George Thomas (Binsu) Email & Phone Number

Australia

Australia

Australia

Melbourne, Australia

Responsible for investigating sanctions alerts within the Sanctions tool in line with NAB’s procedures and processes and within the agreed SLAs. Maintaining records of investigations conducted and completing operational metrics related to the role. ► Received 2 special recognition awards during the second and third quarter of 2020 for consistency in productivity and coaching new starters within the Sanctions team.► Reviewed SWIFT messages in the sanctions filter and ensured no potential sanctions breaches of over 1,100 swift transactions per month.► Led and assisted with over 400 investigations of incidents and breaches related to AML/CTF and other financial crime matters.► Ensured ongoing customer due diligence and other AML remediation processes, leading to efficient achievement of operational risk metrics.► Focused on transaction monitoring and vessel tracking, gaining experience in financial crime, fraud control and AML/CTF and investigated breaches.► Ensured quick processing of payments, through strong understanding of complex client & ownership structures. ► Adhered to existing standard operating procedures during designated shifts to protect against possible sanctions breaches.► Designated 2nd in Charge of the team whilst maintaining productivity in the core tasks assigned.► Changed the commentary methodology for addressing alerts raised for SWIFT transactions, contributing to process improvement.

Primary point of contact for a designated portfolio of clients, ensuring all client requirements, enquiries and requests are dealt with professionally, accurately, and within agreed timescales, collaborating with internal teams and stakeholders to ensure that clients receive a high-quality service, with a focus on continuously improving workflows and maintaining compliance standards, instrumental in developing and maintaining appropriate procedures to ensure client regulatory and contractual deliverables are met. Led a team of 5 including 2 Traders, a Client Service Analyst, and a Portfolio Attribution Analyst. ► Managed a team that wrote and validated client risk assessments and advised management on the final client risk level.► Balancing and reconciliations of equities and cash in multiple accounts across countries in different portfolios and thorough understanding of dividends, spinoffs, mergers, subscriptions, and redemptions.► Trained and managed a team in processing and settlement of trades and Corporate Actions with offshore custodians and brokers and ensuring consistency of data between custodians and internal management systems.► Implemented Anti Money Laundering (AML) and Counter Terrorism Financing (CTF) guidelines as per international regulations.► Oversaw and assisted in cash management in different countries ensuring cash availability for trade settlements.► Guided and supported with varied related duties as needed for ad hoc reports or projects.► Proactively monitored payment and settlement systems to ensure trades are settled without any impact to the clients.► Dealt with many custodians namely, HSBC, Northern Trust ,State Street and JP Morgan for settlement of trades.► Reconciled various Corporate Action reports to verify the cash balances and security values were in line with the portfolio reports that were being generated before forwarding to clients ensuring error free reports.

Responsible for servicing the needs of Institutional clients within the IFS (Institutional Funds Services) Division and Global Banking, delivering high quality post-sales client management, provision of client service support to high-valued Payments and Cash Management (PCM) clients, ensuring client expectations are exceeded Provide client liaison and partner with Senior Services Relationship Service Managers, Product Management and Operations teams to identify customised, competitive solutions.► Accurate NAV publishing of the funds by ensuring all corporate actions have been accounted for Ensuring the safe custody of the client's assets in various markets.► Coordinated onboarding/renewal and off-boarding activity on behalf of the Fund Managers aligned to client’s requirements. ► Ensured that all the standards are met and to ensure that there is no breach in the AML policy of the company, executing responsibility for the KYC of the client's and investors. ► Knowing the client and the investment policy statement (IPS) for smooth operation of the portfolio and to help the fund grow to attract new investors.► Owned, managed, and successfully resolved clients’ transactional queries, issues, and complaints, in line with agreed SLAs and relevant standards (incl. financial crime and regulatory). ► Provided timely, pro-active, and accurate guidance and recommendations to clients to enable them to manage their business effectively and built trust in HSBC’s offerings and service proposition with a view to gaining new business. ► Owned and orchestrated cross-border request in multiple jurisdictions, building effective relationships with both internal and external clients /stakeholders to expedite resolution of onboarding issues and maintaining fluidity of onboarding pipe to directly maximize revenue generation opportunities while ensuring full alignment with HSBC policy and controls.

Responsible for developing strong customer relationships and building customer loyalty through consistent delivery of error-free and timely services to meet customer needs, identify client financial needs and cross-sell opportunities to refer clients to the appropriate relationship professionals.► Managed a portfolio of high net worth (HNW) clients, with a focus on all aspects of service relationship management.► Provided consultation to clients aimed at aligning the right products and services to their needs.► Sourced and developed new business from internal and external referral networks.► Reduced the response time and increased customer satisfaction by establishing a complaint handling procedure to ensure that clients receive a consistent experience and outstanding service.► Adhered to all applicable requirements established by Citi to ensure they are fully committed to its AML/CTF and/or sanctions compliance responsibilities as set out in the relevant Citi Global, Regional and/or Australian AML/CTF and/or Sanctions Policies, Procedures, Standards, Directives and Programs.► Collaborated with other teams and departments to ensure that services were rendered satisfactorily and on time to meet customer's expectation; and to follow up on any issues.