Wayne Woo Email & Phone Number

Malaysia

Developed and execute specific review exercise according to approved plan that includes compliance on‐site, off‐site independent reviews, compliance matrix & compliance tool reviews and periodic monitoring reviewsCollaborates with stakeholders to identify the prevalent compliance risks present in the landscape of the bank and provide tactical compliance review plans to Senior Management and BOD to address the identified risksPrepare compliance reports for timely submission to stakeholders Tracking and maintain list of audit findings in relation to compliance risk raise by Bank Negara Malaysia (BNM) and Group Internal Audit (GIA) Facilitate/ provide compliance trainings to branches/ hubs/ business centresPrepare and organise compliance insight and awareness to bank staffs Prepare Management Committee‐Governance Risk Compliance (MCM‐GRC) slides and Group Board Compliance Committee (GBCC) paper for compliance review and strategic review teamPrepare quarterly Non Delivery Forward (NDF) and Statutory Reserve Requirement (SRR) attestation

Malaysia

Manage a team of 6 transaction monitoring analysts which includes tasks delegation and career development planning to ensure optimal performance levelConduct on‐boarding and periodical internal AML/CFT training as well as knowledge sharing initiatives to the teamPerforms second‐line review on alert dispositions by analysts to ensure the qualityHandling transaction screening, trade transactions i.e. Banker Acceptances, Import Collections, Offshore Facility Credit Lending and Vessel Route checking involved High Risk and Sanctioned countries which raised by business units, branches, operation departmentsMaintain and perform periodically check on High Risk, Watch List, Mule List and Blacklisted customersPerforms special account reviews on High‐Profile and/or complex cases and provides recommendation actions for remediations to Senior Management and BODManage suspicious transaction reports (STR) escalated from business units and STR reporting to BNMCollaborates with stakeholders to identify the prevalent ML/FT risks present in the landscape of the bank and provides tactical operational plans to Senior Management and BOD to address the identified risks Developed and implemented the policies and procedures governing the Financial Crime Compliance (FCC) unit

Malaysia

Performed AML surveillance transaction monitoring review to identify suspicious activities based on risk‐based approachPerformed onboarding and periodic screening of customers’ portfolio against sanctions and adverse media listingsEnsured the review dispositions are completed within turnaround time and on par with standards set by internal/ external auditors and regulatorsConduct timely reporting and escalation of significant issues identified arising from the review activities to managementProvide trainings and supports to new joinersAssisted in UAT exercise on the enhancement and process migration of system for Customer Screening UnitCarried out Internal Quality Review (IQR) as quality control measures on review dispositions by team membersInternal transfer to Quality Assurance (QA) Team to provide independent QA reviews for FCC unit[Secondment]August ‐ October 2016AML Senior Analyst of Group FCCStandard Chartered Scope International (CHINA) Co., LtdProvided advisory to stakeholders on the interpretation and application of regulatory expectations, law, best practices, policy and procedures related to FCCConducted investigations for possible Suspicious Transaction Report (STR)Provided recommendations to stakeholders on possible risk management response to identified risks, findings, or concerns arising from investigations