KHAIRUL SALIKIN ABU NOOR

Experience

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  HSBC

  Aug 2010 - Mar 2013

  Bank Executive

  Understand the process inflow and outflow which related to Crest market.Have a good relation and well communication with all internal and external customers, counterparties and business partners.Able to investigate for any Crest issue and settle it accordingly. Cross-trained other staffs for the Processing and Settlement team.Able to liaise with counterparty and broker in order to agree a trade before it is alleged in market.Amend and set up trade which come directly from client (Via Swift / Fax and Email)SpecialisationsResiduals and Wealth Service DeliveryAble to handle Residuals trade which the stock is non-settle able in the Crest market. Process a physical stock form such as Rematerialization and Dematerialization.Liaise with Business partner (based in London office) to make sure the address is the exact address of the client to make sure the certificate can be send to the client.Liaise with broker (counterparty) to agree the trade before pushing the trade into the market.SettlementAnalyze all of the trades which not settled in the market.Investigate the problem occur in each trades whether the problem came from client, counterparty or HSBC itself as a custodian.Finalized the trade on its settlement date unless there are problems occur with the trade (lack of stock, counterparty problem etc).Advise client via SWIFT if there a mismatch between our trade and counterpart’s trade.Processed an internal stock transfer between the client’s accounts Show less

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  Citi

  Mar 2013 - Nov 2014

  Assistant Manager

  Doing the first – level investigation of transactions and customer information and documentation of findingsCompletion of alert checklists and assessment summaries and propose recommendations for closure / escalation to Senior Analyst/Team LeaderImmediate escalation of suspicious alerts to Senior Analyst/Team LeaderRaise and draft Account Information Request (AIR) for Senior Analyst/Team Leader review and submissionResponsible for supporting the successful accomplishment of internal Risk and Control Self-Assessment (RCSA) programResponsible for following integrated processes and procedures aimed at meeting internal and external regulatory and/or policy requirementsAble to liaise with the Relationship Manager for further clarifications and query on the suspicious activity report.Able to verify the first level investigation of transactions and customer information and documentation of findings.Able to create quality control on the daily process in order to meet the SLA Show less

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  Standard Chartered Bank

  Nov 2014 - Mar 2017

  Compliance Officer

  Perform Wealth Management Sales Documentation check (Unit Trust, Bond, Premium Currency Investment, Structured Investment, Equity Linked Investment, Equity, Banca Insurance) as per stated in the Centralized QA Department Operation Instruction (DOI)Perform callback/call monitoring as per stated in Callback/Call Monitoring procedures/DOI.Liaise with BIU/SBIM in ensuring call back data accuracy.Perform callback/Quality Assurance documentation check within TAT time as per agreed in SLA.Escalate and keep track of any cases which require further clarification to relevant party within TAT.Escalate on issue/significant deviation to UORM for further action.Identify and raise any issue pertaining to problem in performing callback/monitoring in call back meeting.Prepare periodic MI for Wealth Management (QA & Callback/Call Monitoring) on timely basis for Senior Management reporting/Forum.Prepare clawback report for incentive clawback on timely basis.Branch visit and observation for error minimization and optimization. Show less

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  Affin Bank Berhad

  Mar 2017 - May 2023

  Wealth Management Compliance and Quality

  • INTEGRITY & GOVERNANCE OFFICER

    Mar 2020 - May 2023

  • Assistant Vice President

    Mar 2017 - Feb 2020
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  DELEUM

  May 2023 - Dec 2023

  Manager Corporate Compliance & Risk
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  Liberty General Insurance Berhad

  Dec 2023 - now

  Head of Compliance Monitoring