• Manager

    at UOB

    June 2015 - June 2019


    Monitoring works 1 Failed Trade 2 Nostro and GL Report 3 Overdraft in Cash and Nostro 4 Dormant Report 5 Global Share Cert and Delisted Securities 6 Unclaimed Balance 7 Scrip Report Compliance works 1 Court Orders - injunction Order, bankruptcies Order etc 2 Due Diligence Check GL Account Validation monthly 1 GL206 2 Surprise Proofing Yearly CSA Attestation 1 Identify the Risk vs Process and their respective exposures 2 Disseminate the report for SOP 3 Validate the Risk exposure 4 Collate the results 5 Submit the Division's response Change Management/Data Extraction 1 Create usable reports for the Team - Recon Report, CA/Settlement Report 2 Productive reports - From SAP to breakdown details to investigate on the outages 3 Dormant Report - extract and monitor for new dormant account/s. Request for documents to validate its authenticity 4 Archival Report - Extract and compare the accuracy of the currently maintained archival records vs vendor

  • Bank Analyst

    at DBS

    July 2007 - May 2015


    ORM (1st Line of Defense) 1 Conducting CSA and CQA exercises 2 Monitoring Failed Trades 3 Preparation of KRIs report to the management/Risk Team 4 BCP Coordinator 5 SOP, Process Map validator 6 Keying of Risk issues in system Compliance MAS610 - AUM Report Project Avaloq - Transfer module 1 Scoping current and new functionalities 2 Provide new SOP, Process Map and Case Studies, Test Cases 3 UATs and JIRA reporting 4 Pre-implementation 5 Post-implementation Recon, Data Verification and Adjustments UT Recon Process 1 Walked through the Data Extraction requirement from IT Team 2 Created a Excel Recon Report to match off daily trades and breaks 3 Created a DashBoard for keeping track and reporting Settlement and Transfer of Securities 1 Equities 2 Fixed Incomes 3 Derivatives 4 Mutual and Hedge Funds and UTs 5 Commodities Conduct Training 1 Signature Verification Course 2 Prevention of Money Laundering and Countering the Financing of Terrorism 3 BCP


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