Kelly Ong
Summary
Accomplished KYC Onboarding Manager with a proven track record at KGI Securities, enhancing organizational growth through meticulous policy enforcement and stakeholder management. Demonstrates exceptional problem-solving abilities and adaptability, significantly improving compliance processes. Skilled in software implementation and fostering teamwork, consistently achieves and surpasses set goals.
Experienced with employee onboarding and team integration, delivering improved onboarding experiences and streamlined processes. Utilizes communication and organizational skills to ensure smooth transitions and positive outcomes. Knowledge of fostering inclusive work environments and enhancing employee satisfaction.
Overview
28
28
years of professional experience
1
1
Certification
Work History
KYC Onboarding Manager
KGI Securities
06.2024 - Current
- Review the account opening documents for both individual, entity and wealth management.
- Conduct periodic CDD reviews of exisiting clients, performing enhanced due diligence, and ensuring overall compliance with procedural standards.
- Perform name screenings for sanctions, PEP and adverse news/negative news screening.
- Perform account maintenance by ensuring any update of particulars request are promptly updated.
- Advise and coordinate with BU on the CDD requirements by identifying gaps in the CDD documentations.
- Assist in maintenace of database for annual fatca and crs reporting.
- Continuous review and improve the onboarding workflow and process as well as update the PPM accordingly.
- Responsible for systems projects, UAT and automation.
- People management and assigned tasks by HOD.
KYC/Corporate
UOB
10.2023 - 06.2024
- Process & checking of non-individual client onboarding including account opening, online account opening and eservices.
- Liaise with Business units on referral or query and handling investigations.
- Prepare of daily & monthly statistics and reports.
- Update of account maintenance for clients.
AML Analyst
OCBC Securities
12.2021 - 10.2023
- Review and analyse Due Diligence information on new and existing clients to meet all regulatory requirements.
- Analyse challenging or high risk account situations and make appropriate recommendations to management on whether to onboard and maintain existing relationships and other suitable recommendations as to appropriate controls to be put in place.
- Liaise with the Trading Representatives and relevant stakeholders on ongoing reviews and KYC queries.
- Review any suspicious activities arising from ongoing review of clients accounts.
- Engage in projects, UAT including system initiatives & standard operating procedures.
KYC Onboarding Analyst
UBS
07.2019 - 11.2021
- Perform review & name screening searches for new client onboarding for wealth management HK & SG. (Private Banking)
- Proactively identify gaps in current process against global Due diligence policies.
- Review results and eliminate false hits using established guidelines and policies.
- Liaise with internal stakeholders to resolve open hits, escalate adverse news and risks appropriately.
- Prepare accurate and complete internal documentations based on search results.
- Ensure adherence to regulations, guidelines, standards and UBS policies.
- Maintain in depth awareness of potential legislative and UBS policy breaches and act proactively prevent their occurence.
- Direct liaise with and support internal clients through hotline/advisory support. Business partners include but not limited to within operations, legal and compliance, Business Risk Management, Project Team(s).
- Engage in ad hoc projects including system enhancements, automation, UAT.
CDD Analyst
Citibank
05.2016 - 06.2019
- Conduct Due Diligence reviews of existing and new to bank clients adhering to Bank's KYC/AML policies.
- Highlight and escalate process issues to management and/or compliance and propose control action plan to appropriate management levels.
- Ensure quality reviews, data consistency, good disposition and clear conclusion of AML cases.
- Analyst transaction history to determine potential AML concerns,
- Perform source of wealth corroboration for high net worth individuals.
- Identify and assess client's tax crime risk profile.
Senior Service Manager (Citigold Private Client)
Citibank
04.2015 - 05.2016
- Support the Relationship Manager on handling client's account enquiries, maintenance and transactional matters.
- Assist the RM on execution of processes, account opening, UT/Bonds/Note deals and Client Due Diligence.
- Engage CPC clients through outbound services calls to deepen banking relationships with a team-based approach.
- Developed strong client relationships and built customer loyalty through consistent delivery of error-free and timely service to meet customer's needs.
