Ching Kin Chong
Business Compliance Manager, Chartered Secretary
HONG KONG
Summary
Experienced Business Compliance Manager with 7 years of expertise in AML/CFT focusing in Customer Due Diligence (CDD), transaction monitoring and regulatory compliance. Holder of Chartered Secretary/ Chartered Governance Professional qualifications with HKCGI and AAMLP designation with HKIB. Advanced knowledge of AML & regulatory compliance with proven track record of partnering with different departments to identify vulnerabilities and create corrective actions.
Overview
10
10
years of professional experience
5
5
years of post-secondary education
Work History
Business Compliance Manager
DAH SING BANK
2021.11 - Current
- To provide advice on AML/CFT related matters
- To provide advice on regulatory/business compliance matters
- Act as reviewer of enhanced due diligence for new, periodic and event trigger cases
- To formulate, review and ameliorate various operating processes of division
- To review and enhance existing procedures, guidelines for team and division
- To deliver and present Monthly Compliance Meeting to senior managements
- Handle regular MI reports to senior management and HKMA relating to AML/CFT/sanctions
- To facilitate system projects related to AML and business compliance.
Assistant Manager (Financial Crime Compliance)
AIRSTAR BANK
2020.06 - 2021.11
- Review and update AML/CFT/sanctions policies and procedure to fulfill market standard and regulatory requirements
- Handle enhanced due diligence approval process for new, periodic and event trigger cases
- Handle fraud risk alerts and conduct transacting monitoring
- Assist to conduct IRA for AML/CFT & sanctions risk review
- Handle regular MI reports to senior management and HKMA relating to AML/CFT/sanctions
- Evaluate and review on system deficiencies related to AML/CFT compliance
- Provide advice on AML/CFT related matters
- Handle UAT testing for system enhancement.
Assistant Business Banking Team Manager (KYC/CDD)
HSBC
2017.07 - 2020.06
- Conduct know your customer/customer due diligence activities for multiple types of customers including commercial business, NPO/NGO/NBFI etc
- Conduct SOW corroboration for CDD reviews
- Provide prompt assessment and execution of customer retention and approvals by examining each customer profile and documents
- Transaction Monitoring
- Responsible for monitoring the team performance (each team around 8-10 colleagues)
- Approval of the high-risk cases within the team
- Coaching up the new joiners
- Working with the sales team to identify business opportunities in the reviews to achieve revenue.
Junior Relationship Manager
O-BANK (Hong Kong Branch)
2016.09 - 2017.03
- Commercial banking
- Provide general assistance to relationship managers and the customers
- Handle KYC and account opening for new/annual review cases
- Handle financial spreading within tight deadlines
- Handle Credit proposal of New/Review Cases
- Ad-Hoc project assigned.
Business Assistant (contract)
CITI BANK
2016.01 - 2016.09
- Commercial banking
- Handle KYC and account opening for new/annual review cases
- Handle financial spreading within tight deadlines
- Ad-Hoc project assigned.
Personal Banker
CHINA CONSTRUCTION BANK(ASIA)
2014.08 - 2015.08
- Handle Mortgage Loan and personal loans application and approval
- Achieve revenue from Insurance and Investment products by development of existing and new relationships
- Account opening and ad-hoc tasks.
Education
Master of Corporate Governance - Corporate Governance
HONG KONG METROPOLITAN UNIVERSITY
Hong Kong, China 2022.09 - 2024.09
Bachelor of Economics - Economics
THE CHINESE UNIVERSITY OF HONG KONG
Hong Kong, China 2011.09 - 2014.09
Skills
Fluent in Cantonese, English, Mandarin
undefinedAccomplishments
- Chartered Secretary
- Chartered Governance Professional
- Associate AML Professional (AAMLP)
Timeline
Master of Corporate Governance - Corporate Governance
HONG KONG METROPOLITAN UNIVERSITY
2022.09 - 2024.09
Business Compliance Manager
DAH SING BANK
2021.11 - Current
Assistant Manager (Financial Crime Compliance)
AIRSTAR BANK
2020.06 - 2021.11
Assistant Business Banking Team Manager (KYC/CDD)
HSBC
2017.07 - 2020.06
Junior Relationship Manager
O-BANK (Hong Kong Branch)
2016.09 - 2017.03
Business Assistant (contract)
CITI BANK
2016.01 - 2016.09
Personal Banker
CHINA CONSTRUCTION BANK(ASIA)
2014.08 - 2015.08
Bachelor of Economics - Economics
THE CHINESE UNIVERSITY OF HONG KONG
2011.09 - 2014.09
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