Jeffrey Foo Email & Phone Number

Malaysia

Leading the compliance team for Vistra/Tricor Malaysia business

Malaysia

Manage a team of KYC specialists in a Shared Services Centre environment supporting markets such as HK and SG

Kuala Lumpur, Federal Territory Of Kuala Lumpur, Malaysia

• Develop training programs and conduct compliance training for new hires and existing staff.• Subject Matter Expert (SME) on all Investment and Insurance compliance matters• Develop, update and review all related sales processes including procedures and manuals to ensure continuing compliance.• Review and dispose of alert triggers based on investigation results; investigations could involve document/call reviews, analyze client behavior based on transaction and account information, customer surveys and trending.• Documentation of exception findings, tracking of corrective actions and its completion• Targets/turnaround time are achieved as per Service Level Agreement (SLA) with countries• Prepare and analyze reports for management reporting Ensure relevant reports are reported timely and accurately.• Point of contact for Regional Compliance, Business Product Heads and Operational Risk Control Heads in relation to sales surveillance and other relevant compliance process• Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, and to address process/compliance gaps• Manage efficiency and productivity of the unit within set KPIs• Lead and conduct self-assessment exercises to ensure risk and control environment is satisfactory• Lead the Annual Risk Assessment exercise• Represent the unit in any Internal Audit and regulatory reviews.• Ensure daily operations are adequately staffed/ manned through a workforce management framework• Act as process owner for Business Continuity Management, including review and approve plans for disaster recovery and crisis management.• Handling projects on an ad-hoc basis including review materials on a risk-based approach, system testing and train the trainer programs.• Review and implement any new compliance programs• Design processes based on key risk indicators and develop corrective actions.• Team leader with 3 teams totaling 26 sales surveillance and call monitoring analysts

Kuala Lumpur, Malaysia

• Conduct surveillance monitoring on all product related activities within Retail Bank• Conduct compliance training for new hires and existing staff.• Review all related sales processes as well as new development related to compliance issues• Prepare and review investment and insurance related complaints trend analysis as well as handling and resolving complaints.• Lead and conduct self assessment exercises.• Main point of contact for Internal Audit in relation to regulatory reviews.• Handling projects on an ad-hoc basis including review materials on a risk based approach, system testing and train the trainer programs.• Hold an advisory role for business units for all compliance matters and act as an intermediary between local regulators, business units and regional audit team. • Review and implement any new compliance programs that are required.• Identify, assess and mitigate any regulatory risk when there is a change in guidelines by regulatory bodies or internal policies.• Identify and design processes based on key risk indicators and develop corrective actions for areas with gaps• Review documentation related to compliance such as forms, fact sheets, legal documents, operating processes, compliance manuals, terms and conditions etc.• Assist branches and product development team in all compliance related matters.• Work with Country Legal and Compliance to identify and review any material risks as part of new product approval process• Conduct mystery shopping programs including presentation of results to senior management.• Act as department Business Unit Compliance Officer (BUCO) in management meetings.• Prepare compliance related reports for management presentations.• Team leader with 3 direct reports

Kuala Lumpur, Malaysia

• Review and monitor all trading and operational aspects of the compliance function of the Group.• Conduct compliance visits, enhance AML surveillance programs and ensure that compliance procedures are adhered to.• Review proprietary accounts, directors and employee transactions, client account opening applications, dealers trades, BFE amendment and error trades.• Review all suspicious trades in accordance to Anti-Money Laundering Act (AMLA) and file suspicious transaction report (STR) when required.• Assist in all compliance issues for Asset Management and ensure all Asset Management activities adhere to compliance rules and regulations.• Act as a liaison for the Group with the regulators.• Prepare compliance reports for both Board of Directors and regulatory bodies

Kuala Lumpur, Malaysia

• Prepare and analyze daily and monthly fraud acquiring reports. • Recommend and implement various strategies to prevent merchant/acquiring fraud. • Field investigation on certain fraud cases that requires attention.• Member of Task Force liaising with other banks fraud investigators as well as local police to investigate and solve fraud cases. • Conduct training to educate merchants on fraud awareness in other states.• Experience in internal audit specifically ISO processes.• Attending meetings with various financial institutions and central bank.• Project management team member for Card Centre.• Conduct compliance checks for branches in terms of card security.

Kuala Lumpur, Malaysia

• Supervise 12 clericals (callers) in the Department• Conduct frequent staff training for clericals on their daily work• Analysis of fraud trends and implements fraud prevention settings • Control credit card fraud transactions

Master Of Business Administration (M.B.A.), Business Administration And Management, General

Bachelor'S Degree, Banking

Activities and Societies: Student Guild, Football.