Experience

RHB Singapore

• Singapore
• Financial Services
• 200 - 300 Employee

• Business Risk & Compliance Manager

  • Nov 2020 - Present

  Sales Compliance ● Application of regulations relating to Sales Compliance in daily checks under BSC framework (Review of sales documents, BSC findings and mystery shopping) ● Conduct investigations for allegations of misconduct and mis-selling ● Working with independent sales audit on regulatory reviews (FAA G-10, G-18, SFA 04-N16, Client Classification) to ensure compliance with regulations and internal policies ● Write-up, review and revise procedures on guidelines to Sales Advisory Standards ● Prepare training materials and conduct training for new Representatives before deployment (Fair Dealing Guidelines, FAA, Sales Practices, CDD/EDD) Risk Management ● Perform monthly, half-yearly and yearly Key Control Testing (KCT) to validate that controls are implemented to mitigate identified risks ● Monitor Key Risk Indicators (KRI) and Operational Risk Events to assess and formulate action plans to address these risks ● Assist BRCO in regulatory reporting and audit Project Management ● Project planning and coordination between business and IT which includes progress tracking, quality assurance, resolution of issues to ensure that all projects are successfully delivered within dateline and budget ● Provision and validation of functional requirements with stakeholders to ensure that proposed solutions meet business needs ● Key Project: Electronic Financial Needs Analysis (E-FNA) Show less



CIMB

• Malaysia
• Financial Services
• 700 & Above Employee

• AML Team Lead

  • Nov 2019 - Nov 2020

  ● Checker and Designated Authorizer (DA) of AML Periodic/Ad-Hoc ECDD/WLM alerts● Reference point for Consumer Banking (All Business Units in CBGS including Branches, Call Centre, Compliance, Internal/External Auditors, Commercial Affairs Department● Coaching team members in AML issues● Involved in projects for streamlining of process to enhance efficiency● Conduct AML Training for New Entrants/Refresher Training for existing staff (RM, ARM, Customer Service)● Review all STR submitted to Compliance on timely basis Show less

• Anti-Money Laundering Analyst

  • Mar 2018 - Nov 2019

  ● 1st level assessment/review of AML Periodic/Event-Triggered ECDD alerts for Retail / Preferred customers within SLA● Reviewing Watch List Management (WLM) alerts against the bank’s internal / external watch lists (Factiva, Reuters etc.)● Preparation of STRs● Contact customer for clarifications on AML issues arising from review● Handle queries from Financial Crime Analytics arising from daily transaction monitoring● High Volume Transaction reviews● PEP/RCA/High Risk customer reconciliation Show less



Citi

• United States
• Financial Services
• 700 & Above Employee

• Business Analyst

  • Nov 2016 - Mar 2018

  ● Complete monthly & quarterly custom reports (investment) for private banking clients ● Maintain up-to-date documentation for procedures, audit and controls ● System maintenance on daily and monthly basis to ensure accurate figures for system reports ● Ad-hoc requests, resolving / tracking issues, UAT ● Complete monthly & quarterly custom reports (investment) for private banking clients ● Maintain up-to-date documentation for procedures, audit and controls ● System maintenance on daily and monthly basis to ensure accurate figures for system reports ● Ad-hoc requests, resolving / tracking issues, UAT