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Work Background
CarUX, an InnoLux CompanyDirector, Internal Audit
Jul. 2024 - Mar. 2026- Lead enterprise-wide Sarbanes-Oxley (SOX) readiness and recurring internal control self-assessments. Collaborate with executive management to design and implement
appropriate internal control frameworks in satisfying both regulatory requirements and
operational efficiency.
- Collaborate with cross-functional leadership teams (e.g. Finance & Accounting, Legal, HR,
and IT) to design and implement Company’s Governance, Risk, and Compliance (GRC)
initiatives; and drive the integration of comprehensive policies and internal controls into
daily operations, ensuring alignment with corporate values and regulatory standards. Key
focus areas include: enhancing and streamlining the Code of Conduct and Anti-Corruption
frameworks, strengthening Supplier Management and Employee Engagement practices,
overseeing system migrations with embedded compliance protocols, ensuring adherence to
reporting requirements and audit readiness.
- Lead external consultants and solution providers (e.g., HCM systems, GRC platforms) in
designing and deploying tailored solutions that support the company’s transformation
initiatives.
- Coordinate the company’s enterprise risk assessment process, synthesize findings into
strategic insights, and deliver actionable reports to senior leadership. Recommend and
monitor mitigation plans to address key risks across production, logistics, and global
operations.
- Develop and execute the annual internal audit plan, including risk-based assessments and
auditing engagements across the company’s global manufacturing sites. Ensure audits are
conducted in accordance with industry standards, providing factual and practical
recommendations to enhance control effectiveness and operational resilience.
- Collaborate closely with Legal and HR teams to design and implement comprehensive
Whistleblower policies and procedures. Lead or support investigations into sensitive
matters, ensuring confidentiality, integrity, and compliance with regulatory and ethical
standards.
Uber/ Uber Eats TaiwanHead of Safety Operations
Feb. 2022 - Jun. 2024- Implement Global Safety Management System frameworks into local day-to-day business
operation, including roll-out safety standards/policies/ toolkits, design & execute training
and communication, identify key safety risks and develop risk de-escalation/ mitigation
strategy.
- Conduct specific subject matters’ risk assessment for new business initiatives, generate
risk mitigation strategy with measurable OKR/KPI for tracking and monitoring.
- Continue explore and propose clear path/solutions to safety risk and existing control
challenges to key stakeholders/ senior management as well as lead/ oversight cross-
functional project team to resolve the identified gaps.
- Ensure company’s operation are complied with national/ local governments’ safety related
regulation & guidelines by establishing local policies, documentation requirement and
integrating with global processes for operation efficiency.
ASML TaiwanInternal Control & Compliance Officer
Sep. 2021 - Jan. 2022- Led TW IC&C Team to drive internal control and compliance initiatives in Taiwan and
implement control & compliance framework in local business processes.
- Designed and roll-out various level of assessments, such as country overall risk
assessment, compliance maturity assessment, process & control assessment, to evaluate
company’s risk exposures.
- Enhanced overall compliance awareness of employees and providing guidance and training
on compliance matters within the organization.
- Established a balanced way of working within IC&C team and with business stakeholders in
order to drive compliance initiatives and maintain business operation efficiency.
Shopee TaiwanCompliance/ Project Management
Jun. 2021 - Aug. 2021- Accountable for initiatives to promote the awareness of ethics and integrity of employees
and enhance the compliance with company’s important policies.
- Worked with various business leaders, stakeholders to initiate, design and monitor the
controls and compliance of key business processes.
- Collaborated with Regional function and support local operation in creating and reviewing
the policies and procedures.
- Partnered with Human Resources, Legal to conduct investigations of non-compliance
matter, enforce disciplinary action and implement corrective/remediation action.
Johnson & Johnson TaiwanHealth Care Compliance Officer, Pharma
Oct. 2013 - Jun. 2021- Led Healthcare Compliance function and ensure business practices and activities are in
compliance with related internal guidelines, laws and regulation as well as anti-corruption,
privacy related requirements.
- Translated global strategies into regional and local execution plan in order to fulfill
extpection, and objectives for both top management and local operation.
