London Area, United Kingdom
- Financial Crime professional with well-rounded experience in Insurance (GI & Lloyd’s), Investment Banking (ECM / DCM / M&A), Global Markets, Wholesale Banking (Trade Finance / Cash Management), Correspondent Banking, Private Banking, Retail Banking and Asset Management. - End-to-end AML / Sanctions / AB&C / Reputational Risk / Export Control / CDD advisory, review and testing, regulatory filing and oversight experience from local, regional, global perspective. - Risk and control qualifications (CAMS, CGSS, ICA certificates, ACA, CPA) - Project lead and advisor in extensive initiatives e.g. AML Governance Framework, FCC Transformation, Policy & Procedures Formulation / Adoption, Regulatory Monitoring Program, Representation in Industry Forum / Working Group, Risk Scoring Methodology, System Implementation, CDD Remediation, digital onboarding, ongoing monitoring. - Broad experience in collaboration and relationship building with 1st, 2nd and 3rd line of defence, senior management (including C-suite executives), regulators and external consultants / counsels in cross border organisations.
• Direct reporting to Global Head of Financial Crime Group • Financial Crime (Sanctions & Export Controls, AML, ABC, Antiboycott) Advisory - Global, UK & EMEA (GI & Lloyd’s)
Regional and Local FCC • Reported to Regional Head of Sanctions (UK and Europe)
Global and Local FCC • Direct reporting to Global Head of Financial Crime Compliance, led AML and Sanctions Advisory team for Wholesale Banking, Investment Banking (Global Markets / Debt Capital Markets / Treasury), Correspondent Banking, Retail Banking, Private Banking, Asset Management and Insurance. • Represented FCC on advices / sign-off, provided regular updates to senior management (including CEO and head of business lines) and liaised with internal auditors. • Revamped group-level FCC (AML / Sanctions / AB&C) framework, formulated new Policy and Procedures, streamlined business processes. •Worked alongside Local MLROs and provided guidance, support and oversight to FCC teams in the Bank’s branches and subsidiaries in the United States, Singapore, China, Macau and Hong Kong. • Acted as project lead for group-wide FCC revamp program, managed progress and delivery, met and liaised with regulators and external consultants. • Represented the Bank in AML Committee of the Hong Kong Association of Banks, which discussed and developed industry guidance / FAQ in relation to AML/CFT areas for banks in Hong Kong.
Local FCC • Led Financial Crime Advisory (AML/Sanctions/AB&C) and transaction monitoring support for Investment Banking and Capital Markets (ECM/DCM/M&A) and Global Markets in Hong Kong. • Reviewed AML requirements and Source of Wealth corroboration for Private Banking customers. • Provided exception approvals and senior management updates to ensure ML / Sanctions / AB&C risks / reputational risks / PEP nexus escalated were properly managed. • Collaborated with first line, regional teams, counterparts in other locations and offshore support teams.
Regional FCC • Provided regional Financial Crime Advisory support for 20+ Asia Pacific group entities in Corporate Banking, Trade Finance, Global Liquidity and Cash Management. • Worked with UK global team and local teams in multiple jurisdictions on implementation of new group AML / Sanctions Policy and various initiatives (including Enterprise-Wide Risk and Control Assessment). • Governance and oversight - coordinated reporting to senior management on FCC matters ( AML / Sanctions / AB&C / Transaction monitoring / Fraud / Reputation risks). • Investigated and followed up on significant regional issues, internal audit / regulatory review findings.