Emily Kim

Experience

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  Singapore Police Force

  Jun 1995 - Mar 2000

  Investigation Officer (Staff Sergeant), Clementi Police Division HQ

  - Investigating various types of criminal offences committed, prosecuting offenders in court and working closely with Attorney General Chambers.Major Achievements* Successfully prosecuted a high court case. Was the pioneer in “Guidance Program” for juveniles committing criminal offences.

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  People's Association

  Apr 2000 - Jun 2004

  Assistant Manager – Constituency Sports Club Secretariat

  Assistant Manager – Constituency Sports Club Secretariat Jul 2002 – Jun 2004- Manages and administer grants and subsidies of 18-22 Constituency Sports Clubs at the Community Centres and organized tournaments for community participants. Major Achievements* Organized and operate 13 tournaments with a team of 5 staffs, volunteers and National Sports AssociationsSenior Programme Executive – Kallang Sea Sports Club Apr 2000 – Jul 2002- Planning & organizing relevant programmes, conduct basic kayaking courses and managing the club operations.* Set up and managed the People's Association Dragon Boat Team in terms of recruitment, training schedules, subsidies and logistic support. Show less

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  American International Assurance Company Limited

  Jun 2004 - Sept 2004

  Compliance Associate (Contract)

  - Address MAS’s audit on the misconduct of financial advisers.Major Achievements* Investigate into complaint made by policyholders using proper interviewing techniques with policyholders and financial advisors.

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  The HongKong and Shanghai Banking Corporation Limited

  Oct 2004 - Oct 2006

  Compliance Manager, Insurance Subsidiary

  - Perform various audit on the business, review the impact of new regulation to the business and investigate into any breach of conduct by financial advisors.Major Achievements* Simplified, customized and delivered compliance training to staff and financial advisors to ensure that they understand the letter and the spirit of the regulations, policies and guidelines.

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  ABN AMRO Bank N.V.

  Oct 2006 - May 2007

  Assistant Manager, Regional Transaction Surveillance

  - To monitor and analyse customer’s transactions to identify whether there were any potential Money Laundering risks.Major Achievements* Analysed transactions perform by customers in Pakistan on Money Laundering risk and sanctions.

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  Bank of Tokyo Mitsubishi UFJ (Now known as “MUFG”)

  Jun 2007 - May 2008

  Assistant Manager, Asian Compliance Office

  - Oversee the compliance department in various countries (eg. Malaysia, Indonesia, India, Vietnam, Pakistan and Bangladesh), provide advisory and conduct assessment of the compliance risk. Major Achievements* As a newly set up department, facilitated the understanding of the employees at the various units on related regulations and laws of Japan and other internal rules.

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  Prudential Assurance

  Jun 2008 - May 2010

  Assistant Manager

  - Mentored a team to perform reviews on trends of undesirable practices of financial advisors. Major Achievements* Investigated into complaints pertaining to misconduct of financial advisors, supported with relevant reviews, advised the management on the appropriate course of actions to be taken.

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  SJS Capital Management Pte Ltd

  Dec 2010 - Nov 2011

  Compliance Manager

  - Oversee the compliance requirements, including onboarding of new customers, Know your Customer (“KYC”), managing customer complaints, adhering to MAS notices and guidelines.Major Achievements* Formulated compliance requirements for a newly set up privately owned Asset Management Office, not limiting to “KYC”, customer complaints, employee licensing requirements, etc.

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  MUFG

  Nov 2011 - Sept 2019

  Senior Manager, Global Corporate Banking Division, Asia & Oceania

  Senior Manager, Global Corporate Banking Division, Asia & Oceania (November 2014-September 2019)- Oversee internal control and compliance matters in the business and act as a bridge between the business and the Central Compliance Department.Major Achievements* Established the process of onboarding, monitoring of US Persons for the bank to ensure there is no breach of US, Singapore and Japan regulations.* Supervised, provide guidance, advise and review the self-inspection testing conducted by junior staff.Manager, Asian Compliance Office (November 2011- November 2014)- Oversee and provide advisory to the compliance department in various countries (Eg. Malaysia, Indonesia, India, Vietnam and Singapore) and assessment of the compliance risk in these countries adhering to local and head office regulations. Major Achievements* Strengthen the compliance knowledge, facilitated and enhanced the compliance function of the regional units to avoid major audit findings. Show less

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  Norinchukin Bank

  Dec 2019 - Jul 2020

  Vice President

  - Oversee and responsible for the Branch’s regulatory risk management framework of controls like anti-money laundering/anti-terrorism financing policies and procedures. Major Achievements* Enterprise Risk Assessment* Review on the Impact to Know Your Customer (“KYC”) Review Cycle due to Changes to Sanctioned Countries

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  The Shizuoka Bank

  Dec 2021 - now

  Head of Compliance