LINH LE

AML Advisory

• Led employee relations through effective communication, coaching, training, and development.
• Provided critical advisement on high-risk name matches, ensuring compliance with regulatory standards.
• Collaborated with business units to ensure thorough understanding and adherence to CDD requirements.
• Offered expert advice on AML-related queries and issues, contributing to the overall compliance posture of the bank.
• Develop comprehensive compliance policies and procedures that align with regulatory requirement and best practices.

Project:

As the Coordinator of 2 AML projects, we have:

• Provide the assist in defining the Business Unit's scope, objective as well as deliverables in collaboration with other BU/ stakeholders of GTO, Local Compliance, Tech team,..
• Set out the detailed test plan, milestones, keep track the timeline on the execution progress.
• Identified and addressed issues as appropriate.

Audit and Assessment: Conduct assessment along with audit review, perform thorough risk assessment to identify areas that may be vulnerable to non-compliance and take corrective actions.

• Responsible for the coordination of the implementation of new AML processes and procedures, to help ensure the Vietnam Consumer Business procedures are aligned with Global, Regional and Local requirements. Coordinate with Regional in-Business AML to ensure the implementation of regional initiatives and procedures in Vietnam
• Provide the advisory/ reviewing on the new update in business process (Branch/ Core ops/ Citiphone/ Credit control...) related to AML nexus and Control as appropriate.
• Implement the new process in business to comply with Local/ AML guidance.
• Coordinate with Financial Investigations Unit and Business Heads with respect to business strategy for customers subject to negative news, escalate suspicious or questionable activity when identified through CBSU's processes.
• Be responsible for monitoring, testing and completing the periodic review on AML CDD system and ensure its works as required.
• Review and give Regional concurrence on the enhancement due diligence profile of AML CDD within the role and responsibility by quarterly.
• Perform MCA testing in quarterly annually to ensure the control and monitoring are appropriate and align with regional framework as well as country's requirement.
• Review and perform impact assessment on the new update of law/ regulatory as appropriate.
• Prepare the information as required by Audit. Communicate/ dealing with CA as applicable.
• Leading the “Closed or FFD Customer having active accounts” project in business local over 5 months to ensure the Systemic Controls Enhancement implemented across countries at regional level.
• Collaborate with Ops and Technology team to meet optimization and productivity goals through many projects such as the Name screening enhancement, KYC CDD, Damselfly project on CSAW-C,..
• Cooperate with Tech and other AUs to ensure the enhancement is closely tracked and successful implementation process including Client Screening Project
• Perform various ad-hoc tasks on divestiture project regarding to reporting/ system enhancement, etc.

• Review and approve CDD/ Name screening as per process.
• Identified threats, vulnerabilities and suspicious behavior patterns to recommend mitigation measures.
• Strengthened AML compliance by conducting thorough risk assessments and monitoring transactions.
• Analyzed large datasets using various analytical techniques to identify patterns indicative of potential money laundering activities.
• Preparing data for Desk with the purpose setting as a governance structure for identification, assessment, monitoring, control and reporting of anti-money laundering risk and to ensure that the necessary resources are applied to complete ongoing and proposed anti-money laundering initiatives of the Anti-Money Laundering program.
• Review current procedures/ process align with the standards and practice.
• Perform the quality control testing on quarterly.
• Other projects/ Adhoc as a part of KYC testing enhancement.

• Maintained updated knowledge of relevant regulations and industry best practices to continuously improve AML/KYC processes.
• Collaborated with cross-functional teams to develop and implement AML/KYC policies and procedures, ensuring regulatory compliance.
• Developed key performance indicators to measure the effectiveness of AML/KYC processes and identify areas for improvement.
• Review the High-Risk customer to comply with bank's requirement, monitor transactions and other actions as needs