Andy Sun

Andy Sun Email and Phone Number

Director - Financial Crime Risk (Corporate & Institutional Banking) @ Westpac Institutional Bank
Andy Sun's Location
Sydney, New South Wales, Australia, Australia
Andy Sun's Contact Details

Andy Sun work email

Andy Sun personal email

n/a
About Andy Sun

A risk management professional specialising in Financial Crime Compliance across banking, financial services, markets and business lending industries. Experienced in providing compliance advice in regards to AML/CTF, Customer Due Diligence (CDD), Enhanced Customer Due Diligence (ECDD), Ongoing Customer Due Diligence (OCDD), Regulatory Reporting, Tax Reporting, Fraud and Sanctions in both 1st and 2nd Line of Defence capacities. Confident communicator with the ability to build meaningful relationships with both internal stakeholders and external regulators. Other experiences include practical application of Privacy Act, Corporations Act, Market Integrity and ASX Rules. Relevant areas of experience include:• AML/CTF Advisory • Fraud Investigations • Sanctions Screening • KYC Onboarding • PEPs and High-Risk Customers • Incident & Issue Management • Enterprise Risk Assessments • AML/CTF Programs Part A & B • TTRs & IFTIs • Suspicious Matter Reporting (SMRs) • Transaction Monitoring • FATCA & CRS

Andy Sun's Current Company Details
Westpac Institutional Bank

Westpac Institutional Bank

View
Director - Financial Crime Risk (Corporate & Institutional Banking)
Andy Sun Work Experience Details
  • Westpac Institutional Bank
    Director - Financial Crime Risk
    Westpac Institutional Bank Mar 2024 - Present
    Sydney, New South Wales, Au
    View
  • Westpac Institutional Bank
    Senior Manager, Financial Crime Risk
    Westpac Institutional Bank Nov 2021 - Mar 2024
    Sydney, New South Wales, Au
    View
  • Westpac Group
    Senior Manager, Financial Crime Risk (Business Lending)
    Westpac Group Aug 2020 - Nov 2021
    Sydney, New South Wales, Au
    Key Responsibilities:Supporting multibrands including Westpac, St George and Capital Finance.• Financial Crime SME: providing advice on AML/CTF compliance including KYC Part B, Threshold Transaction Reports (TTRs), Customer Screening (PEPs & Sanctions), record keeping and suspicious matter reporting.• Key stakeholder in AML projects and remediation programs.• Review and uplift of existing financial crime controls to align with Financial Crime Program standards.• Management of Financial Crime incidents and issues.• Provide Financial Crime awareness training across the business units.
    View
  • Cmc Markets Apac
    Compliance & Operational Risk Manager (Financial Crime Compliance)
    Cmc Markets Apac Oct 2019 - Aug 2020
    Sydney, Nsw, Au
    Key Responsibilities:• Provided ongoing compliance advice covering AML/CTF, Corporations Act, Privacy Act, Regulatory Guides and Market Integrity Rules.• Assisted in the management of, and response to, audits and external reviews, as well as gather and supply information for regulatory requests.• Maintained a compliance monitoring framework that adheres to internal policies and procedures and all external regulatory legislation for activities within Australia & New Zealand.• Incident management: assessed significance and reported to regulators where necessary.• Reviewed and signed-off marketing material for compliance.
    View
  • Cmc Markets Apac
    Mlro Australia
    Cmc Markets Apac Oct 2019 - Aug 2020
    Sydney, Nsw, Au
    Key Responsibilities:• Designated Financial Crime Manager for Australia registered with AUSTRAC. • Provided ongoing advice in relation to AML/CTF matters such as KYC Part B compliance, transaction monitoring, PEP and Sanction Screening.• Transaction monitoring: reviewed transaction alerts and reported suspicious activity to AUSTRAC.• Conducted enhanced due diligence on high risk or politically exposed persons (PEPs).• Managed AML related projects and remediation.
    View
  • Commonwealth Bank
    Risk Executive
    Commonwealth Bank Nov 2017 - Oct 2019
    Sydney, Nsw, Au
    Key Responsibilities:• Provide expert compliance advice in relation to relevant regulatory obligations (Market Integrity Rules (MIRs), Corporations Act, ASX Rules, AML/CTF Act and Privacy Act) affecting the business.• Conduct trade/transaction monitoring to comply with ASIC and AUSTRAC obligations.• Escalate plus report any suspicious activities within the business under ASIC MIRs and AML/CTF Act obligations. • Financial Crime SME: provided guidance on complying with KYC Part B and transaction monitoring standards.• Incident and issue management in accordance with group standards.
    View
  • Asx
    Senior Market Analyst, Market Surveillance
    Asx Jun 2014 - Nov 2017
    Sydney, Nsw, Au
    Key Responsibilities:• Market incident management: analyse or escalate issues relating to markets, trading and companies.• Contribute to systems development including new trading platform and SMARTS.• Referrals to ASIC on matters relating to insider trading and market manipulation. • Complex transactions monitoring to detect unusual patterns within financial markets. • Handled escalations from internal teams or regulators.
    View
  • Commsec
    Senior Equities Associate
    Commsec Jul 2012 - Jun 2014
    Sydney, Nsw, Au
    Key Responsibilities:• Management and mentor of staff in CommSec equity trading teams.• Handled escalations including complaints and fraud on a daily basis. • Quality Assurance: reviewed staff phone and email interactions with clients. • Incident management: rectification of incidents relating to customer identification, privacy, fraud, financial crime and regulatory breaches.
    View

