Risk and Compliance Officer

• Sep 2022 - Present

KYC Supervisor (Team Leader) – Huobi Global Risk Control (RC) Team (Global)

• Mar 2022 - Sep 2022

Responsibilities: In charge and oversee the daily aspects of the RC Team (6 Individuals) Oversight and management of the department’s System enhancement and integration into various other client management system Develop and enhance the department’s SOP and policy guidelines as well as the department’s BAU work and processes Train the department about the changes and updates in policies and processes  Be aware of regulatory requirements and policies in most jurisdiction, FATF guidance updates andother AML related news / updates To multi-task and proactively solve problems through independent thinking and analysis Coordinate with other departments including operations, compliance, IT team to ensure various team related initiatives and projects could be carry out smoothly and end goals being aligned Deep participation in policy understanding and discussion with the relevant compliance department in order to develop and enhance the team’s existing processes and SOP Participate in the BAU work for the Institutional screening team departmentAchievements: Through successful secondment, was tasked to lead the team that the secondment role entails Step up and roll out one of the department’s new SOP and processes Spearhead the RC system enhancement project and work with various important stakeholders to complete the project Instrumental in driving enhancement to the RC screening system through automation and logic enhancement which ultimately significantly increase productivity and efficiency of the system and department Observed and highlighted the significant differences found in various critical reporting data and work with various stakeholders to resolve the differences found  Spearhead the creation of the screening team for the Institutional department Joined and actively participated in Huobi University’s Huoda Education Talent’s Camp For Blockchain and achieve Certificate of Excellence, Outstanding Performance and Popular Star award Show less

KYC Supervisor

• Aug 2021 - Sep 2022

Responsibilities:-Second/Final reviewer for the Huobi Global Institutional & other Huobi linked entities-In charge of new joiner’s training/department training/creation of training materials & specific work related training guides-Train the department about the changes & updates in policies/processes-Identify & verify institutional client’s information during onboarding, triggered during periodic review, includes name screening, documents verification / internal & external search requirements according to the group’s AML policy & procedures-Be aware of regulatory requirements & policies in most jurisdiction, FATF guidance updates &other AML related news / updates-To escalate unusual cases to the group compliance team/multi-task & proactively solve problems through independent thinking & analysis-Coordinate with other departments including operations, compliance, sales to ensure full compliance adherence-Deep participation in policy understanding & discussion with the relevant compliance departmentAchievements:-Step up the department SOP and master guide from scratch-Department Chief (Main) Trainer-Suggest & Implement policy changes/enhancements & incorporate them into the department work processes-Recognized adviser(to go person for complex cases/difficult structure cases)-Appointed & selected to undergo secondment to other KYC operation departments-Secondment role->Screening (RC) department involves the oversight & management of the department’s System enhancement/integration into various other client management system/department’s SOP & policy guidelines / department’s BAU work & processes-Secondment role->Individual KYC department entails sample testing checks to test the accuracy of the onboarding system used for onboarding individual clients-Participate in Ad hoc projects(preliminary AML/risk checks on various Digital Currencies prior to their coin listing, ID fraud project)-Participate in the working group for travel rule implementation Show less

AML Transaction Monitoring Specialist (APAC/ Regional)

• May 2019 - Aug 2021

Responsibilities:  Review and investigate critical/complex alerts, conduct analysis and identifying suspicious activity/analysing their economic rationale which involved due diligence procedures and researching of entities/individuals using public domain/database search services (includes PIC, Commercial entities, PLFs, various complex structure entities)  Escalate cases for further review (STR/SAR filing) and initiate remedial actions and track their timely resolution  Help with the design and development of monitoring reports and assist management with testing enhancements to the monitoring program  Collaborate with stakeholders to continuously develop the control framework and supports stakeholders with researching and responding to regulatory request  Actively contribute to the enhancement/refinement of the AML transaction monitoring alert handling process, procedure and quality Achievements:  Recognized by stakeholders to play a critical role in the department and known to be able to effectively and efficiently solve complex alerts using good commercial and practical approach through deep/holistic understanding of the case  Known to be the go-to person with regards to AML TM / AML related issues whom constantly provide guidance, trainings to other Risk and Compliance officers / critical stakeholders Show less