- Review designated surveillance reports on anti-money laundering activities and transactions monitoring to ensure compliance with established policies.
- Coordinate and assist with the documentations for routine sales surveillance.
- Ensure synergy between sales and service teams and exercise due diligence and independence while reviewing the transactions for CPC Relationship Managers.
- Comply with the Bank's policies and procedures to ensure safety and security of bank and customers.
- Provided referrals to CPC Relationship Managers.
- Liaise with RM/Business Managers for KYC deficiencies identified during Periodic reviews.
Retail Banking Manager
Bank of East Asia
11.2014 - 03.2015
- Manage the overall retail branch banking operations.
- Implement retail banking strategies to meet customer's needs.
- Review and improve operational processes.
- Manage retail and support staff to ensure highest standards of service excellence and banking experience to clients.
- Liaise with the clients for any maturing fixed deposit regarding the rates or potential clients for new account opening.
- Handle customers' compliant.
Branch Operations Manager
Standard Chartered Bank
03.2011 - 11.2014
- Assist the Senior Branch Operations Manager in the Branch Daily Operations and managing of 5 branch tellers.
- Perform overriding and approval of transactions.
- Review of all Daily & Monthly reports and provide administrative support for sales related activities, eg: checking of account openings and wealth documents, UT & bonds etc.
- Assist in Branch admin duties and other activities assigned by Branch Manager to cover Branch Service Managers relating Service issues.
- Ensure that all operations risk control are in place.
- Stock control custodian for cashier orders, saving passbooks, ATM Cards.
- Scanning and batching of customers' instructions to relevant department for processing.
- Investigate and handle customers' compliant.
Relationship Officer (Privilege Banking)
UOB
01.2007 - 03.2011
- Support the Relationship Managers on documentations for Bonds, UT, Structure Deposit and Fixed Deposits.
- Handle clients' enquiries and servicing issues.
- Liaise with the customers for any maturing Fixed Deposits regarding the rates and Loans.
- Opening of accounts for new to bank and existing customers.
- Submitting of back end jobs such as telegraphic transfer applications and waiver of transactions.
Customer Service Cashier
SCB, Hong Leong Finance, Keppel Tat Lee Bank
01.1997 - 01.2007
- Handle customer's queries.
- Enhanced customer satisfaction by efficiently addressing and resolving their inquiries and concerns.
- Accurately and efficiently process over the counter transactions.
Education
Diploma in Marketing
Thames Business School
Singapore03-1996
Skills
- Organizational growth
- Software implementation
- Policy enforcement
- Stakeholder management
- Employee engagement
- Recruitment and hiring
- Employee engagement strategies
- Leadership training and development
- Teamwork and collaboration
- Problem-solving
- Time management
- Attention to detail
- Adaptability and flexibility
- Verbal and written communication
- Human resources operations
- Performance appraisals
- Analytical thinking
- Onboarding, training, and development
- Organizational skills
- Team collaboration
- Active listening
Certification
- Certificate of Completion of Data Analytics Bootcamp
- ICDL Profile Certificate MS excel 0365/6.0
- Advanced excel (Chinese)
Timeline
KYC Onboarding Manager
KGI Securities
06.2024 - Current
KYC/Corporate
UOB
10.2023 - 06.2024
AML Analyst
OCBC Securities
12.2021 - 10.2023
KYC Onboarding Analyst
UBS
07.2019 - 11.2021
CDD Analyst
Citibank
05.2016 - 06.2019
Senior Service Manager (Citigold Private Client)
Citibank
04.2015 - 05.2016
Retail Banking Manager
Bank of East Asia
11.2014 - 03.2015
Branch Operations Manager
Standard Chartered Bank
03.2011 - 11.2014
Relationship Officer (Privilege Banking)
UOB
01.2007 - 03.2011
Customer Service Cashier
SCB, Hong Leong Finance, Keppel Tat Lee Bank
01.1997 - 01.2007
Diploma in Marketing
Thames Business School
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