Andy Sun Skills

Australian Equities Analytical Skills Customer Relationship Management Equity Derivatives Team Leadership Stockbroking Customer Service Management Complaint Handling Time Management Trade Compliance Market Surveillance Continuous Improvement Investments Banking Risk Management Complaint Management Compliance Management

Andy Sun Education Details

  • Macquarie University
    Macquarie University
    Applied Finance/Law
  • Australian Financial Markets Association (Afma)
    Australian Financial Markets Association (Afma)
    Diploma Of Financial Markets (Operations Stream)
  • Kaplan Professional
    Kaplan Professional
    Accredited Derivatives Adviser Level 2 (Ada2)
  • Kaplan Professional
    Kaplan Professional
    Accredited Derivatives Adviser Level 1 (Ada1)
  • Deakin University
    Deakin University
    Margin Lending Accreditation Program
  • Deakin University
    Deakin University
    Rg146 - Securities & Managed Investments Accreditation Program
  • Deakin University
    Deakin University
    Professional Diploma In Stockbroking

Frequently Asked Questions about Andy Sun

What company does Andy Sun work for?

Andy Sun works for Westpac Institutional Bank

What is Andy Sun's role at the current company?

Andy Sun's current role is Director - Financial Crime Risk (Corporate & Institutional Banking).

What is Andy Sun's email address?

Andy Sun's email address is an****@****.com.au

What schools did Andy Sun attend?

Andy Sun attended Macquarie University, Australian Financial Markets Association (Afma), Kaplan Professional, Kaplan Professional, Deakin University, Deakin University, Deakin University.

What skills is Andy Sun known for?

Andy Sun has skills like Australian Equities, Analytical Skills, Customer Relationship Management, Equity Derivatives, Team Leadership, Stockbroking, Customer Service Management, Complaint Handling, Time Management, Trade Compliance, Market Surveillance, Continuous Improvement.

Free Chrome Extension

Find emails, phones & company data instantly

Find verified emails from LinkedIn profiles
Get direct phone numbers & mobile contacts
Access company data & employee information
Works directly on LinkedIn - no copy/paste needed
Get Chrome Extension - Free

Aero Online

Your AI prospecting assistant

Download 750 million emails and 100 million phone numbers

Access emails and phone numbers of over 750 million business users. Instantly download verified profiles using 20+ filters, including location, job title, company, function, and industry.