Experience

Macquarie Group

• Australia
• Financial Services
• 700 & Above Employee

• KYC/AML Project Lead

  • Sep 2017 - Present

  Acting as CLM Remediation operational lead by active engagement as project lead and mentoring/supporting project managers (3 FTE) through QA reviews, process improvement opportunities, training and coaching/feedback sessions.Performs regulatory and data remediation projects heavily involved with investigating risks/issues processed by other CLM teams to mitigate/escalate as needed resulting to procedural updatesDrives cross-functional projects based on defined priorities; ensures scope of deliverable, timeline and stakeholder expectations are metPlans, designs, manages and executes project deliverable depending on nature/theme of population review and expected output. This involves pre-assessment stage (forecasting, FTE estimation, feasibility analysis, and identifying action required across different CLM processes/functions) and post mortem stage (analysis of success or failure of project stages and identifying process improvements to mitigate future risks)Leverage problem solving skills to ensure project plans deliver on intentConducts regular meetings with project team, documents progress and reports to stakeholders on project statusAchievements:Redesigned the team's project management cycle by reviewing and revamping each stage in addressing inefficiencies, creating a step by step procedure for new project managers and mitigating risks by setting documentation control through a centralized respository spaceSet up, designed and migrated team process to JIRA Service Desk to further enhance customer experience while also addressing different reporting platforms and adding control to customer agreements on project's design

• Operational Excellence Lead

  • Sep 2017 - Jun 2019

  Led 6 CLM Manila pillars in identifying, prioritizing and implementing improvement opportunities across CLM ManilaDrove SIPOC sessions to identify gaps in processes and identify opportunities for improvementProactively instilled a continuous improvement culture within various business functions through active engagement with all members and their managers/senior leadersEngaged and drives OE habits (KPIs, Huddles, VMBs, Continuous Improvements)Provided monthly OE reports to CLM Manila leadership team and quarterly reports to CLM global leadership teamOther involvements:RDA Practitioner - Trained to serve as team's SME responsible for automating processes by creating robots through PEGA Robotics PowerBI practitioner - Trained to serve as team's SME in conceptualizing, building and maintaining tools for stakeholder reportingAchievements:Drove the OE RAG status of whole CLM Manila team from RED to GREEN in only 3 monthsAwarded as Change Champion - CLM Manila R&R winnerStructured OE process within CLM Manila by defining roles and responsibilities of OE POCs, standardizing Continuous Improvement procedures from identification to completion, and creating OE tools - OpEx O365 site, How To Infographics, Revamped Utilization Tracker, etcFTE capacity creation target for two consecutive years have exceeded 10% - delivered almost 15% and 12% in FY2018 and FY2019 respectively

• KYC/AML Onboarding Analyst

  • Aug 2015 - Sep 2017

  Conducted due diligence reviews (AML, Legal and Tax) on new and existing clients across all regions (ANZ, Americas, EMEA, Asia)Conducted 4-eye checks on colleague's (onshore and offshore) client reviews across all regionsTrained and cross-trained new members of the team across different KYC/AML regional standardsLiaised with the client, front and/or middle office staff to obtain the required documentation prior to client onboarding/set-upInvestigated screening matches and performed thorough risk analysis on adverse news, sanction hits and Politically Exposed PersonsOther Tasks and InvolvementsPayments ComplianceServed as team's Payments Compliance SME which closely monitored and addressed queries related to RTPS cases, Third Party Payments and Manual Payment screenings identified with high risk / sanction triggersData ManagementServed as Data SME which involved processing/updating of CDB and Mainframe systems for CGM trading accounts Recoveries and Client Confirmation ControlServed as point person for front and middle office confirmation checks mainly focusing on client population control for periodic reviews Mandarin Document Translator Extracted and translated Chinese documents into the English language for KYC and screening purposesAchievements:As APAC Refresh SME - Consistently the highest performer exceeding monthly periodic review targets by 25% while being a new starterAs EMEA Onboarding SME - Led a project by reviewing over 50 entities for a key company acquisition in 3 months resulting to a £700 million deal As Refresh OE practitioner - Provided a revamped refresh framework to enable process efficiency and operational excellence of the Global OCDD procedureAs Refresh SME - Global 4-eye approver across ANZ, AMERICAS, EMEA and ASIA reviewsTranslated documents of over 150 Chinese clients from Mandarin to English