial Risk Management while preserving management ownership, supporting implementation of a bank-wide reconciliation control that Internal Audit independently validated. • Coordinated audit responses to overseas regulatory inspections and queries across local management, Group stakeholders and subject-matter specialists.

Led regulatory, compliance and technology audit coverage within a systemically important market-infrastructure environment. • Directed audits across enterprise risk management, AML/CFT, market surveillance, technology, data privacy, outsourcing, procurement and operational resilience. • Managed senior-management and Audit Committee relationships, presenting significant governance, control and investigation outcomes. • Led application and infrastructure reviews spanning SAP, trading platforms, UNIX and Windows environments, Oracle and MS SQL databases. • Conducted investigations into governance lapses and procurement fraud and reported significant findings to the Audit Committee. • Audited business continuity management, IT disaster recovery, data-loss prevention and third-party arrangements.

Performed regional technology audits across investment-banking front-, middle- and back-office platforms and digital algorithmic-trading environments. • Assessed application, infrastructure, information-security and outsourcing controls across Asia. • Conducted physical-security reviews of data centres in Beijing and Taipei. • Evaluated control environments against regulatory requirements in Singapore, Hong Kong and mainland China.

Conducted risk-based technology audits covering IT general controls, business processes, system implementations and external-audit support. Managed engagements, coordinated cross-functional stakeholders and coached junior auditors.

Built foundational experience in IT general controls, business-process reviews, pre-implementation assurance and SOX 404 assessments across varied client environments.