Experience

Sumitomo Mitsui Banking Corporation (SMBC) Asia Pacific

• Singapore
• Banking
• 400 - 500 Employee

• AML Governance Team Lead

  • Oct 2022 - Present

• AML Compliance Assistant Manager

  • Apr 2019 - Present



HSBC

• United Kingdom
• Financial Services
• 700 & Above Employee

• Team Leader, FCC AML Manager

  • Jul 2018 - Apr 2019

  Viet Nam - Perform supervisory duties, quality checks during the course of investigation, produce reports/metrics relevant to team performance - Establish procedures/guidelines complying with the local AML regulation and Group Compliance policy as well. - Maintain a close relationship with related stakeholders and business partners in country and regional/global to support them to enhance the control, as necessary improves, the effectiveness of system/procedures and mitigate the risks to the… Show more - Perform supervisory duties, quality checks during the course of investigation, produce reports/metrics relevant to team performance - Establish procedures/guidelines complying with the local AML regulation and Group Compliance policy as well. - Maintain a close relationship with related stakeholders and business partners in country and regional/global to support them to enhance the control, as necessary improves, the effectiveness of system/procedures and mitigate the risks to the bank - Identify and escalate timely any financial crime risks to line manager or senior manager to mitigate the risks to the bank - Profound experience in reviewing and analyzing customers’ documents/profile, customer’s KYC - Deliver a necessary training/huddles briefing to ensure team members to understand and comply with the local AML regulation as well as monitor staff performance for timely feedback on their career path - Produce and maintain all required reports periodically and on ad-hoc basis: such as backlog volume, monthly report, SUT, head count report and other kinds of AML reports. - Review, provide action and keep tracking for findings relevant to financial crimes in country - Provide valued supports in consultation for FCC related matters to Business Functions

• FCC AML Manager

  • Oct 2017 - Apr 2019

  106 Nguyễn Văn Trỗi - Adhered strictly to compliance with the Anti-Money Laundering Policy and the FCC Guidance for Transaction Monitoring and Law Enforcement enquiries - Perform Quality Control to ensure the work of investigators be accurate, complete and in accordance with policy and regulation - Specialize in conducting AML investigation for Retail Banking, Corporate and Global market banking - Maintain a strong collaboration among AML team, FCC and other working parties, locally and regionally, to… Show more - Adhered strictly to compliance with the Anti-Money Laundering Policy and the FCC Guidance for Transaction Monitoring and Law Enforcement enquiries - Perform Quality Control to ensure the work of investigators be accurate, complete and in accordance with policy and regulation - Specialize in conducting AML investigation for Retail Banking, Corporate and Global market banking - Maintain a strong collaboration among AML team, FCC and other working parties, locally and regionally, to drive best practices for the teams - Identify and escalate timely any financial crime risks to line manager to mitigate the risks to the bank. - Profound experience in reviewing and analyzing customers’ documents/profile, customer’s KYC - Contribute in many projects and initiatives in the preparation stage for the new standard launch-out in order to spot gaps as well as trends - Support some kinds of reports periodically, such as: backlog volume, monthly report, head count report…

• Senior FCC AML Officer

  • Apr 2016 - Sep 2017

  106 Nguyen Van Troi - Adhered strictly to compliance with the Anti-Money Laundering Policy and the FCC Guidance for Transaction Monitoring and Law Enforcement Enquiries - Perform Quality Control to ensure the work of investigators be accurate, complete and in accordance with policy and regulation - Specialize in conducting AML investigation for Retail Banking, Corporate and Global market banking - Maintain a strong collaboration amongst AMLi, FCC and other working parties, locally and regionally, to… Show more - Adhered strictly to compliance with the Anti-Money Laundering Policy and the FCC Guidance for Transaction Monitoring and Law Enforcement Enquiries - Perform Quality Control to ensure the work of investigators be accurate, complete and in accordance with policy and regulation - Specialize in conducting AML investigation for Retail Banking, Corporate and Global market banking - Maintain a strong collaboration amongst AMLi, FCC and other working parties, locally and regionally, to drive best practices for the teams - Identify and escalate timely any financial crime risks to line manager to mitigate the risks to the bank. - Profound experience in reviewing and analyzing customers’ documents/profile, customer’s KYC - Contribute in many projects and initiatives in the preparation stage for the new standard launch-out in order to spot gaps as well as trends

• Customer Due Diligence Assistant

  • Jul 2014 - Apr 2016

  106 nguyen van troi - Contribute in many RBWM remediation projects - Perform leading small team for RBWM remediation projects in order to prepare for new standard go-live as part of HSBC commitment to implement it. - Perform the testing UAT and end to end process review for CDD Deployment as well for implementing the new standard for all customers. - Produce all kinds of reports periodically and on an ad-hoc basis, such as: report for RBWM remediation projects,… - Weekly meeting or ad-hoc meeting… Show more - Contribute in many RBWM remediation projects - Perform leading small team for RBWM remediation projects in order to prepare for new standard go-live as part of HSBC commitment to implement it. - Perform the testing UAT and end to end process review for CDD Deployment as well for implementing the new standard for all customers. - Produce all kinds of reports periodically and on an ad-hoc basis, such as: report for RBWM remediation projects,… - Weekly meeting or ad-hoc meeting with other countries, Transformation for project plan, guidance preparation - Establish procedures/guidelines of each projects before kicking start of those projects - Raise and escalate timely some features to improve the Quality and simply the process

• PIL/Card verification – PIL disbursement Assistant

  • May 2010 - Jul 2014

  106 nguyen van troi - Establish the enhanced guidelines/procedure and support line manager to conduct the briefing to update policies and procedures for whole team to ensure team member to comply with the policy and regulation. - Verify the customers’ profile and transactions before granting the loan limit to them to ensure their capabilities to settle the loan - Detect fraud from the criminal to protect our bank against credit risk - Approve the loan limit for customers - Perform many kind of reports… Show more - Establish the enhanced guidelines/procedure and support line manager to conduct the briefing to update policies and procedures for whole team to ensure team member to comply with the policy and regulation. - Verify the customers’ profile and transactions before granting the loan limit to them to ensure their capabilities to settle the loan - Detect fraud from the criminal to protect our bank against credit risk - Approve the loan limit for customers - Perform many kind of reports periodically and on an ad-hoc basic, such as QAS reports, Fraud Ad-hoc reports for SFR to control the figure and analysis of fraud cases and the trend of fraud