COMPLIANCE / WEALTH & ASSET MANAGEMENT
BANKING
Total years of experience :8 years, 9 Months
• Regulatory compliance matters - AML-KYC etc.
• Client Relationship management
• Covering legal contracts or risk management
• Sort out and review the company’s internal management system, and business process and provide compliance improvement suggestions.
• Construct the company’s compliance management system, formulate and revise company’s compliance manual and other compliance risk management rules and regulations (As required)
• Responsible for the formulation of various specific compliance work plans, so that the compliance work be carried out smoothly.
• Help various business areas sort out compliance issues, formulate solutions and promote implementation
• Actively identify, evaluate, monitor and report compliance risks, conduct compliance reviews according to system requirements.
• Risk, STR, SAR, data breach reports
• Investigation and handling of violations
• Risk management procedures and advising companies regulations
• Track the changes and development of laws, regulations, regulatory requirements or modifying the company’s internal rules and regulations
Real Estate Agent selling and renting properties (appartments, penthouses, townhouses, villas, mansions..) in a brokerage company
Manage and mentor a team of 12 people by allocating tasks to staff, ensuring high standard performance, organizing holidays, discussing/resolving problems, and carrying out performance reviews;
In conjunction with the account registration specifically ensure that the team effectively understands and adheres to all AML/KYC/Tax requirements for varying entities and investor types, risk levels and jurisdictions, for new onboarding as well as for remediation accounts;
Monitor adherence to policies and procedures and work with the Management/ other internal stakeholders, ensure quality, regulatory and client expectations are being met.
Develop and maintain strong relationships across different
Short term project business implementation of a new team in shareholder services department
Senior Associate - Team Leader AML/KYC AB-Alliance Bernstein
Manage and mentor a team of 4 people by allocating tasks to staff, ensuring high standard performance, organizing holidays, discussing/resolving problems, and carrying out performance reviews (PROJECT)
Business implementation for banks : RBC, Mitsubishi UFJ, HSBC Bank PLC, BNP Paribas Sec Services
Senior Consultant AML/KYC/Compliance Analyst*
Collect standard evidence to verifying various types of clients: Retail, Trust,
Pension Schemes, Foundation; etc...
Collect required legal documentation according to Entity structure and Risk Base Approach:
Customer Due Diligence (CDD); (SDD), (EDD)
Maintenance of investor accounts & Fund set up
Processing of TA instruction (subscriptions, redemptions, transfers and switches)
Reception and booking of client’s transactions: subscriptions,
Bachelor Degree (graduated) Business Management
Equivalent to High School Diploma_ British A-Level
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