Wan Tsz Hing Larry
KYC & Onboarding Specialist
Chai Wan
Summary
Detailed-oriented and efficient 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. Eager to facilitate the account opening and periodic review process. Proposed change to reduce duplications and unnecessary works led to around cut down 20% of TAT, 15 % drop of processing error during account opening procedures at Citi Bank.
Overview
9
9
years of professional experience
4
4
years of post-secondary education
1
1
Certification
3
3
Languages
Work History
Working Holiday
01.2013
Onboarding & KYC Case Specialist
UBS AG
08.2022 - Current
- Initiated background check on private client, create client profile report with client advisor, and gather SOW corroboration material by public and internal resource, to ensure client KYC information consistent with AML/CFT & regulatory guidelines
- Partnered with client advisor through the start to end onboarding and Periodic
- KYC Review (PKR) across the WM, including conducted Cosima/Factiva, insider search and transaction review
- Facilitated exceptional handling on risk-based approach, and coordinated with Business and Financial Crime / Compliance / Due Diligence Officer for signoff
Officer
FWD Life Insurance Company (Bermuda) Limited
02.2022 - 07.2022
- Executed due diligence check including company search, credit search, world check on new business partner's new onboarding and conduct periodic review
- Implemented financial activities monitoring to discover any potential ML/FT risk
- Consolidated internal department's information to complete due diligence exercise from business partners
- Communicate decisions to legal team and business head the final consensus agreement contract with business partners
- Contributed to sales, legal, compliance team and related stakeholders to ensure governance standard were met on business account management
- Applied the on-boarding process with internal and regulatory guidelines
AML/KYC Quality Control Analyst
Citibank Hong Kong
12.2019 - 01.2022
- Conducted KYC/CDD due diligence maker role to new client onboarding, periodic and trigger event review
- Performed name & sanction screening, such like negative news, PEP etc
- Liaised with the Relationship Managers to obtain necessary KYC documents and information and worked with checker to fulfil Citi's KYC/CDD
- Supported with internal compliance personnel on the application of KYC policy
- Handled both internal & external enquiries from stakeholders, including system access/entitlement, progress of maintenance requests and customer account information
Associate
China Construction Bank, Tsim Sha Tsui
04.2019 - 10.2019
- Perform documentation and name checking, risk score engine, KYC assessment in accordance with AML policies
- Open corporate account from Hong Kong, China and overseas (BVI, Cayman Islands etc.)
- Update customer information such as authorized signatories, address etc
- Handle various regular and ad-hoc management/ monitoring reports
Customer Service Assistant
Haitong International
03.2017 - 04.2019
- Client document checking, KYC, CDD, AML, FATCA and CRS review, profile set up and account maintenance
- Open and managing personal and corporate account in average 40 units each day
- Compose letters e.g
- Rebound, reactive notification, third party authorization
- Using "Oracle" program for data retrieval and Mail merge function for composing mass mail
Customer Service Ambassador
Standard Chartered Bank
01.2015 - 01.2016
- Onboarded and mentored 2 trainees regarding bank procedures and answer enquiry manner
- Perform personal account opening regarding customer information
- Win "Best service award" by customer feedback
Teller
Bank of China, Hung Hom
01.2014 - 01.2014
- Provide over hundred cash deposit and withdrawal transaction per day
- Balanced all transactions and preparing report at day end
- Recorded and checking accuracy of all transaction slips have been written out
Education
Bachelor of Business Administration -
Coventry University
09.2022 - 10.2023
High Diploma of Banking and Finance - undefined
Institute of Vocational Education
01.2010 - 01.2013
Skills
KYC
undefinedCertification
Associate AML Professional
Timeline
Bachelor of Business Administration -
Coventry University
09.2022 - 10.2023
Onboarding & KYC Case Specialist
UBS AG
08.2022 - Current
Officer
FWD Life Insurance Company (Bermuda) Limited
02.2022 - 07.2022
Associate AML Professional
01-2021
AML/KYC Quality Control Analyst
Citibank Hong Kong
12.2019 - 01.2022
Associate
China Construction Bank, Tsim Sha Tsui
04.2019 - 10.2019
Customer Service Assistant
Haitong International
03.2017 - 04.2019
Customer Service Ambassador
Standard Chartered Bank
01.2015 - 01.2016
Teller
Bank of China, Hung Hom
01.2014 - 01.2014
Working Holiday
01.2013
High Diploma of Banking and Finance - undefined
Institute of Vocational Education
01.2010 - 01.2013
Similar Profiles
HUI Chuan CHENGHUI Chuan CHENG
Au Pair at WORKING HOLIDAYAu Pair at WORKING HOLIDAY
STEVEN BASTIAN PETERSONSTEVEN BASTIAN PETERSON
Crop Farm Worker at Flavorite (On Working Holiday Visa)Crop Farm Worker at Flavorite (On Working Holiday Visa)
Nicolina JenningsNicolina Jennings
VP, Managing Director at Working Not Working, A Fiverr CompanyVP, Managing Director at Working Not Working, A Fiverr Company
Nora LiNora Li
Accounting Clerk at Asiapay (HK) LimitedAccounting Clerk at Asiapay (HK) Limited
Ching Ling Kenneth TsuiChing Ling Kenneth Tsui
Estimating Manager at Southa Technical Ltd.Estimating Manager at Southa Technical Ltd.