Sam Sham
Hong Kong
Summary
Over 10 year’s experience in financial industry. Client oriented while having background in TA investor services, client onboarding and due diligence. Developed strong problem-solving skills and good communication skills through day-to-day interactions with clients of various backgrounds. Worked in global team with different cultures and adapt to fast growing environment.
Overview
15
15
years of professional experience
Work History
Assistant Team Manager
Credit Agricole - CACEIS Hong Kong Trust Company
06.2019 - 06.2024
- Responsible in team management and quality control on KYCs for funds, trusts, asset managers, FIs and corporate clients
- Conduct and oversee end-to-end periodic reviews and new account openings in adherence to global and local KYC policy
- Manage urgent onboarding requests and perform AML risk assessment
- Check name screening (Factiva and World Check) and identify AML/sanction issues including PEP, adverse/sanction news mitigation and escalation to compliance if any exposure
- Assist in managing internal/external audits and regulatory inspections
- Provide coaching and training materials to junior team members and newcomers
- Support KYC related projects such as FATCA & CRS project, AML remediation, UAT and initiatives
- Monitor client servicing consistently- ensure tasks in terms of urgency, ownerships and degree of difficulty with business prioritization
Fund Administrator
Société Générale – SGSS Hong Kong
05.2017 - 06.2019
- Perform whole account opening process with AML and KYC due diligence checks
- Ensure all necessary documents obtained and filed for new account openings and periodic account reviews in accordance with legislative requirements, internal procedures and guidelines
- Liaise with other departments as needed ( compliance, governance team, )
- Handle ad-hoc queries by phones and emails in area of shareholder service, registration and settlement
Senior Accounting Officer
Smooth Prospect Engineering Limited
08.2016 - 04.2017
- Handled month-end and year-end end finances by managing and reporting fixed assets and other data.
- Updated general ledger with latest entries.
- Completed year-end closing processes with controllers and external auditors.
- Reviewed documents and accounts for discrepancies and resolved variances.
Fund Administrator
Société Générale –SGSS Hong Kong
09.2009 - 08.2013
- Perform proper KYC activities for account opening, maintenance & periodic review for existing clients in line with legal/regulatory requirements
- Built up client's KYC profile by analyzing and consolidating KYC documents
- Perform preliminary risk assessment with legal entity structures ,business and product risks, country risks, UBO's Sow
- Frequently liaise with customer
Education
Bachelor of Commerce - Accounting
Macquarie University
Australia08.2007
Diploma of Commerce -
Sydney Institute of Business And Technology
Australia11.2005
Skills
Knowledge of workflow systems: MFTA (MultifondsTA) RIS, Factiva-Dow Jones,world-check
Well versed in MFTA, Microsoft Office, MYOB, QuickBooks
Languages
Chinese (Cantonese)
Native language
English
Proficient
C2
Chinese (Mandarin)
Proficient
C2
Timeline
Assistant Team Manager
Credit Agricole - CACEIS Hong Kong Trust Company
06.2019 - 06.2024
Fund Administrator
Société Générale – SGSS Hong Kong
05.2017 - 06.2019
Senior Accounting Officer
Smooth Prospect Engineering Limited
08.2016 - 04.2017
Fund Administrator
Société Générale –SGSS Hong Kong
09.2009 - 08.2013
Bachelor of Commerce - Accounting
Macquarie University
Diploma of Commerce -
Sydney Institute of Business And Technology
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