Heyi Li
Kowloon
Summary
Expert in leveraging Python, SQL & advanced analytics for large-scale regulatory auditing. Proven ability to conduct 50+ forensic tests and identify material discrepancies (e.g., undisclosed related-party risks) using AI-enhanced models. Spearheaded 200+ policy optimizations for CSRC/SEC compliance, reducing clients' regulatory exposure. Holds dual competencies in COBIT framework implementation and RegTech solution design.
Overview
4
4
years of professional experience
1
1
Certification
Work History
IT Audit Consultant
Shanghai Aiman Information Technology Co., Ltd.
09.2023 - 10.2024
- IT Audit & Compliance (Data Security): Conducted comprehensive data security compliance audits for 8 financial institutions (e.g., Essence Fund, HSBC Fund, China Reform Securities), evaluating sensitive information (e.g., customer identity data) lifecycle management against regulatory requirements. Identified critical risk points in data storage/transmission through document reviews, walkthrough testing, stakeholder interviews, and application of ITIL frameworks.
Developed and proposed actionable remediation plans (e.g., access control optimization), mitigating potential compliance risks and strengthening client security postures.
- Regulatory Compliance (RegTech Implementation): Led regulatory internalization consulting for 10+ institutions, translating CSRC data security and personal information protection mandates into executable internal standards. Designed and implemented internalization templates, facilitating the revision of 200+ internal policies/procedures. Directly contributed to successful CSRC inspections for 3 clients through gap analysis and readiness support.
- Audit Methodology Development: Diagnosed and rectified deficiencies in existing AML audit documentation. Spearheaded the development of a standardized data security check methodology, creating 6 reusable templates (including interview guides, report formats, etc). Successfully deployed methodology in 2 subsequent projects, enhancing team efficiency and consistency.
- Business Development Support: Collaborated with sales teams on 5+ competitive bids. Co-authored compelling proposals, tender responses, and presentation materials, etc.
Overseas Subsidiary Operations Specialist
Shenzhen Vivafounder Investment Holdings Limited
09.2022 - 09.2023
- Accounting Operations: Processed and reconciled over 100+ transactions, managing accounts payable/receivable entries to support monthly financial closing; Collaborated with external legal and accounting firms to ensure timely and compliant overseas tax filing and audit preparation.
- Document Drafting & Stakeholder Engagement: Drafted and maintained critical documentation for environmental NGO membership registration and compliance; Developed investor-facing presentations translating complex technical solutions and business models into clear value propositions; Participated in ESG-themed webinars, connecting with international sustainability consultants to expand professional network.
- Compliance & Legal Support: Conducted supplier due diligence, preparing comprehensive pre-visit assessment reports for 10+ vendors to mitigate procurement risks; Reviewed service contracts and legal documents to ensure adherence to domestic and international regulations; Managed financial verification processes via OA, validating expense claims for authenticity and compliance, enhancing financial control integrity.
EY Forensic & Integrity Services Intern
Ernst & Young Hua Ming LLP
12.2020 - 01.2021
- Financial Evidence Analysis: Performed substantive testing on 200+ sampled expense vouchers within an asset verification project, assessing documentation integrity (e.g., invoices, approvals) to identify 3 key discrepancies and support audit adjustment recommendations.
- Fraud Risk Investigation: Conducted compliance-focused due diligence using regulatory platforms (e.g. NECIPS), mapping 20+ affiliate entities and uncovering 2 potential undisclosed related-party relationships with key suppliers.
Compliance & Risk Control Intern
GF Securities Co., Ltd.
07.2020 - 08.2020
- Transaction Monitoring & AML Risk Mitigation: Leveraged internal surveillance systems to profile trading patterns of retail clients (e.g., frequency, size anomalies). Conducted risk-tier reassessments for 200+ accounts and screened 50+ corporate beneficial owners against national AML databases, immediately flagging 2 PEP match to senior officers for enhanced due diligence.
- Regulatory Client Onboarding & Compliance Assurance: Executed 800+ client outreach calls to verify residential addresses for trust agreements (AML-KYC requirements). Resolve GEM Board registration system pain points; Conduct suitability assessments for public fund distributions (MIFID II principles). Mitigated regulatory exposure by ensuring adherence to CSRC/FSC guidelines.
Education
Master of Science - Information System Management
Hong Kong University of Science And Technology
Hong Kong07-2026
Bachelor of Science - Econmomics, Law
UNIVERSITY OF INTERNATIONAL BUSINESS AND ECONOMICS
Beijing, China06.2022
Skills
- Python, C, Stata, Matlab
- SQL & Database Querying
- Advanced Excel (Solver, Power Pivot)
- Data Visualization (Tableau)
- Risk Assessment Methodology
- Continuous Improvement Mindset
Certification
- CISA (Certified Information Systems Auditor)
- Fund Qualification Certificate
Hobbies and Interests
- Registered Volunteer (over 90 hours of service)
- Playing soccer (member of the college's women's soccer team)
Languages
- Cantonese, Fluent
- English, IELTS: 7.0; GRE: 319/340
Languages
English
Advanced (C1)
Timeline
IT Audit Consultant
Shanghai Aiman Information Technology Co., Ltd.
09.2023 - 10.2024
Overseas Subsidiary Operations Specialist
Shenzhen Vivafounder Investment Holdings Limited
09.2022 - 09.2023
EY Forensic & Integrity Services Intern
Ernst & Young Hua Ming LLP
12.2020 - 01.2021
Compliance & Risk Control Intern
GF Securities Co., Ltd.
07.2020 - 08.2020
Master of Science - Information System Management
Hong Kong University of Science And Technology
Bachelor of Science - Econmomics, Law
UNIVERSITY OF INTERNATIONAL BUSINESS AND ECONOMICS
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