Kai Yi Yeow Email & Phone Number

Kuala Lumpur, My

Kuala Lumpur, Federal Territory Of Kuala Lumpur, Malaysia

- Partner with Relationship Management and Compliance teams to assist with the preparation, development, due diligence and approval of the electronic Know Your Client (KYC) record and supporting appendices- Perform client outreach to Hong Kong commercial banking clients to request required KYC documents and proceed with the KYC Annual Renewal- Create and maintain KYC records by obtaining information from internal and external sources (firm website, regulatory websites, etc)- Validate the information within KYC records and Customer Identification Program (CIP) documents to ensure completion and accuracy- Ensure KYC records incorporate local regulatory requirements / Global Business Support Unit (BSU) Standards- Handle ad hoc task (i.e Assist with the urgent KYC records)

Transaction Monitoring (L1 & L2)- Dispose alerts triggered by system through authentic review and analysis, to filter alertsthat can be negated- Summarize in a clear and concise report with evidence and ensure that the work iscompleted in accordance with established procedures and standards- Engage in RFI process with the relevant team (i.e Compose RFI questions; Access the documents received from RFI reply; Involve in discussion with MLRO regardingaction taken on the subject account and etc)Subject Matter Expert- Overview the team performance by updating daily productivity tracker, STR & EDDgeneration tracker, data issue tracker, and etc on timely basis- Compile new challenges and pain points encountered by the transaction monitoringteam and bring to discussion with client to deliver respective solutions to the team- Handle ad hoc tasks (i.e Prepare External Suspicious Activity Report on the customerthat flagged by sanction screening team, risk control department and etc) if there is any- Prepare Weekly Business Slide & Monthly Business Slide- Provide training and buddy session toward new team member- Perform quality control checking on the hands-on alerts done by new team memberEnhanced Due Diligence- Conduct enhanced due diligence reviews of customers and research, organizing, filingand documenting the outcomes of the reviews.

Kuala Lumpur

- Assist with the investigations and researches on potentially suspicious clients using various internal systems and databases. - Document and report the review/investigation findings and prepare case files with the required supporting documentation- Work with AML Practice team to provide recommendations on suspicious clients (Prepare Suspicious Transaction Report (STR))

- Conduct market research in Investment Banking space- Conduct talent sourcing- Build market knowledge of IPO mechanisms in Hong Kong and China- Conduct case study of successful internet companies or high tech firms in China