Cindy Ka Yu LEUNG
Hong Kong
Overview
9
9
years of professional experience
Work History
Client Service Group- Associate Operations (KYC)
Nomura International (Hong Kong) Limited
2018.01 - 2022.04
- Accountable for quality of client KYC profiles by ensuring all KYC/AML regulatory requirements are fulfilled for Rolling Review and Remediation. Check cases across different functions, business lines, risk ratings and client types (i.e. Regulated FIs, Listed Companies, Private Companies, Government Entities, Individuals, Trusts, LLC, LLP etc.) and ensure proper record management of client KYC profiles and evidences in database and in-house systems
- Work closely with both onshore and offshore team members and set priorities based on pipeline and book of work. Assist makers and Business to understand KYC/AML requirements and provide additional rationale as to why certain documents are being requested
- Drive & take lead remediation projects and Rolling Review under Asia ex Japan region to ensure client records are in line with KYC regulatory requirements standards. Also assist to drive and oversight both onshore & offshore members for day to day functions ( 6 members onshore; 8 members offshore)
- Support and assist managers with management information by submit weekly Key Risk Indicator (KRI) reports to Risk & Control team; provided overall progress & status updates related to Rolling Review & Remediation to managers and stakeholders. Also, respond to regulatory policy change through enhance and assist with maintain written procedures.
- Partner with compliance division, CAO, risk management, business and stakeholders to handle problem shooting associated with regulatory obligations that involve data and documentation requirements.
- Perform UAT testing and enhance in house system to support day to day operations efficiency & satisfy regulatory requirements
Firmwide Ops - Associate
Morgan Stanley
2014.07 - 2017.04
- Perform Customer Due diligence through CIP (Client Identification Program) and KYC (Know Your Client) checks on new & existing relationships in accordance with firm's policies, standards and procedures (e.g UK, US, HK, SG, KR, TW, AU, India, FPI, ODI, HKPI, Aus/ NZ Wholesale, MiFID). Take further action in case exceptions are identified (i.e. Missing Anti-Money Laundering (AML) documents, ambiguous or inaccurate data set-up.)
- Obtain SPOT award through contribution and partner with China Private Equity (PE) Fund team to on-board clients for China CIP check of new fund launched. New fund successfully raised USD 200mm before its first closing
- Manage customer database (i.e. Creation of newly acquired customers in core system of Morgan Stanley and maintenance of records of existing clients). Updated firm systems and databases with information and documentation obtained from clients
- Collect, review and refresh required documents as per Anti-Money Laundering (AML) customer due diligence programs for existing clients on ongoing basis (Risk-based review of customer information for Global Rolling Review process)
- Work closely with client on boarding team, and stakeholders to assist Firm's Sales & Trading to comply with regulatory requirements (i.e. Liaise with Business Units and Stakeholders to obtain all necessary information)
- Assist managers in providing status updates to managements on regular basis to create transparency and to reduce risks
Customer Service Representative
Toronto Dominion Bank (TD Canada Trust)
2013.09 - 2014.05
- Recognize and respond to client needs. Provide sound advice and solutions at every customer interaction to create positive customer experience and ensures that customer's financial needs are met in efficient and friendly manner
- Identify sales opportunities to provide multi-services for customers and makes referrals to financial advisor
- Achieved and go beyond sales goal targets in meeting and exceeding specific individual sales goals. Top 5 sales person in branch
- Manage open cash verification and maintain cash limits. Verified incoming cash deposits and crossing excess cash to vault. Control cash, bank drafts, supplies and security controls
- Involve in multi-tasking environment, where high attention to detail is required
- Recommend products to customers, thoroughly explaining details
Education
Bachelor of Business Administration -
Vancouver Island University
City Of Nanaimo, BC, Canada2013
Skills
- Languages- English, Cantonese, Vietnamese, and Mandarin (basic)
- People Management & Leadership
- Team-player
- Self motivated and independent
- Strong analytical & problem solving skills
- High adaptability and flexibility
Timeline
Client Service Group- Associate Operations (KYC)
Nomura International (Hong Kong) Limited
2018.01 - 2022.04
Firmwide Ops - Associate
Morgan Stanley
2014.07 - 2017.04
Customer Service Representative
Toronto Dominion Bank (TD Canada Trust)
2013.09 - 2014.05
Bachelor of Business Administration -
Vancouver Island University
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