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Work Background
BankingManager DCORO corporate banking
Apr. 2022"Conducting quality assurance and quality control on transaction monitoring, enhanced due diligence (ECDD) reviews, and providing expert AML compliance advisory."
BankingRisk Manager( 3months contract)
Jan. 2022 - Dec. 2022focusing on non financial risk(operational risk)
Management ConsultingSenior Associate
Sep. 2018 - Oct. 2019AML/compliance related, advsing clients on transaction monitoring. perform compliance review and testing on gap analysis
ConsultingSenior Compliance Specialist
Aug. 2015 - Jun. 2016Kuala LumpurSupport the implementation of global standards, regulatory and strategic policies; •Ensures that money laundering/sanctions/bribery and corruption deterrence procedures and controls and systems infrastructure are adequate to cover RBWM business units by providing inputs from anti-money laundering (AML) / sanctions / bribery and corruption (ABC) perspective on business operations/infrastructure initiatives and services launches; •Manages/maintains HSBC’s internal AML/sanctions systems and controls standards, including ensuring the timely and proper implementation of Group driven initiatives; •Provide guidance to business units on the interpretation of policies and implementation of control procedures; •Review Compliance/audit reports to detect gaps in money laundering/sanctions/ABC controls and to ensure all gaps are duly rectified; •Develop new policies and procedures to meet new regulatory requirements; • Perform reviews of customer due diligence profiles to ensure financial crime risks are addressed and acceptable to business; • Provide the necessary training to inculcate the compliance culture and AML/sanctions/ABC awareness among the employees; • Working closely with Regulators, Group Offices, Security and Fraud Risk (SFR) and Branches in the investigation of suspicious accounts/customers
Banking / Financial ServicesAssistant Manager - AML / CFT
Jan. 2014 - Aug. 2015Kuala Lumpur, MalaysiaMy duties include: Investigation/Monitoring: Investigate alerts generated by the automated AML/CFT detection system as well as internally generated suspicious transaction reports submitted by business/support units and/or branches/centres (review 80 valid cases per month per investigator)
Monitoring of high risk customers during the onboarding and/or ongoing review of customers (review all alerts generated on daily basis) Attend to Orders/Requests by Regulators/Law Enforcement Agencies: Respond to request for more information by the Financial Intelligence & Enforcement Department and/or other law enforcement agencies (50 orders)
Ensure that freeze, seizure or forfeiture orders are attended to on prompt basis
Liaise with the relevant units and/or branches/centres to ensure that all document requests are being attended to within deadline imposed by regulators/law enforcement agencies
Review the information/documents provided by the units and/or branches/centres to ensure accuracy of information/documents prior to its submission to the law enforcement agencies Analysis: Review and assess latest typologies and modus operandi to ensure that red flags are identified during investigation
Subject matter expert to provide feedback/input on training materials as well as periodic review AML/CFT risk scenarios and parameters/thresholds of the AML/CFT detection system Management of High Risk Customers/Counterparties: Review AML/CFT Questionnaires submitted by correspondent banks/counterparties on an ongoing basis
Develop, review and enhance the Group’s AML/CFT Questionnaire to be in line with international best practices
CitiOperations Analyst
Mar. 2013 - Dec. 2013Process and review transactions undertaken by Citi Singapore. Prudent to identify risks pertaining to money-laundering and praised by reviewing manager. Undertake key checklists and perform the ‘Know Your Customer’ principle to understand and monitor transactions incurred. To request further information and documentations from respective branch to better understand transactions incurred. Cleared all tests at the first attempt in various banking modules after classroom training. First in his batch to pass the 25 case assignments as a requisite to proceed on to live cases. Mentored new batch intakes immediately after proceeding on to live cases.
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