Thu Phan, CAMS

Experience

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  HSBC

  May 2010 - Apr 2019

  - Perform supervisory duties, quality checks during the course of investigation, produce reports/metrics relevant to team performance - Establish procedures/guidelines complying with the local AML regulation and Group Compliance policy as well.- Maintain a close relationship with related stakeholders and business partners in country and regional/global to support them to enhance the control, as necessary improves, the effectiveness of system/procedures and mitigate the risks to the bank- Identify and escalate timely any financial crime risks to line manager or senior manager to mitigate the risks to the bank- Profound experience in reviewing and analyzing customers’ documents/profile, customer’s KYC- Deliver a necessary training/huddles briefing to ensure team members to understand and comply with the local AML regulation as well as monitor staff performance for timely feedback on their career path- Produce and maintain all required reports periodically and on ad-hoc basis: such as backlog volume, monthly report, SUT, head count report and other kinds of AML reports.- Review, provide action and keep tracking for findings relevant to financial crimes in country- Provide valued supports in consultation for FCC related matters to Business Functions Show less - Adhered strictly to compliance with the Anti-Money Laundering Policy and the FCC Guidance for Transaction Monitoring and Law Enforcement enquiries- Perform Quality Control to ensure the work of investigators be accurate, complete and in accordance with policy and regulation - Specialize in conducting AML investigation for Retail Banking, Corporate and Global market banking- Maintain a strong collaboration among AML team, FCC and other working parties, locally and regionally, to drive best practices for the teams- Identify and escalate timely any financial crime risks to line manager to mitigate the risks to the bank.- Profound experience in reviewing and analyzing customers’ documents/profile, customer’s KYC- Contribute in many projects and initiatives in the preparation stage for the new standard launch-out in order to spot gaps as well as trends- Support some kinds of reports periodically, such as: backlog volume, monthly report, head count report… Show less - Adhered strictly to compliance with the Anti-Money Laundering Policy and the FCC Guidance for Transaction Monitoring and Law Enforcement Enquiries- Perform Quality Control to ensure the work of investigators be accurate, complete and in accordance with policy and regulation - Specialize in conducting AML investigation for Retail Banking, Corporate and Global market banking- Maintain a strong collaboration amongst AMLi, FCC and other working parties, locally and regionally, to drive best practices for the teams- Identify and escalate timely any financial crime risks to line manager to mitigate the risks to the bank.- Profound experience in reviewing and analyzing customers’ documents/profile, customer’s KYC- Contribute in many projects and initiatives in the preparation stage for the new standard launch-out in order to spot gaps as well as trends Show less - Contribute in many RBWM remediation projects - Perform leading small team for RBWM remediation projects in order to prepare for new standard go-live as part of HSBC commitment to implement it. - Perform the testing UAT and end to end process review for CDD Deployment as well for implementing the new standard for all customers.- Produce all kinds of reports periodically and on an ad-hoc basis, such as: report for RBWM remediation projects,…- Weekly meeting or ad-hoc meeting with other countries, Transformation for project plan, guidance preparation - Establish procedures/guidelines of each projects before kicking start of those projects - Raise and escalate timely some features to improve the Quality and simply the process Show less - Establish the enhanced guidelines/procedure and support line manager to conduct the briefing to update policies and procedures for whole team to ensure team member to comply with the policy and regulation.- Verify the customers’ profile and transactions before granting the loan limit to them to ensure their capabilities to settle the loan- Detect fraud from the criminal to protect our bank against credit risk- Approve the loan limit for customers- Perform many kind of reports periodically and on an ad-hoc basic, such as QAS reports, Fraud Ad-hoc reports for SFR to control the figure and analysis of fraud cases and the trend of fraud Show less

  • Team Leader, FCC AML Manager

    Jul 2018 - Apr 2019

  • FCC AML Manager

    Oct 2017 - Apr 2019

  • Senior FCC AML Officer

    Apr 2016 - Sept 2017

  • Customer Due Diligence Assistant

    Jul 2014 - Apr 2016

  • PIL/Card verification – PIL disbursement Assistant

    May 2010 - Jul 2014
• 

  Sumitomo Mitsui Banking Corporation (SMBC) Asia Pacific

  Apr 2019 - now

  • AML Governance Team Lead

    Oct 2022 - now

  • AML Compliance Assistant Manager

    Apr 2019 - now