Hangzhou, Zhejiang, China
◆11 years of banking & project management experience (7+years leader role) in HSBC & Standard Chartered bank. Responsible for Banking Operations, Staff Engagement, QA/QC Support, System Management and Internal Audit ◆Excellent Team Management, Including SLA Adherence, Work Assignment, Process Optimization, Team Engagement , Attrition Control, On-Time Reporting ◆Certified Anti-Money Laundering Specialist, Excellent MS Office Skill and primary SQL , Python ◆Work Accuracy, Thoroughness and Efficient, Strong Data Analytical Skills and Communication Skill
◆ Join the team as the initial staff, work with the city manager in building up the HSBC personal wealth planner team in Hangzhou, realizing the project from 0 to 1. The current team size exceeds 140 people. ◆ Responsible for risk control and compliance operation of the HZ team, design business operation process, and conduct regular compliance self-inspection ◆ Maintain customer relationship management system, conduct daily customer information screening & CDD/EDD verification process ◆ Responsible for the application and maintenance of various business systems for employees, and the management of various qualifications of the project ◆ Planning and implementation of marketing activities, promoting sales plans and targets, and promoting transformation from the perspective of data ◆Cooperate with other departments, timely feedback related problems, optimize the overall operation process of the project
1. Responsible for implementing the risk management policies and relevant requirements of the head office and branch, leading the work related to internal control of risk compliance of the department, promoting the construction of internal control system of compliance, organizing supervision and inspection, timely discovering problems existing in internal control of compliance, and effectively implementing rectification; 2. Responsible for regularly monitoring and evaluating the risk compliance status of private bank business, and issuing risk warning information and risk prompt; Take the lead to carry out the duration management, timely take risk control and public opinion handling measures for the business that has generated risks, and timely submit policies and systems for adjustment; 3. Responsible for the collection, creation and construction of the asset management of public funds, private funds and securities firms, including due diligence and submission, transaction text drafting, risk control measures implementation, contract signing, product landing and duration management. 4. Responsible for organizing the sales promotion of public funds, private funds, securities asset management and other products of private bank clients, as well as asset portfolio allocation.
1. Management ◆Project mainly focus on HSBC (HongKong) Anti Money Laundry/Customer Due Diligence/Sanction related financial crime and risk operations (Including personal A/C & Corp business) ◆Successfully onboarding the whole project as an initial staff, and migrate the process from HSBC to TCS, which include hiring staffs and training arrangement, infrastructure preparation, onsite/offsite visit with stakeholders to ensure the project landed successfully in Hangzhou site ◆ In charge of whole project quality control and assurance,monitor AML/CDD case errors and follow up with stakeholders ◆Work closely with internal stakeholders & clients on governance call and sub projects for process implementations ◆ Responsible for a team size of 15 people, focus on AML/KYC data analysis and STR filling/customer leadexit. 2. Business ◆Review client onboarding data and adjust the risk rating according to the global policy/country regulation, screening the official list for sanction parties and conduct NNS to avoid the compliance risk ◆Identify legal Ultimate Beneficial Owner (UBO) of any legal entities – 25% and implement of ongoing due diligence monitoring ◆Conduct suspicious transaction monitoring from three dimensions (customer/region/product service), write suspicious transaction report, and handle nearly a thousand suspicious transaction alerts during the period ◆Connect with the branch staff (relationship manager) for client's data verification and document collection, upload to system and record in the tracker ◆Lead internal subject matter experts (SMEs) to consolidate the False Positive alerts and feedback to stakeholders for system and process implementation 3. Self-Development ◆Obtained the CAMS Certification, and acted as the part-time translator of ACAMS international association ◆Good communication skills, in charge of whole project staff engagement activities and town hall holding events
◆ Internal operation and management role, responsible for the branch daily operation and customer service ◆Submit large sum and suspicious transaction report as required by PBOC and SAFE on daily basis ◆The preparation and delivery of various business reports, organization and development of case prevention and control work, customer consultation and complaint handling, internal system maintenance and material repair management ◆Coordinate the collaboration of cross department colleagues, implement the operation and sales process, supervise the compliance of the process, and improve the customer experience ◆Carry out internal audit, eliminate business operation risk points, respond to the inspection of external regulators, and ensure the compliance of the bank operation ◆Write the self correction report of business self examination, put forward the rectification plan and organize the training work to enhance the awareness, knowledge and working skills
2011.6-2012.10 Take role as Operating Officer ◆Responsible for handling the personal &corporation business, control the business risks, and ensure the business comply to compliance requirement ◆Consolidating customer feedback and offer suggestions to improve the business process ◆Improve customer service, control business error rate, and offer standard service 2012.11-2013.12 Serve as Personal Banking Manager ◆Responsible for the development of new customers and the maintenance of the stock customers, and provide the special financial services for the high net value customers ◆Analyze the customer's investment data model and provide the optimal portfolio proposal ◆Responsible for planning and development of the regular financial salon and writing the summary report