JANSEN WONG

• Comprehensive AML Advisory

Provide AML advisory across 12 branches in Asia-Pacific and Oceania, specializing in Trade Finance and Transaction Monitoring. Advise on AML controls for traditional trade products (e.g., Letters of Credit, Bank Guarantees), open account (e.g., ARPS, Payable finance), and trade loans.

• AML Trade Finance advisory: Review trade transactions involving both domestic and cross-border flows. Perform due diligence on counterparties and customers by assessing goods and funds flow, ensuring all supporting documents—including invoices, bills of lading, and airway bills—meet internal and regional requirements to validate the authenticity of underlying trades.

• Transaction Monitoring Oversight & Quality Review

Oversee Level 1, 2, and 3 alert reviews to ensure accurate dispositioning and escalation. Lead regional Quality Control (QC) and Quality Assurance (QA) processes and perform post-STR monitoring (L3) to assess residual risks.

• Financial Crime Compliance Monitoring: Implement targeted quarterly questionnaires on KYC, transaction alerts, and product evaluations

• Training & AML Awareness: Develop and deliver AML training across FLOD and SLOD teams. Focus areas include red flag detection, PEP/HRJ/SOE identification, and audit or regulatory findings.

• Regulatory & Audit Issue Management:Address findings from audits and regulatory inspections. Provide strategic advisory on sustainable remediation plans for branches.

• Risk & Compliance Oversight: Led risk and compliance oversight across fund, corporate secretarial, and trust services.

• MLRO Responsibilities: : Acted as MLRO for high-risk cases, conducted EDD, and filed STRs via SONAR.

• Data Protection Officer: Reported material data breaches to PDPC (Singapore) and PCPD (Hong Kong).

• Compliance Training: Designed and delivered AML/CFT and regulatory training for Asia teams.

• Risk Register Management: Established a centralized register for escalations, complaints, and G&E logs.

• Compliance Monitoring: Executed compliance monitoring programs to ensure system integrity and control effectiveness.

• Individual Accountability & Conduct:Ensured compliance with fit and proper requirements under the IAC framework.

• Transaction Monitoring: Developed policies and checklists for capital calls, distributions, and payroll transactions.

• Enterprise Risk Assessment: Led risk assessments to identify inherent/residual risks aligned with corporate tolerance.

• Internal Audit Coordination: Supported internal audits with control testing and documentation.

• New Business Evaluation: Participated in NBAC to assess AML/CFT risks in new client onboarding.

• KYC Onboarding: Performed end-to-end onboarding for PE/hedge funds and investment vehicles. Reviewed UBO structures, source of wealth, and regulatory status.

• Periodic review & Trigger events: Conducted periodic and trigger event reviews during capital calls. Maintained updated records and ensured compliance with transaction patterns.

• Screening & EDD: Screened UBOs, directors, and signatories against PEP, sanctions, and adverse media lists. Investigated matches and applied EDD where applicable.

• KYC Refresher: Periodic refreshment of corporate clients and ensuring SOW/SOF documentation are aligned.

• Client Risk Review: Managed Risk Scoring Model for ongoing monitoring for existing & new corporate clients.

• Onboarding: Onboarding of Private banking clients collecting documents such as Passport, residential address proof, SOW/SOF corroboration and so on.