Experience

  • Compliance and Governance Director

    at LONG ASIA CAPITAL PTE LTD

    May 2018 - at Present

    Singapore

    • Oversees full-spectrum of the compliance function • Maps compliance framework pertaining to AML/CFT, TRM, BCP, PDPA, etc • Prepares compliance manual and policies to meet regulatory requirements • Liaison Officer to MAS, company DPO • In-house subject matter expert for regulatory concerns • Analyses, risk factors that impact risk rating on customers • Nurtures a conducive compliant environment • Company policies in line with regulatory notices and guidelines • Ethics and Professional Conduct of Staff policies

  • Compliance Manager

    at NGA BENEFITS SINGAPORE PTE LTD

    October 2014 - November 2017

    Singapore

    • Direct reporting to Chief Executive Officer (CEO). • Company’s Suspicious Transactions Reporting Officer, Anti-Money Laundering (AML) Officer and Data Protection Officer. • Provide Advisory Support to CEO regarding all Compliance issues. • Monetary Authority of Singapore (MAS) liaison officer, liaising with MAS with regards to all compliance matters relating to the Company. • Maintaining Compliance Manual that incorporates Regulatory Compliance, Training & Competency (T & C) Guidelines and disciplinary framework for all staff within the Company. • AML, Customer Due Diligence (CDD), Enhanced Customer Due Diligence (ECDD) screening using FACTIVA system and reporting positive hits to CEO. • Conduct investigations into Company and / or Regulatory breaches and reporting to the correct channels.

  • VP CFDs, Head CFDs

    at PT. VALBURY ASIA FUTURES

    February 2012 - December 2013

    Daerah Khusus Ibukota Jakarta

    • Prepared CFD scoping and initiation document, business case and business requirement document. • Developed, executed and closure of CFD project plan. Revised as appropriate to meet changing needs and requirements. • Managed project resource and budget, scope, risk, schedule and progress, performance and deliverables, issues, escalations and conflicts. • Assessed and tested MT4 platform for CFD viability. Co-ordinated UAT testing. • Conceptualized and liaised with third party data providers and developers for MT4 plugins for trading CFDs.

  • Training & Compliance - Wealth Management & Services / Product Business Development

    at CIMB SECURITES PTE LTD

    June 2007 - January 2012

    Singapore

    • Key personnel for compliance monthly switching reporting for unit trust investments and insurance to meet MAS requirements. • Follow up on compliance issues related to switching including interviewing of FARs and Managers and reporting to HOD and compliance. Interviewed clients and staff after the fallout of the Pinnacle Notes issued by Morgan Stanley. • Customer handling for monthly feedback, complaints and writing of incident and investigation reports. • Maintain regulatory reporting logs and reports. • Appointed person to conduct in-house and public product training, to all Trading Representatives (TRs) on various financial products marketed to clients e.g. Contract for Difference, Extended Settlement Contracts, American Depositary Receipts, Bonds, ELNs, Margin, SBL, Young Investors accounts in accordance to compliant department guidelines.

  • Dealer – Private Client Service

    at CIMB SECURITES PTE LTD

    July 2002 - June 2007

    Singapore

    • Advice on market, regional and stock views. • Management of clients’ investment portfolios. • Placement of Initial Public Offerings to clients. • Sales of unit trusts to clients. • Research and analysis of companies using Bloomberg, Nextview, CIMB-Slingshot Pro. • Attend morning research meetings, company briefings, IPO launches.

  • Relationship Manager - Associate level

    at DBS BANK / DBS SECURITIES

    August 2000 - June 2002

    Singapore

Education

  • CMFAS Module 6A

    at IBF

    2017 - 2017 (1 year) Singapore

  • ICA Advance Certificate in Governance

    at International Compliance Training Academy (ICTA)

    2015 - 2015 (1 year) Singapore

  • Certified 6 Sigma Green Belt Professional

    at OTIFAS

    2014 - 2014 (1 year)

  • WSQ Certification Fundamentals of the Personal Data Protection Act (PDPA) for Non-Legal Personnel in PDPA

    at SINGAPORE INSTITUTE OF RETAIL STUDIES (SIRS)

    2014 - 2014 (1 year) Singapore

  • Full ACTA Qualification (Advanced Certificate in Training and Assessment)

    at SIGMA SOLUTIONS HRD CONSULTANTS PTE. LTD.

    2010 - 2010 (1 year) Singapore

  • Bloomberg Product Certification-Equity Level One

    at Bloomberg

    2006 - 2006 (1 year)

  • Certificate in Financial Need Analysis (Distinction)

    at Certificate in Life Insurance

    2002 - 2002 (1 year) Singapore

  • Certificate in Life Insurance Investment-Linked Life Insurance Policies (Distinction)

    at Singapore College of Insurance

    2002 - 2002 (1 year) Singapore

  • Certificate in Health Insurance

    at Singapore College of Insurance

    2002 - 2002 (1 year) Singapore

  • Certificate in Life Insurance

    at Singapore College of Insurance

    2001 - 2001 (1 year)

  • Post Graduate Diploma in Marketing Management

    at SINGAPORE INSTITUTE OF MANAGEMENT

    1999 - 2000 (1 year) Singapore

  • Higher National Diploma in Hotel Catering & Institutional Management

    at SOUTH DEVON COLLEGE OF ARTS AND TECHNOLOGY

    1984 - 1987 (3 years) Devon

Services offered

  • Compliance and Govenance

    I am currently the Compliance and Governance Director offering a complete solution to compliance and governance frameworks.

Languages

  • English Native

  • French Elementary

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