Xizhe Zhu

Being Compliance BP for business departments (over 4,000 colleagues):

• Prepare meeting material for monthly BE committee meeting, in which ET members discuss and approve compliance policies.
• Participate monthly management meeting of 2 BU, share risk trend, policy update and recent compliance performance of each region; communicate with regional directors to anchor policies and collect feedbacks.
• Establish "Compliance Ambassador" framework across Region China. Provide deep-dive training and daily support to Ambassadors and therefore build a stronger link between compliance and business.
• Provide tailor-made compliance training according to monitoring output, e.g spot-check report, project manager feedback, compliance scorecard ranking etc.

Auditing and monitoring:

• Conduct regular BE audit on MAPA and CME department.
• Overall monitor Sponsorship & Donation project from MAPA and CME department. Including project discussion, milestone review and payment approval.
• Participate monthly management meeting of MAPA and CME, to share risk trend, policy updates and recent monitoring output.

Investigation:

• This area contributed over 60% of my workload in these 3 years. I was in charge of all internal investigation cases in Region China.
• Receive issue raised by whistle-blower or monitoring team (compliance, legal, finance, distributor auditing, etc.), report to HQ ACS (Audit Committee Secretariat) and establish cases.
• Conduct investigation (desktop search, data analysis, vouching, interview, onsite observation), compose report and sanction proposal.
• Report monthly to HQ ACS and Region China IRC (Investigation Review Committee), anchor sanctions and mitigation actions with cross-functional cooperation.

Digital solutions and data analysis:

• This area was triggered by COVID-19 pandemic from beginning 2020. I was involved as a key member of a corporate digital team to provide compliance and internal control suggestions. We established an online platform to support NN academic meetings and daily visiting.
• After platform implementation, conduct auditing on e-meetings through data analysis on a quarterly frequency, followed by internal control mitigations and system updates.
• Enlightened by this digital project, I designed and implemented a Compliance Dashboard in 2021, which is based on PowerBI and constructed by different monitor dimensions and a comprehensive compliance score for each employee. This Dashboard was recognized by NN IO (International Organization) and was entitled "2021 Best Defense Initiative Award"

• I was the co-founder of this IT start-up and in charge of overall financing and legal issue while landing the company. We presented digital solution to traditional companies, provided agency-operation service to retail industry and operated our own online brands in catering and winery.
• After establishment, I oversaw deployment of strategic business plans to accomplish accounting, compliance and revenue targets.
• Completed in-depth analyses of risks to control company profile, enhance systems and track legal concerns.
• Chaired partner meetings to drive discussion of matters important to firm operations, keeping discourse on-topic and moving at efficient pace.

I spent the first 3 years of my career in PwC, one of the big 4 audit firm. This experience offers me solid auditing methodology, data analysis skills, industry insights, top-rank vision and most importantly, a first-tier professionalism and work ethic.

Financial report auditing, bank industry. Client served:

• Bank of China
• Agricultural Bank of China
• China Bohai Bank (SIC)

Internal control consulting. Client served:

• Goldman Sachs Gaohua Fund
• Harvest Fund
• Beijing North Star Company Ltd,.