Critical Thinking & Analytical Skill
• Coordinating with cross-functional teams to organise governance committees and preparing reports to ensure compliance matters are well-communicated with key stakeholders within BNP Paribas (BNPP);
• Liaising with various teams, assessing operational incidents and presenting review outcomes on a weekly basis;
• Managing compliance procedure framework locally to ensure BNPP policies are appropriately implemented in a timely manner;
• Participating in meetings with representatives from APAC and Group to discuss various topics including incident management, procedure management, outsourcing and compliance projects;
• Providing ad-hoc advisory to address clients' queries, responding to their questionnaires on compliance topics and attending clients' due diligence meetings;
• Managing compliance training programs locally to ensure all staff receive appropriate learning sessions;
• Proactively involved in auditing projects to coordinate and address questions from internal and external auditors;
• Enhanced / enhancing processes on various compliance matters for better efficiency and/or quality, exceeded key stakeholders' expectation:
1) Streamlined and re-shaped governance reporting to avoid duplication within the team;
2) Re-structured Echonet page to better promote compliance procedures and cultures;
3) Established ‘Reminder' function to ensure compliance tasks are tracked via automated solution; and
4) Created various templates for data generation and reporting.
• Provided advice to Mason Stevens (MS) compliance framework covering its Managed Investment Schemes, Managed Discretionary Account (MDA) services, a retail superannuation and AFS licensing requirements;
• Developed, implemented, and reviewed company policies and procedures to ensure that MS complies with relevant laws, regulations, regulatory guides, and industry standards;
• Organised and prepared quarterly compliance committee meetings to report compliance matters to stakeholders.
• Identified, investigated and recorded incidents and breaches that occurred internally and externally (outsourcing service providers). Provided guidance and sign off on the corrective actions to prevent future occurrence.
• Monitored regulatory changes and performed impact analysis to determine applicability to MS, and provided advisory during implementation phase to meet new / updated regulatory requirements;
• Conducted compliance monitoring programs and regular reviews to ensure that adequate controls have been undertaken including AML/CTF programs, KYC, MDA and Product Design and Distribution Obligations (DDO) checks;
• Key point of contact for all matters relating to DDO and managing monitoring and reporting for more than 600 funds on the platforms;
• Re-shaped Money Laundering (ML) and Terrorism Financing (TF) Risk Assessment approach and performed regular checks to determine whether the ML/TF risk has been mitigated and managed to an acceptable level based on MS' risk appetite;
• Enhanced AML/CTF Transaction Monitoring Methodology so that robust tests can be completed to detect whether any suspicious transaction has occurred across 50,000 plus accounts.
• Reviewed and approved marketing materials including performance reports, significant event notice, website information, sales slides and communications;
• Delivered compliance training for various topics to ensure all staff comply with applicable laws, regulations, rules and company policies;
• Maintained registers regarding risk profile, training, conflict of interests and incidents.
• Performed assessment on the financial advice provided by clients and regularly presented outcomes to clients and key stakeholders, in the fast-paced environment;
• Regularly participated in the Methodology Forum and discussed with external stakeholders regarding the policies and methodologies applied for their remediation programs and operational processes;
• Designed and continuously developed the Assessment Tool which significantly improved the efficiency of the Assessment Team and benefited to more than 100 team members with positive feedbacks on user experience;
• A key member of the engagement team to implement new projects for clients, designed work procedure, created the Assessment Models and documented relevant guidelines for other junior team members;
• Identified and reported Key Risk Indicators (KRIs) of advisers who serviced and/or were servicing under the clients' wealth management departments, provided thorough analysis to investigate exposure of risk, estimate potential loss and set up risk ratings for advisers, as well as conducted stress test based on regulators' updates;
• Provided technical support and coached team members regarding regulatory requirements, assessment guidelines and methodologies, and explained the nature of complex products associated with relevant risks and investigation approaches;
• Achieved recognition by clients, internal stakeholders and team members as a knowledgeable consultant due to excellent analytical skills, comprehensive skill sets and flexibility.
Critical Thinking & Analytical Skill
Problem-solving Skill
Communication Skill
Adaptability
Innovation
Advanced Software Skill