Experience

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  Kpmg china

  Nov 2013 - Aug 2016

  Assistant manager

  • In-charge on the audit engagements, including banks and securities firms and regulator• Set up audit strategy, budgets, staff planning and work allocation • Identify audit issues and report the findings to management • Review KYC documentation of more than 200 accounts in Asia Pacific

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  Mufg

  Sept 2016 - Feb 2019

  Assistant vice president

  • Manage the Consumer Tax Transparency scheme of the branch with over 900 staff members in Hong Kong• Lead the CRS project (over 20 staff members) • Represent in the Innovation Committee of migrating manual operational procedures into Machine Learning and Robotic Process Automation• Provide trainings, and design FAQs to relevant stakeholders • Coordinate with APAC Compliance Team from different regions (Australia, Vietnam, Singapore, etc), gather and share experience in relation to the ad-hoc compliance projects • Rated as High Performer in 2018 and 2019 Show less

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  Banco santander

  Feb 2019 - Nov 2021

  Compliance manager

  • Monitor internal AML policies & procedures, and their implementation are complied with the regulation• Verify independently and autonomously if all necessary internal processes/procedures/controls on regulatory compliance • Coordinate projects with the global compliance team in Madrid, and overseas branches e.g., Singapore, China, share and execute the worldwide best practice• Propose organizational and procedural modifications, verify the effectiveness of the organizational changes recommended for risk prevention purposes Show less

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  Crédit industriel et commercial (cic)

  Nov 2021 - Feb 2022

  Compliance manager

  • Attribute all the responsibilities concerning Branch compliance issues, including Anti-Money Laundering (AML) related matters to ensure the banks comply with regulatory requirements• Resolve complex AML issues • Apply the operating standards from Head Office and among Asia Pacific offices• Promptly respond to any reasonable request for information from the Local Regulators and Law Enforcement Agencies• Offer professional advice and assistance to staffs in all matters of significance from a compliance risk perspective and promote a sound corporate culture Show less

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  Loftus technology

  Feb 2023 - now

  Iso 27001 & compliance subject matter expert

  • Lead the development and implementation of ISO 27001 Information Security Management System (ISMS) that align with the requirements and industry practices• Establish information security policies, procedures and controls• Conduct and maintain a risk map to capture the risk assessment outcome through identifying potential vulnerabilities and threats • Develop risk treatment strategies and oversee their implementation• Ensure applicable laws, regulations, and industry standards related to information security and privacy are complied with• Coordinate with internal stakeholders (management and staffs) and external parties (external auditors and certification body) throughout the ISO 27001 certification process and ongoing monitoring of the audit findings • Develop training programs and deliver awareness sessions to educate employees about the best practices of information security Show less

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  Global compliance institute

  Jun 2024 - now

  Gci accredited trainer

  GCI® (Global Compliance Institute) is an International Financial Crime Prevention and Compliance Training Institute. We specialise in Compliance and Combatting Financial Crime, including Anti-Money Laundering and Terrorism Financing.In addition to KYC, Sanctions and Embargoes, Regulatory Compliance Management, FATCA and CRS.