Harry Luu, FRM

Experience

• 

  Bank of China (Hong Kong)

  Jul 2017 - Aug 2017

  Summer Intern, Personal Banking Risk and Integrated Management Department

  - CDD review for Personal and SME customer- Perform transaction reporting for AML/ CTF

• 

  Standard Chartered Bank

  Jul 2018 - Oct 2021

  Financial Market Regulatory Onboarding for CCIB customers- Regulatory classification (EMIR, MiFID, HK Clearing, HK Margin)- FM classification document check (ISDA, GMRA)- FM product: bond, time deposit, FX, REPO, IRS - Non-bank FI: Investment Manager, Fund, SPV, Money Lender- New to Bank client onboarding (Adverse news, FATCA, CRS, Ownership/ UBO, PEP, Sanctions)- Periodic and Trigger CDD/ KYC- Enhance Due Diligence for High-risk clients (Unregulated Fund, PEP linked)- Client-facing role- Account amendment, additional account set up

  • Financial Market Regulatory Onboarding, Commercial Corporate & Institution Banking

    May 2020 - Oct 2021

  • Client Onboarding & Account Management Specialist, Financial Institution

    Jul 2018 - May 2020
• 

  KeyChain Pay

  Nov 2021 - Feb 2022

  Compliance Consultant

  Payment service company- Act as an escalation point for CDD operation issue- Policy and procedure review and update

• 

  NatWest Group

  Feb 2022 - May 2024

  High Risk Customer: Money Service Business, Online Gambling Operator, Real Estate & Letting Agent- CDD review- Transactional Analysis - Periodic CDD review- Transactional Analysis

  • Special Interest Clients CDD Analyst

    Oct 2023 - May 2024

  • Correspondent Banking CDD Analyst

    Feb 2022 - Oct 2023
• 

  RBS International

  May 2024 - Dec 2024

  Subject Matter Expert - CDD/ EDR
• 

  NatWest Group

  Jan 2025 - now

  Quality Assurance Analyst