Experience

Skyee

• Hong Kong
• Financial Services
• 1 - 100 Employee

• Compliance Manager

  • Dec 2019 - Present

  - Oversee the company Compliance and AML. - Maintain relationship and liaison with internal and external parties such as external auditors in US, regulators in HK, banking/non-banking partners & other relevant parties as necessary. - Oversee implementation and maintenance of routine regulatory compliance for the business. - Conduct interpretation and gap analysis for the updated regulatory requirements or regulatory changes. - Provide input and consultancy into relevant business policies and operational plans impacted by regulatory. - Provide compliance advice on new business initiatives - Take the lead in reviewing and turning transaction monitoring rules and methodology to ensure the transaction monitoring rules being utilized are appropriate and are generating productive alerts. - Lead the project of AML Assessment for HK and US subsidiaries, timely implement external audit recommendations. - Promote a positive culture of compliance across the business, develop compliance training plan and conduct regular or irregular AML Compliance training as needed. - Direct report to CEO Show less



摩根士丹利

• China
• Business Consulting and Services
• 1 - 100 Employee

• Compliance Associate

  • Nov 2016 - Oct 2019

  - Conduct regulation dissemination and interpretation and gap analysis on key regulations and regulatory changes or updates. - Maintained good relationship with the local regulators (PBOC/CBIRC/SAFE etc), implement on-site inspection and onsite visit etc. - Responsible for daily regulatory communication, regulatory requirement dissemination and implementation and monitoring the progress so as to meet the compulsory regulatory requirements in terms of deadline and content. - Take part in ad hoc projects, such as EAST project and Financial crime system project etc. - Backup of AML Director: 1) responsible for Large Amount Transaction Report and Suspicious Transaction Report during AML Director’s absence; 2) reviewing and turning transaction monitoring rules as per the regulation of PBOC [2016] No.3; 3) other ad hoc AML related tasks as required. - Backup of the Head of Compliance of Beijing Branch (Director). - Direct report to the Head of Compliance of the Bank (Executive Director) Show less



汇丰

• 1 - 100 Employee

• Investigator TM QA L2

  • Sep 2011 - Nov 2016

  - To support the bank’s FCC in ensuring that the business operates in accordance with legal and regulatory requirement relating to AML and Counter Terrorism Financing. - To conduct quality reviews in line with the Planed Level Agreement requirements and standards set out within FCC Quality Control Process Responsible to drive continuous improvement by sharing error trend analysis and present standards and establish proposed quality improvement initiatives. - Provide with structured coaching on an on-going basis to help improve individual operator performance by conducting quality huddles and timely feedback which is duly signed off. - As process expert and extend support to the operation team by sharing best practices among quality and operation teams Show less



Toastmasters International

• United States
• Non-profit Organizations
• 700 & Above Employee

• President

  • Apr 2014 - Dec 2015

  _Focusing on club quality and the members’ experience _Working together with all of the club’s leaders to achieve success in the Distinguished Club Program by encouraging education achievements, building and maintaining membership, attending club officer training, and submitting membership dues, officer lists, and other documents on time. _Focusing on club quality and the members’ experience _Working together with all of the club’s leaders to achieve success in the Distinguished Club Program by encouraging education achievements, building and maintaining membership, attending club officer training, and submitting membership dues, officer lists, and other documents on time.