Xavier Z.

1.Responsible for the final assessment of compliance review of new customer on boarding and ongoing transactions under rules of the Hong Kong and Singapore license (MSO, ML, MPI); 2.Formulate and review the prudence of compliance-related policies and procedures to meet regulatory requirements and align with internal business standard. 3.Responsible for the update of policy and documentation of the Licensee with change of policy from regulators and assist in completing the internal and external auditing; 4.Responsible for the company's business compliance management, and formulate a comprehensive compliance management system in accordance with industry regulatory requirements and company strategy; 5.Responsible for fulfilling compliance requirements of other partners (e.g. financial institutions); 6.Responsible for conducting internal training on compliance and anti-money laundering; 7.Work with risk, business and other internal departments to provide professional advices, control and monitoring services to the company. 8.Responsible for the license renewal/application and onsite-inspetion required by regulators.

➢ Assist in establishing and maintaining compliance policies and procedures in line with local regulatory requirements; ➢ Participate in the development of management regimes and internal control regimes; ➢ Assist in the compliance management of the company such as regular and irregular compliance review, provide compliance advice, compliance training, compliance reporting and other day-to-day compliance management; ➢ Assisting in maintaining daily communication with local regulators, keeping update with the latest regulatory requirements and supervising the implementation of regulatory requirements; ➢ Assisting in formulating and updating AML/CTF policies and procedures in light of the latest regulatory requirements and market practices; ➢ Review and check high risk client KYC; ➢ Handle other day-to-day AML compliance matters; ➢ Assist in managing and handling FATCA, CRS matters; ➢ Perform ad-hoc tasks as assigned from time to time;

Perform client on boarding processes primarily related to account opening for new client and Client Due Diligence for existing client as per HKMA and group standards. Follow-up and collect documents from client and ensure documentation “completeness”, “Correctness”.

Review and validate the information and documentation presented in the case as per the Group Procedure and Hong Kong Regulatory Requirement which includes: Checking the accuracy for name screening as per Identification Documents. Checking the unwrapping approach as per client type such as SOE, Public Quoted Company, Trust etc Checking Identification and Verification quality and all SpecDD such as PEP, sanction, adverse news etc. Checking the consistency among the soft information such as business nature, purpose and reasons for opening account, source of fund etc. Conduct advanced level Review of the overall ML risk, Make sure the customer has been correctly risk rated and Providing CDD advice to makers.

Testing and analyzing physico-chemical property of electrolyte. File documents and manage testing data.

生物科学 理学学士

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