Suzanne C. Email & Phone Number

Singapore

Singapore

• Part of the Client onboarding and periodic review team. Ensure that documents received fulfil regulatory obligations. • Guide the team members to assist Relationship Managers (“RMs”) in conducting KYC in relation to onboarding and periodic review to ensure compliance with MAS 626 notices and internal AML/CFT policy.• Keep up-to-date with the latest regulatory requirements and work closely with Compliance and RMs to implement regulatory changes into the Bank’s KYC process.• Ensure proper update of customer information in the Bank’s screening database.• Conduct daily review and monitoring of new alerts in the AML/CFT screening database. • Ensure document(s) for establishment, amendment and update of facility(ies) or establishment of retail accounts is in receipt and in compliance with prescribed procedure.• Review completeness of condition precedents of facility documents or retail account documentations prior to activation of facilities or establishment of accounts.• Submit monthly AML Dashboard reporting to the AML Steering Committee.• Support Team Manager in day-to-day matters and projects as assigned from time to time.Key Special Project: Involved in the implementation of updated KYC requirements as per AML/CFT policy and regulatory requirements during KYC remediation.

Singapore

• Part of the AML governance team responsible for client onboarding and periodic review. Ensured that documents received fulfil regulatory obligations. • Ensured that the AML/ KYC program, applicable to local Singapore and regulatory requirements were duly and effectively implemented in the Company. • Reviewed alerts flagged out by the name screening system to determine if it was a genuine match. • Ensured that the name screening database was kept up to date. • Performed monthly transaction monitoring to ensure that there were no suspicious transactions. Where needed, assisted in the independent review or assisted in STR filing.• Identified issues and proposed feasible solution relating to AML/KYC to Head of Department.Key Special Project: Involved in the FACTA & CRS reporting to IRAS in accordance to the criteria sets and regulatory requirements during data preparation.

Singapore

• Completed and ensured quality KYCs for GTFD Singapore on both Corporate and FIs were in accordance with the Bank's standards and regulations. • Managed, planned, and prioritized upcoming periodic reviews and tracked document collection with RMs.• Contributed to reduce backlog and returned of re-works for department to ensure no overdue KYC.• Prepared and assisted in clearance of exceptional handling of KYC issues. • Assisted to in following through from end to end on KYC cases (creation, closures & deletions).• Liaised with other departments on KYC / Compliance related issues. • Kept abreast of all Compliance related updates and developments and liaised closely with Legal & Compliance Department to understand the various developments through training.• Involved in UAT of new systems / projects.

Singapore

• Conducted: AML/KYC review on new and existing customers.  AML/PEP Name Screening via Thomson Reuters Online Screening Platform and maintained the database of Ongoing Name Screening. annual exercise on Dormant accounts review and suspension. annual exercise on Updating of Particulars of Foreign Clients.• Responsible for account opening reviews and approvals to Retail, Institution, and other Corporate Accounts.• Answered queries via calls and emails: from Compliance, Internal & External Auditors, Regulators' requests, and inspection matters. relating to FATCA and SIP trading eligibility. various enquiries, queries from external and internal clients.• Attended to AML/KYC issues for the considerations of onboarding PEP/High Risk clients.• Maintained client static data over various systems and department's SOP (ad-hoc updates).Key Special Project: System Replacement Project – attended to queries from vendor and other stakeholders, reviewed and preparation of data, and data patching. Operations Executive, Operations Department (Settlement Team) (Jun 2007 – Dec 2008)• Matched trades with counterparties and performed settlement of trades. • Ensured that trades had been settled timely with monies received and smooth delivery of shares.

Singapore

• Ensuring work done is in compliance with operations manual guidelines / regulations.• Prepare all regulatory reports / submissions and provide timely reports to client and front office.• Perform settlement duties such as closing, margin calls, reconciliation, filing, downloading of trades, prices, offsetting and generating statements.• Update trades/journal entries into respective systems• Follow up with confirmations and liaison with Front Office.• Prepare billings to/from brokers for settlement of trades• Perform month-end accruals and reporting.

Singapore

• Ensuring work done is in compliance with operations manual guidelines / regulations.• Preparing monthly marketing report, collating and ensuring accuracy of data on AUM, number of accounts, AUM breakdown, etc.• Providing customer services to clients / users by attending phone calls & email.• Monitoring accuracy of trades allocation and settlement of outstanding trades.• Updating of clients’ ledger and maintenance of the margin system through AS/400.• In charge of creation and maintenance of clients’ trading account as well as ensuring compliance with regulatory requirements and operational procedures.• Processing and creating contracts for daily local and foreign trades. • Liaising with dealers and remisiers regarding amendments on daily trades and contracts. • Liaising with credit risk officers and trading representatives on daily trade picking.