Jessica Wenjie Yuan
Sydney,New South Wales
Summary
In-house legal and compliance professional with particular experience in financial services and compliance with relevant laws and regulations applicable to holders of banking licence, AFSL and Australian Market Licence. Skilled in Legal, Compliance, Banking, AML/CTF, Corporate Governance, and Document Drafting.
Detail-minded, reliable and conscientious with a high level of initiative. Excellent organisational skills and able to work under pressure on a multitude of tasks.
Overview
13
13
years of professional experience
1
1
Certification
Work History
Senior Risk and Compliance Analyst
Reserve Bank of Australia
Sydney, NSW
12.2021 - Current
- Participating in consultations with international and domestic industry bodies and other organizations as required and provide feedback and analysis to senior management.
- Monitoring regulatory changes and liaise with the frontline to ensure that they are aware of any changes which may impact on their operations.
- Providing advice within the group on legal and compliance matters.
- Reviewing and updating the Bank's documented compliance policies and procedures, working in conjunction with senior management.
- Assisting with meeting the Bank's compliance program by developing and monitoring risk controls to ensure the Bank meets its internal, industry, and legal obligations.
- Providing input and reports to senior management and other stakeholders on compliance activities.
- Coordinating the evidence of assurance from relevant stakeholders and providing them to external audits in respect to these areas: NPP, BPAY, COIN, PCI-DSS, etc.
- Mentoring and training analysts as directed by management.
Legal and Compliance Officer
Bank of Communications
Sydney, NSW
09.2020 - 12.2021
- Identified and mapping the legal, regulatory obligations.
- Provided legal support services to the company.
- Supported business units by maintaining obligation register, holding Regulatory Triage meeting and providing advice.
- Developed, reviewed and updated internal policies and procedures.
- Implemented AML/CTF programs and performed customer due diligence.
- Facilitated and ensured the on-going effectiveness of the staff Legal and Compliance Training Program.
- Prepared and submitted reports to the CCO, senior management, regulators, and head office.
- Managed relationships with regulators, auditors, external legal advisers, and contacts in head office.
- Ensured the Compliance Monitoring and Testing Program for the local laws as well as the extraterritorial and cross-border laws is appropriate, and detects deficiencies in key controls covering the key compliance and legal risks.
- Assisted with any other responsibilities as directed by CCO.
Paralegal
Ma & Company Solicitors
Sydney, NSW
07.2017 - 08.2020
- Key practice areas were primarily Commercial Law, Property & Projects, Family law, Immigration and Will & Estate.
- Property & Projects: assisted on matters from start to finish for both sale and purchase property and business. Drafting, negotiation and finalization of commercial and retail leases for retail shopping centre and commercial landlords.
- Family law: application for divorce, drafted legal documents including financial agreement, consent order, initiating application and affidavits.
- Will and Estate: drafted will and POA, application for Probate/Letter of Administration, liaised with superannuation company, insurance company and other relevant authorities.
- Immigration: application for student/visitor/partner/investor visa.
- Dispute & Litigation: drafted correspondence & Calderbank letter, preparation of briefs for barristers, legal research and application for costs assessment.
Document Examination Officer
Dye & Durham (formerly Sai Global)
Sydney, NSW
11.2014 - 06.2017
- As a Document Examination Officer, I acted on behalf of a range of leading banking institutions and top-tier law firms.
- My role consisted of the settlement of property sales, purchases and developments, titling inquiries and the review of a range of property related documents including mortgages, transfers and leases.
- Maintained updated Real Property and Conveyancing knowledge through Registrar General.
Relationship Manager
First Sino Bank (acquired by Fubon Bank）
Shanghai, China
12.2012 - 04.2014
- As a Relationship Manager, I provided direct services to commercial customers with respect to deposit, loan, and other miscellaneous products and services.
- Developed, managed and growed prospective client relationships.
- Explored clients financial needs and goals, and provided professional financial advice and tailor-made financial solutions.
- Completed credit and risk assessments and reports.
Education
Master of Laws -
University of Sydney
06-2024
Graduate Diploma of Legal Practice - Legal Practice
College of Law
03.2021
Diploma of Law - Law
University of Sydney - Law Extension Committee
Sydney10.2020
Bachelor - Project Management (Contruction And Real Property)
Shanghai University of Electric Power
Shanghai07.2012
Skills
- Specialise in financial regulations and corporate laws
- Advise on legal matters and corporate governance
- Develop internal policies and procedures
- Manage regulatory risks and legal risks
- Update implement AML/CTF and Sanctions Program
- Conduct employee compliance training
- Growth mindset with can-do attitude
- Supervise and mentor junior analyst
Certification
- Admitted as a legal practitioner in NSW Supreme Court and Australian High Court
- Certified Anti-Money Laundering Specialist (ACAMS)
Timeline
Senior Risk and Compliance Analyst
Reserve Bank of Australia
12.2021 - Current
Legal and Compliance Officer
Bank of Communications
09.2020 - 12.2021
Paralegal
Ma & Company Solicitors
07.2017 - 08.2020
Document Examination Officer
Dye & Durham (formerly Sai Global)
11.2014 - 06.2017
Relationship Manager
First Sino Bank (acquired by Fubon Bank）
12.2012 - 04.2014
Master of Laws -
University of Sydney
Graduate Diploma of Legal Practice - Legal Practice
College of Law
Diploma of Law - Law
University of Sydney - Law Extension Committee
Bachelor - Project Management (Contruction And Real Property)
Shanghai University of Electric Power
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