Huat Chee Lee

Head of Legal and Compliance at CTBC Bank Co. Ltd. (Singapore)
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Contact Information
us****@****om
(386) 825-5501
Location
Singapore, SG
Languages
  • Chinese Professional working proficiency
  • English Full professional proficiency

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Bio

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Credentials

  • Advanced Certified AML Specialist - Risk Management
    ACAMS
    Apr, 2022
    - Nov, 2024
  • Advanced Certificate in Regulatory Compliance (Distinction)
    International Compliance Association
    Oct, 2020
    - Nov, 2024
  • CAMS Singapore AML Regime
    ACAMS
    May, 2018
    - Nov, 2024
  • Certified Anti-Money Laundering Specialist
    ACAMS
    Oct, 2017
    - Nov, 2024

Experience

  • CTBC Bank Co. Ltd. (Singapore)
    • Singapore
    • Banking
    • 100 - 200 Employee
    • Head of Legal and Compliance
      • Oct 2015 - Present

      As Head of Legal & Compliance Department and Money Laundering Reporting Officer (“MLRO”), I lead a team overseeing the Bank’s Legal, Compliance and AML/CFT matters, and in managing the Bank’s regulatory and reputational risk. These involve formulating the compliance policy & framework, compliance monitoring plan, providing advisory support to Corporate Banking, Private Banking, Capital Markets & Support Units, conducting training to enhance compliance culture and reinforce regulatory requirements, planning & executing compliance monitoring program and enhancing controls and processes in ensuring continuous compliance to regulatory requirements (such as Banking Act, MAS Notices & Guidelines, Securities and Futures Act, Financial Advisers Act, etc.) and group policies. Acts as liaison officer between Bank and regulator, the Monetary Authority of Singapore (“MAS”) on regulatory and AML-related matters and managing regulatory relations. Show less

  • UOB
    • Singapore
    • Banking
    • 700 & Above Employee
    • First Vice President
      • Nov 2011 - Oct 2015

      Head, Anti-Money Laundering Team Group Retail - Regulatory Assurance The role entails leading the AML team (team of 8 members) to provide AML/CFT advisory & strategic support to Group Retail business (Personal Financial Services, Private Banking, Business Banking and Channels), and act as a liaison between Group Compliance and Business Unit Heads in all AML/CFT-related matters. Core responsibilities for the role cover the key areas of Governance, Advisory, Review & Testing, Training, Audit Coordination & Follow-up, Management Reporting & presentation to Senior Management and participate in Strategic AML Projects. Also provide technical knowledge and guidance to regional subsidiaries' Retail AML Business Compliance Team. Show less

  • Bank of America
    • United States
    • Banking
    • 700 & Above Employee
    • Vice President / Global Commercial, Corporate & Investment Banking, T&O
      • Sep 2011 - Nov 2011

      As the regional service quality manager, the role entailed identifying standardization opportunities in countries and drive projects to fill the gap, developing new processes, training plans and skill maps to enable new product launches with respect to servicing and fulfilment, as well as defining / developing service review process and parameters. Was involved in formulating the Employees’ Engagement Programme for the Asia-Pacific region, as well as defining and executing Regional Escalation Framework. Other responsibilities included co-ordinating the client satisfaction survey and working with stakeholders to implement corrective & preventive initiatives to enhance client experience. Show less

  • UOB
    • Singapore
    • Banking
    • 700 & Above Employee
    • Vice President
      • Jul 1997 - Sep 2011

      Corporate Planning & International Strategy Worked closely with Overseas Subsidiaries and Branches to analyse & monitor the monthly financial performance of overseas units against targets. Head of Division Planning & Support Dept, Internet Banking Providing an overall strategic plan and direction for the division, participating in the annual budgeting exercise (operational and manpower), preparing periodic forecasts and monitoring of expenses and all administrative and operational activities. Other roles include managing the risk profile of online services and operational activities, and interpreting and ensuring that regulatory and compliance policies are adhered strictly. Deputy Manager of Customer Service Dept, Call Centre Managing a team of team leaders who will oversee the Customer Service Officers Show less

Education

  • Nanyang Technological University
    Master of Business, Finance, General
    1996 - 1997
  • Nanyang Technological University
    Bachelor of Business, Financial Analysis
    1993 - 1996

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