- Served as a SME and provided advices as well as support business management to
implement adequate control mechanism in company’s strategic planning and innovative
initiatives.
- Established and chaired the Compliance Committee for business key decision-making and
provide adequate comments from control and compliance perspective to leadership team.
- Conducted risk assessment process to identify and define company’s risk profile.
- Reviewed local business processes and detected gaps and/or inconsistencies for
continuous improvement in overall control program.
- Carried out Due Diligence activities for company’s third party vendors/ business partners.
- Enhanced control and compliance environment by forming policies and SOPs, conducting
training and carrying out continuous monitoring.
- In conjunction with Corporate functions to conduct investigations of non-compliance
matters.
- Partner with Human Resources and Legal to enforce disciplinary action, and work with
business management to implement corrective/remediation plan.
Novartis AG, Asia Pacific Regional Office, SingaporeRegional Auditor
Feb. 2012 - Sep. 2013- Performed operational audits in 16 countries within Asia regions for following areas:
- Sales and marketing, Promotional practice, Clinical Trial, Finance, HR, and etc.
- Led global function/headquarter audits, includes Working Capital Management in Sandoz
headquarter and Credit Risk Management in Novartis headquarter.
- Facilitated and executed Asia Risk Assessment (including Australia, China, India, Japan,
Korea, Taiwan, Thailand, etc.)
- Completed Worldwide (100+ countries and sites) Financials Analysis for 2011 and 2012
Novartis Taiwan, Taipei, TaiwanBusiness Process Control Manager
Oct. 2010 - Jan. 2012- Designed and executed compliance self-assessment in accordance with IRPMA and global
guidance; identify possible control deficiencies and implement adequate remediation.
- Established compliance policy and procedures for promotional and scientific activities.
- Responsible for compliance review for cross-business units (e.g. pharmaceutical, vision
care, OTC) activities.
- Conducted routine/ad hoc review on marketing and promotional activities to ensure full
compliance with local government and industry code guidance.
- Led Center of Excellence in the Asia Region for control and compliance best practice and
awareness initiative.
Chartis Insurance Co., Ltd., Taipei, TaiwanF&A Deputy Manager
Sep. 2009 - Aug. 2010- Coordinated SOX Compliance Project (incl. Process & ITGC), identify possible control
deficiencies and implement adequate remediation.
- Executed risk assessment process for financial reporting & regulation purpose.
- Improved financial closing process, identify bottleneck and engender action plan.
- Researched and identified the impact of ROC, US GAAP and IFRS accounting policies,
implemented IFRS conversion project.
- Prepared/ reviewed period-end financial reporting related reports.
Gloria Solar Int’l Holding Inc., Tainan, TaiwanIPO Project Manager
Oct. 2008 - Aug. 2009- Reported to BOD and Audit Committee about corporate financial and operational
information.
- Provided training to finance group on specific financial and compliance topics
- Assisted senior management and coordinated US IPO Projec, including communication
with external stakeholders.
- Coordinated foreign subsidiary establishment and other special projects
- Designed and responsible for the periodic regulation financial filings (such as
confidential filing, F-1, 20-F, 6-K and etc.)
Deloitte., Taipei, TaiwanEnterprise Risk Management Assistant Manager
Apr. 2006 - Oct. 2008- Planned and in-charge the Sarbanes-Oxley Readiness and Attestation projects for both
US domestic/foreign listed companies and IPO/started up companies.
- Evaluated and performed compliance activities of the corporate internal control system
(both Taiwan and US internal control requirements).
- Assessed public/private client business operation processes and improved relevant
effectiveness and efficiency.
- Identified corporate risks and provided efficient risk-mitigation and management plans.
Ernst & Young LLP, Houston, Texas USAFinancial Auditor
Jun. 2003 - Nov. 2004- Performed small business financial/Tax auditing and consulting
- Examined and tested the accuracy of the financial information
- Understand the client business structure and created business process diagrams.
- Performed detail tested on various client quality and efficiency of the internal control
process.
- Provided suggestion and opinion on the control process and financial information
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