Experience

Ecxx.com

• Singapore
• Technology, Information and Internet
• 1 - 100 Employee

• Trade Surveillance Officer

  • oct. 2021 - - aujourd’hui

  • Assisted in compliance matters which resulted in the company graduating with the Recognised Market Operator (RMO) license from MAS for the Security Token Offering (STO) exchange.• Assisted in compliance matters when applying for the Payment Services (PS) license with MAS.• Trained in using the trade surveillance software. • Done KYC/AML to onboarded clients onto the platform. • Designed the policies and procedures that are crucial for the internal controls framework. • Assisted in compliance matters which resulted in the company graduating with the Recognised Market Operator (RMO) license from MAS for the Security Token Offering (STO) exchange.• Assisted in compliance matters when applying for the Payment Services (PS) license with MAS.• Trained in using the trade surveillance software. • Done KYC/AML to onboarded clients onto the platform. • Designed the policies and procedures that are crucial for the internal controls framework.



Deutsche Bank

• Germany
• Financial Services
• 700 & Above Employee

• Business Risk & Control

  • oct. 2015 - oct. 2021

  • Reconciled all the Discretionary Portfolio mandates between Global, APAC and individual accounts. • Performed Independent Callbacks with clients on the verification of static details.• Liaised with Compliance on the current processes to review if further enhancements can be implemented.• Liaised with Front Office and assisted on the control checks in preparing client’s Reference Letters and Manual Statements.• Reviewed Front Office voice logs to verify if all the regulatory requirements are confirmed with the client.• Performed UAT testing for system enhancement or adjustment in relation with our current process



Deutsche Bank Polska S.A.

• Poland
• Banking
• 300 - 400 Employee

• Business Management

  • sept. 2014 - oct. 2015

  • Coordinated with various point of contacts on the planning of trainings.• Verified that the Relationship Managers complied with regulations and documentations.• Assisted in User Acceptance Testing for various systems used by the Relationship Centre. • Coordinated with various point of contacts on the planning of trainings.• Verified that the Relationship Managers complied with regulations and documentations.• Assisted in User Acceptance Testing for various systems used by the Relationship Centre.