Singapore, Singapore
Compliance professional with 10 years’ experience across financial institutions (SWIFT), DNFBPs, and non-financial corporates in the oil & gas commodities trading sector. Legally trained (Diploma in Law, LLB) and certified (CAMS, ICA KYC/CDD), I specialise in AML/CFT, sanctions compliance, governance, and cross-border regulatory risk. Currently completing my MBA in General Management, I blend legal insight, regulatory expertise, and business strategy to deliver robust compliance frameworks in high-risk, multi-jurisdictional environments. Fluent in English, Chinese, and Malay, I am able to liaise effectively with stakeholders across Asia-Pacific, and beyond, bridging regulatory expectations and cultural nuances. My approach is proactive and risk-based, ensuring organisational integrity while supporting business growth.
(A boutique but fast-growing oil and gas trading company, where the lean structure and entrepreneurial environment enabled me to take ownership of the compliance function - allowing me to build frameworks from the ground up, drive hands-on implementation, and create a lasting legacy through tailored compliance programmes for both cargo and bunker operations.) • Developed and maintained comprehensive Sanctions Compliance frameworks, including the Sanctions Manual, SOPs, and policies aligned with international regulations (e.g., OFAC, UN, EU, UK). • Conducted sanctions risk assessments on counterparties, directors, shareholders/UBO, vessels, ensuring no exposure to sanctioned entities, especially under high-risk regimes (e.g., Iran, Russia). • Regularly monitored geopolitical developments and global enforcement trends (e.g., U.S. “maximum pressure” campaign) to identify and mitigate emerging sanctions risks. • Provide strategic compliance guidance to employees, ensuring day-to-day transactions and trade decisions align with internal risk appetite and global compliance requirements. • Manage AML, Sanctions, Anti-Bribery & Corruption, and Information Management policies to reflect latest regulatory updates and best practices. • Led the design and delivery of in-house compliance training programmes for all staff, fostering awareness of sanctions, KYC, and corporate compliance obligations. • Evaluated and improved sanctions screening tools and KYC onboarding systems to support effective due diligence and reduce false positives. • Collaborated with Legal team, Credit Risk team on policy alignment, counterparty risk assessment, and internal escalation protocols. • Supervised junior compliance staff, including review of escalated screening results, providing hands-on mentorship and technical oversight. • Disseminated critical sanctions updates and advisories internally, ensuring stakeholders are informed of relevant developments and compliance implications.
• Person in charge of KYC and Client Onboarding Process in energy and commodities trading company • Initiates customer due-diligence via pre-screening clearance on counterparty at entity level as well as affiliated entities/individuals • Handles the request and/or exchange of company information and documents with counterparties • Handles vessels screening for Know-Your-Vessel (KYV) purposes • Utilizes external tools such as KOMGO, LSEG World Check, Factiva • Maintains proper documentation record • Works closely with Credit Risk team as KYC is part of Risk management • Continuous periodic screening, ie ODD for existing, onboarded counterparties. • Keeps abreast of general compliance related regulations, industry specific compliance cases, compliance status for countries which our company has business trading activities in.
• Senior compliance officer in the SWIFT KL Internal Compliance team, specialising in due diligence for onboarding and existing customers - banks, financial institutions, insurance, investment companies, corporations, service bureau and partners. • Working closely with authorities such as local registries and regulators in more than 200 countries and territories including BNM, MAS, SGX to ensure all enquiries and request for information are promptly addressed • Legally trained for legal research, conducting both internal and external checks, recognising red flags, completing EDD reports, reporting to Legal and Compliance department, informing local authorities such as Registries and Regulators of different regions and countries • Key person for Membership change management process, such as Mergers and Acquisition, transfer of ownership (BIC) • Handles cases of loss of licenses, liquidation, sanctions, Legal watchlist, PEP, criminal records • Person in charge in raising and managing JIRA, Confluence as well as other tools such as SAP, PEGA, Pairaphrase, Alliance messaging management • Experienced in performing high quality pre-onboarding and ongoing due diligence - risk management, identifying red flags and risks - handling enhanced due diligence report and additional checks. • Experienced in using compliance tools and third parties database such as Thomson Reuters World Check, Accuity (both compliance and passport screenings), Orbis (compliance, directorship, shareholding/ownership, M&A, Liquidation), Dow Jones Factiva (corporates - Listed, owned by Listed, Sanctions checks, Adverse media checks) BWO, Swiftref, Swift KYCR • Mitigate risks of accepting fraudulent applicants and to ensure they are comply with SWIFT Corporate Rules • Conducts training to team members as well as info-sharing to other stakeholders team • Transversal representative in Learning & Development and ONETeam as well as active contributor/project owner in CSR programme.
• Roles of Senior compliance officer, Anti-Money-Laundering officer (MLRO) as well as Risk Management Officer (CRO) • Solely in charge of Compliance Programme in Rockwills MY reporting to Compliance Head in Rockwills SG • Experienced and in-depth knowledge in Will-writing and Trust • Performed due diligence checks on will and trust parties such as beneficiaries, trustor, trustee • insolvency check and other Compliance checks such as a hits for crime records and PEP • Panama papers study • Crowdfunding research • Familiar in KYC,PDPA, AML/CFT • Submitted Suspicious Transaction Report (STR) timely to Bank Negara Malaysia (BNM) • FATCA/CRS implementation (tools/software and guidance notes) and knowledge in US Persons • risk management - drafting and maintaining checklist and risk mitigating programme • SOP drafting using Visio • Attended external trainings frequently such as FATCA course, CRS course as well as briefing and talks held in BNM • Conducted Compliance training to all company employees