Marcus Tsoi Email & Phone Number

Hong Kong Sar

Hong Kong Sar

- Perform second layer reviewer, approving on case checking conducted by the periodic reviewer. - Liaise with managers on meetings with the procedures and process update. - Preparation of team report for the line management regularly.- Representing the team to attend any internal or external meeting if needed. - Undertake the CDD process for clients in accordance with regulatory and internal processes & procedures;- Undertake the periodic review for existing clients in accordance with regulatory and internal processes & procedures;- Liaise with the business as necessary to fulfil regulatory requirements; and

Hong Kong Sar

- Undertake the CDD process for clients in accordance with regulatory and internal processes & procedures;- Undertake the periodic review for existing clients in accordance with regulatory and internal processes & procedures;- Liaise with the business as necessary to fulfil regulatory requirements; and

香港特別行政區

- Perform due diligence review for new and existing investors according to defined risk based approach in accordance with our internal policies and regulatory guidelines (Investor type: Individuals, Corporations, Financial Institution, Funds, Trusts & Nominee Entities)- Review investor on-boarding documentation in accordance with the company’s KYC standard and applicable regulatory requirements. - Conduct ongoing due diligence tasks, including KYC periodic refresh and background checking.- Perform the name-checking system.- Investigate PEP suspicious case, analyzing and follow up with compliance team.- Analyzing the source of wealth of investor, comparing with the subscription amount and determine the rationality.- Perform investor documentation review according to the Foreign Account Tax Compliance Act (FATCA)/ the Common Report Standard (CRS).

Hong Kong