Felicia Wen Shen Lee

• Client Risk Profiling (Face-to-Face / Non-Face-to-Face)

Assess HNW clients with complex financial structures (eg. offshore trusts/PIC), international exposure, and politically sensitive affiliations for AML risks, including PEP status, sanctions exposure, and adverse media.

• Name Screening & Alert Review

Conduct daily reviews of alerts related to Politically Exposed Persons (PEPs), OFAC/Sanctioned Designated Nationals (SDNs), and other high-risk individuals using tools like Nice Actimize and Dow Jones.

• Enhanced Due Diligence (EDD)

Perform in-depth assessments of high net worth clients, especially those flagged for suspicious activity or elevated risk. Prepare EDD reports for senior management approval.

• Suspicious Transaction Monitoring

Review and maintain records of clients with prior Suspicious Transaction Reports (STRs). Ensure periodic reviews are conducted in line with MAS regulations.

• Internal Watchlist Management

Update and maintain the Internal Watchlist (IWL) database, ensuring accurate tagging and documentation of high-risk profiles/customers.

• Proof of SOW/SOF

Perform checks and assessment on high risk business clients' source of wealth and funds via financial documents/information provided for corroboration and justification.

• Regulatory Compliance

Ensure all activities align with Monetary Authority of Singapore (MAS) guidelines and internal financial crime policies.

• Conduct review on name screening alerts to flag out PEP, SDN, and other high risk profiles (via: Nice Actimize / Dow Jones / adverse news screening)
• Periodic review on existing records with STRs filed (SONAR checks) and listed in IWL database accordingly
• Perform second line review and independent analysis for disposition of hits and escalation of true hits from respective stakeholders and outsourced service provider
• Liaise with relevant stakeholders to obtain additional information or documentation that is necessary for the review assessment
• Perform second line review on the EDD assessment for senior management approval
• Ensure adherence to the policy and procedures set for the name disposition (MAS Regulations)

• Manage timely delivery of reports to Quality Control (QC) team for second-level review
• Support QC in providing responses to clients' queries
• Communicate internally with Analysts producing EDD reports and QC team to ensure smooth completion and delivery of reports
• Improve research process by sharing useful research sources/strategies with the team as well as methods to enhance research process
• Take accountability to ensure adherence to compliance and security policies set out by the company and/or clients
• Manage cases and perform other ad-hoc duties assigned

• Conducted research mainly in English and Chinese (or any multilingual language) using variety of sources including public web / subscribed databases (World-Check / Lexis Nexis / Dow Jones / entities registration databases)
• Produced professional, well-written, English EDD reports inclusive of clear and comprehensive contents according to business policies/clients requirements
• Formulate risk assessments and generalize summaries of broad content found during the course of research and investigations
• Ensure research data accuracy and relevancy

APAC coverage: China (Jiangxi, Anhui), Australasia (Australia, New Zealand, Fiji, Guam, Papua New Guinea, Micronesia), Malaysia, Cambodia, Philippines

Main scope:

• AML risk identification (individuals/entities)
• SOEs/PEPs screening from daily news articles, official/public domain sources (regulatory/registry database sites)
• World-Check records update/refresh

Extracurricular:

• Innovation: Member of 'Change Agent' Quality Assurance team (target to empower employees through basic tools, training and support to help enable a cultural transformation (involves ideas & tools implementation, weekly meetings with global offices, tools training)
• Trainer: Knowledge transfer to Bangalore office team (Conduct weekly/monthly training sessions)
• High flexibility to adapt changes (team/coverage transfers)

• Managed KYC reports for over 10+ global financial institutions (Goldman Sachs, Credit Suisse, Barclays, Blackrock and others) with Low/Medium/High/Premium risk reports based on FI's compliance SOP requirements accordingly
• Seniority/Roles:

-Proxy/Assistant of Manager

-Project Coordinator

-Team’s Learning Champion (in charge on liaising team’s bi-weekly training needs with Training Specialist)

-Mentor: provide training and guidance to new joiners

• Language Proficiency:

-Approved Chinese reports translator

-Ability to accomplish/complete high complexity foreign language records (including Hebrew, French, German) within SLA deadlines & TAT

• Key Achievements:

-Top 2 highest productivity in whole Ops team (with highest number of published High level Due Diligence reports)

-Overall report quality rate: >96%

Scope:

• Installed and implemented FlexHR systems
• Delivered client training and resolved system bugs
• Migrated data using SQL and supported helpdesk operations
• Traveled across Malaysia for client presentations and training