Team leader of business risk and compliance- Design workflow and procedures for new business initiatives to Marketing staff- Liaise with operational functions for process revamp- Design and implement risk KPI guideline and framework to Marketing staff- Perform surveillance check and monitoring on transactions, including but not limited to incoming, outgoing and investment transactions- Perform thresholds tuning on internal MIS reports as 1st line of defence- Organise briefing session to Marketing staff on a quarterly basis in respect of regulatory and compliance updates, key risks identified and cases sharing etc.- Provide day-to-day advices to Marketing staff upon their ad hoc enquires in respect of risks and compliance issues

Deputy of AML Department Head (VP)- To conduct AML/CFT activities, specifically on CDD and Sanctions Regulations- To develop review procedures on the trade transactions to mitigate the Bank’s exposure to Trade-based Money Laundering - To conduct annual institutional risk assessment- To conduct annual review on scenarios, parameters and thresholds tuning- To advise business units on the local regulatory requirements and internal requirements on AML / CFT, primarily focus on PEP assessment, tax evasion risk assessment, negative news assessment, KYC for both new and existing customers- To investigate transaction monitoring alerts for the detection and reporting of suspicious transactions and activities to the department head- To update the sanctions lists updates in the local sanctions screening systems and review the alogarithm / rules implemented in the systems on a regular basis- To prepare training materials and case studies for targeted staff on sanctions regulations and TBML

Promoted to Team Head- To lead a team of 8 core members for AML automation system in replacement of existing transaction monitoring process and workflow- To design new scenarios especially on recent hot topics (such as trade finance, cyber- banking activities) and fine-tune scenario logics of existing MIS reports to be implemented in the new automated system- To perform AML functions on an on-going basis, including detection and reporting of suspicious transactions and activities and filing of Suspicious Transaction Reports to JFIU where necessary- To conduct reviews for the enhancement of the AML functions of the Bank and perform AML risk assessment when required- To handle enquiries from the law enforcement / regulatory authorities in Hong Kong- To develop and conduct internal AML training sessions within AML Department and across other Business Units, as well as to Overseas branches- To review the procedure manuals, policies and guidelines from an AML perspective on annual basis