Singapore
• Served as a subject matter expert in compliance and operational risk, advising cross-functional teams on regulatory requirements. • Led surveillance reviews of employee communications, identifying conduct risks and delivering independent risk assessments. • Investigated suspicious activity to ensure alignment with AML regulations, employee conduct and trading policies. • Spearheaded enhancements to employee monitoring, strengthening oversight and improving compliance controls.
* Managed end-to-end processes for workflows such as Personal Account Dealing and Gifts & Entertainment. * Automated routine reporting through Excel VBA Macros, streamlining operations. * Advised on Employee Compliance policies to uphold organizational standards.
* Conduct intermediary finder and vendor due diligence reviews, analysis and writing-up reports * Investigating escalations and conducting forensic reviews * Identify and review relationship candidates for pre offer hires and post offer background checks * Ring-fencing of relationship candidates * Reviewing gifts and entertainment, relationship candidates and charitable contribution requests
* Support compliance reviews per compliance monitoring programme to identify key compliance risks and follow up with any noted discrepancies * Support monitoring tasks, e.g. personal account dealing system * Assist in the development of compliance project. involving the use of big structured/ unstructured data as well as the regulatory representation to better visualize the regulato risk exposure faced by the different functions * Assist in keeping and maintaining proper compliance records
* Conduct due diligence, AML/CFT screening on onboarding new clients, renewals, pay-outs and transactions * Review the company's Compliance framework, Anti-money laundering and Countering of Financing of Terrorism ("AML/CFT") policies and provide recommendations * Provide support and advice on day-to-day operations in accordance with the Company compliance framework * Proactively audit processes, practices and documents to identify weaknesses