Chong Sian Lim, CAMS, IBFA, Dip(RegComp), MICA

• In charge of enforcing regulatory requirements, including strict compliance to all licensing conditions and expectations • In charge of compliance policies, workflows, audit processes and risk controls to ensure consistency and efficiency • In charge of Anti-Money Laundering (AML) related matters and Know Your Client / Customer Due Diligence (KYC/CDD) reviews and prompt follow-ups • In charge of strategic plans for improvements in processes and controls

• In charged of Wealth and Asset Management Operations across Lighthouse Canton and subsidiaries • Enhanced and streamlined operational policies, workflows, processes and controls to ensure consistency and efficiency • Drive active engagements and cross-level communications to strengthen the team culture • Developed and supported key transformation operational projects and drive the digital strategy across Lighthouse Canton and subsidiaries

• Enforced regulatory requirements, including strict compliance to Securities and Futures Act and all licensing conditions across Lighthouse Canton and subsidiaries • Enhanced compliance policies, workflows, audit processes and risk controls to ensure consistency and efficiency • Drive Lighthouse Canton's compliance culture through active engagements, cross-level communications and trainings • Supported key transformation projects and digital strategy across Lighthouse Canton and subsidiaries • Continue to support Enterprise Risk Management and compliance monitoring programme across Lighthouse Canton and subsidiaries

• Enhanced processes and workflows with strategic stakeholders to improve efficiency and productivity • Offered guidance on Risk and Compliance related matters to achieve full compliance with regulatory requirements • Supported multiple projects involving IT infrastructure enhancements • Continue to support Enterprise Risk Management and ensure manuals, process and controls align with Securities and Futures Act

• Reviewed manuals, processes and controls to ensure alignment with Securities and Futures Act. • Aligned compliance monitoring programme to achieve full compliance with regulatory requirements. • Supported Anti-Money Laundering (AML) related matters and Know Your Client / Customer Due Diligence (KYC/CDD) reviews for Wealth Advisory and Asset Management for client on-boarding, and prompt follow-ups. • In charged of managing Enterprise Risk which includes Outsourcing Risk, Regulatory & Compliance Risk, Operational Risk, Technology Risk and Funds Risk. • Formulated strategic plans for improvements in processes and controls including Business Continuity Plan (BCP), Handling of Complaints and Compliance Breach, Whistle-blowing, Client On-Boarding, and Transaction Monitoring.

• Performed regular reviews and audits under the Balanced Scorecard (BSC) Framework to ensure full compliance to Financial Advisors Act. • Regularly communicate review findings and outcomes with Policyholders and Distribution Force for greater alignment. • Collaborated with stakeholders within the Company for continual process improvements to deliver quality pre- and post- transaction sales. • Conducted regular training and engagement sessions on Compliance matters including PDPA, sales quality and cross-border activities to keep the teams up to date. • Project Lead in designing creative compliance training framework and methodologies, including ChatBot and training videos.

• Attained CMFAS (M5, M9, M9A and HI) qualifications. • Analyse needs of prospects and clients, and offer professional advice on appropriate financial products. • Participated in activities and roadshows to create awareness on importance of financial planning.

Awarded by International Compliance Training Academy in association with Alliance Manchester Business School, The University of Manchester. Programme is accredited by the Institute of Banking and Finance Singapore - IBF Level 2, IBF Advanced ("IBFA") for Compliance

Awarded by International Compliance Training Academy in association with Alliance Manchester Business School, The University of Manchester. Programme is accredited by the Institute of Banking and Finance Singapore - IBF Level 1, IBF Qualified ("IBFQ") for Compliance

• Concurrently attained Diploma Plus Certificate in Decision Management for Quality.