关于Larry Wan:
Detailed-oriented and insightful AML/KYC specialist with 5+ years of experience. Diverse and widespread background in banking and financial industry with in-depth understanding of banking practice in KYC, AML/CFT and regulatory regulations. Proposed change to reduce duplications and unnecessary work led to around cut down 20% in TAT and processing errors during account opening procedure at Citi Bank.
经验
Onboarding & KYC Case Specialist, UBS AG, Central, Aug 2022 - Present
- Initiate background check on private client, and create client profile report with client advisor to ensure client KYC information consistent with AML/CFT & regulatory guidelines
- Reduces back and forth around 40% by gathering SOW corroboration material in public and internal resources
- Actively partnered with client advisor through start-to-end onboarding and periodic KYC Review (PKR)
- Deliver to save time for CA from escalation by disposing Cosima/Factiva hits, transaction review, insider search
- Assist client advisor to save up to 20% of account opening time by preparing and pre-filling required forms
- Facilitate exceptional handling on risk-based approach, and coordinate with Business and Financial Crime/Compliance/Due Diligence Officer for signoff
Officer (Onboarding & Due Diligence), FWD, Sheung Wan, Feb 2022 – July 2022
- Executed due diligent checks including order company, land and credit search, implement World check and Actimize name check during new business partner's new onboarding and periodic review
- Implemented financial activities monitoring to discover any potential ML/FT risk
- Consolidated internal department information to complete due diligence exercise from business partners
- Communicated decisions to legal team and business head the final consensus contract with business partners
- Contributed to sales, legal, compliance team and related stakeholders to ensure governance standards were met in business account management
KYC Quality Control Analyst, Citibank Hong Kong, Central, Dec 2019 - Jan 2022
- Acted as KYC/CDD due diligence maker role to achieve new client onboarding, periodic review within a tight deadline
- Performed name & sanction screening, such as negative news, PEP, litigation, etc.
- Coordinated with the relationship managers to obtain necessary KYC documents and information and worked with checker to fulfill Citi's KYC/CDD requirement
- Proposed change to reduce duplications and unnecessary work led to around cut down 20% in TAT, 15% drop in processing errors during account opening
- Participated in UAT project for digitalization of client onboarding procedures
Associate, Commercial Banking, China Construction Bank (Asia), Tsim Sha Tsui,
April 2019 - Oct 2019
- Operated documentation and name checking, risk score engine, KYC assessment in accordance with AML policies
- Created corporate accounts incorporated in Hong Kong, China and overseas (BVI, Cayman Islands, Bermuda, Netherlands, etc.)
- Maintained customer information by updating authorized signatories, BO, address, etc. at average of 10+ tasks per day
Customer Service Assistant, Haitong International, Central, March 2017 - April 2019
- Delivered client document checking, KYC/CDD, FATCA and CRS review, profile set up and account maintenance
- Accomplished in opening and managing personal and corporate accounts in average of 20 units each day
- Composed letters e.g. rebound, reactive notification, third-party authorization based on SFC regulations
- Adopted “Oracle” program for data retrieval and utilized mail merge function to compose mass mail
Customer Service Ambassador, Standard Chartered Bank, Causeway Bay,
Aug 2015 - Nov 2016
- Mentored 2 trainees regarding bank procedures and answer inquiry manner
- Answered customer inquiries regarding counter services such as FX, TT, Chat, Time deposit
- Won “Best service award” on customer feedback
Teller, Bank of China, Hung Hom, 2014 - 2014
- Operated over 40 cash deposits and withdrawal transactions per day
- Balanced all transactions and prepared reports at day end
- Recorded and checked accuracy of all transaction slips have been written out
教育
Coventry University, Aug 2022 - 2023(Expected graduation date: Oct 2023)
Bachelor of Business Administration
Institute of Vocational Education, 2010 - 2013
High Diploma of Banking and Finance
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