Consumer Business Operational Risk and Controls (CBORC) (KYC) Analyst

• May 2018 - May 2019

Responsibilities: Responsible for Anti Money Laundering related reviews which includes Citi screening & Factiva search, performing Second level checks on suspicious transactions raised through Additional Information Report (AIR) / HRAC (Overlay triggered based on suspicious transactions/activities raised) / CDD reviews on high risk/wealth management clients (HNI/UHNI) and entities (relationship level which includes cards and accounts review) Perform Timely Quality review on AML/KYC cases with no deficiencies in profile data and documentations with adherence to quality requirements and provide feedback and training Escalation of suspicious account activity with close working with the stakeholders (client management team /compliance team as well as handling MIS management & reporting) Supporting branches in ARCA retrieval and screening dispositionsAchievements: Participated in the User acceptance testing (UAT) of the AML CDD system to continuously seek and suggest process improvement to enhance efficiency of the AML system and hands on experience with Mantas, Actimize, world check system & Factiva  Contribute heavily in the streamlining and centralization/consolidation of the department’s standard operation procedures and processes Show less

Team Lead Branch Mortgage Management

• Jan 2016 - May 2018

Responsibilities Oversee the mortgage sales and revenue of 4 teams/branches of bankers In Charge of coaching, mentoring and advising the personal bankers/relationship managers in the area of Mortgage sales/products Guide (personal bankers/relationship managers) and conduct intensive KYC/AML checks and investigations on clients (retail /wealth management/high net worth) before onboarding (includes profiling/research on clients) with knowledge in credit risk, process and analysisAchievements: Consistent Reliable Team lead whom is able to bring in sales / revenue for all 4 teams / branches Outstanding Performance Award: Dale Carnegie “Gain a Competitive Edge” Course (2016) Show less

Mortgage Specialist

• Jan 2015 - Dec 2015

Responsibilities Conduct intensive KYC/AML checks and investigations on (retail /wealth management/high net worth) clients (includes profiling/research on clients) using knowledge in credit risk, processes and analysis Provide solutions towards client’s mortgage requirements and develop strong relationships through working closely with clients and stakeholders from various departmentsAchievements Consistent Top Performer with a proven sales track record Successfully clinched new home loans in the competitive fast-paced housing market Constantly contribute ideas to streamline the department processes and assist in product/business development Volunteered in the Citi-South East Community Development Council MoneyWise Programme (2015) Show less

Administrator (Vacation Job)

• Dec 2014 - Dec 2014

• Ensure the smooth transition of confidential documents from old to new offices. • Ensure the smooth transition of confidential documents from old to new offices.

Officer (Vacation Job)

• Jul 2013 - Jul 2013

• Connect and build relation with corporate clients to purchase corporate plans. • Connect and build relation with corporate clients to purchase corporate plans.

Supply Chain Planner (Vacation Job)

• Jun 2012 - Aug 2012

• Assisted in the planning and setting up of a brand new line of products/machines • Support planners on material issues and parts replacements • Work on Engineering Change Order changes with the logistics department for parts issue • Assisted in the planning and setting up of a brand new line of products/machines • Support planners on material issues and parts replacements • Work on Engineering Change Order changes with the logistics department for parts issue

Multiple area support specialist (Internship)

• Aug 2008 - Oct 2008

• Stock take, data entry, inspection of all administrative documents, auditing • Stock take, data entry, inspection of all administrative documents, auditing

Customer Service Officer - Remittance hotline (Internship)

• Mar 2008 - Mar 2008

• Resolving any client’s enquiries and investigating the inflows and outflows of the clients’ remittance accounts • Resolving any client’s enquiries and investigating the inflows and outflows of the clients’ remittance accounts