Daniel Siu Fung Mak Email & Phone Number

Hong Kong

London, England, United Kingdom

London Area, United Kingdom

London, England, United Kingdom

Plenitude is a niche consultancy, specialising in Financial Crime Risk and Compliance. Our focus is firmly on addressing the legal, regulatory, reputational and social imperative for financial institutions to take diligent and rigorous steps to mitigate financial crime risks. We help our clients meet their regulatory obligations and reduce their financial crime risk exposure by providing deep subject matter expertise, advisory and transformation services. Our services are… Show more Plenitude is a niche consultancy, specialising in Financial Crime Risk and Compliance. Our focus is firmly on addressing the legal, regulatory, reputational and social imperative for financial institutions to take diligent and rigorous steps to mitigate financial crime risks. We help our clients meet their regulatory obligations and reduce their financial crime risk exposure by providing deep subject matter expertise, advisory and transformation services. Our services are augmented with subscription products that gives our clients enhanced insight into the vast array of FCC laws, regulations, guidance and risk indicators, to more effectively manage financial crime risk while reducing overall costs. We work with a wide array of financial institutions including banks, insurance companies and asset management firms and have provided advisory services on some of the largest and most complex FCC transformations in the industry, across multiple jurisdictions. Show less

• Analysed Source of Wealth (SOW) for Static Data Management, e.g. enquired SOW of new authorised signaturies for existing accounts • Carried out feasibility study of new, more stringent name screening standard

• Carried out off-boarding of the bank's entire HK client population• Executed the shipment of documents of the entire client population back to Geneva• Compiled reports for the Head of Compliance, e.g. Client status changes (as professional investor) report and off boarding status report for external regulators• Edited mails out to clients, including notices and account closure letters

• Carried out recertification KYC on clients at Enhanced Due Diligence level (EDD), e.g. analysing KYC-relevant documents and liaising with RM/ Compliance to facilitate the process• Organised Client Acceptance Committee (CAC) to process cases that are complex in nature, e.g. Politically Exposed Persons, Very High Risk country exposure• Used screening systems (e.g. Worldcheck, Factiva, Google) to ensure clients are compliant with AML/CTF policies• Liaised with different APAC regions… Show more • Carried out recertification KYC on clients at Enhanced Due Diligence level (EDD), e.g. analysing KYC-relevant documents and liaising with RM/ Compliance to facilitate the process• Organised Client Acceptance Committee (CAC) to process cases that are complex in nature, e.g. Politically Exposed Persons, Very High Risk country exposure• Used screening systems (e.g. Worldcheck, Factiva, Google) to ensure clients are compliant with AML/CTF policies• Liaised with different APAC regions to enforce zero recertification overdue• Prioritised and completed client static data amendment requests Show less

• Conducted telephone interview with clients in a diplomatic way that minimises inconveniences• Co-ordinated with other departments to ensure swift processing of urgent cases• Cross-referenced documents and records to verify information, e.g. source of funds

Master'S Degree, Logic

Master'S Degree, Philosophy, Merit

Bachelor'S Degree, Economics, Minor In Humanities

Education record

Education record

Education record