Shabreena Abdul Rahman
Summary
Knowledgeable Compliance Manager with documented success in developing policies, leading training programs and managing reporting to achieve compliance. Methodical with exceptional presentation and communication skills. Strong background working with federal and state regulations. Methodical Compliance Manager offering analytical problem-solving skills and solution-driven mindset. Experienced in financial industry with more that 10 years progressive career. Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals.
Overview
16
16
years of professional experience
Work History
Head of Compliance
Mizuho Bank Bhd
2011.07 - 2015.12
- Manage a team of staff under the Compliance Department/Liaise, assist and co-ordinate business / support units / parent bank on compliance matters; Coordinate and facilitate the Bankwide regulatory compliance management process; Represent the Bank in liaising and coordinating with regulators on compliance matters; Ensure the updating of internal policies, guidelines, procedures in meeting changing regulatory environment; Manage the preparation of regulatory compliance reports for internal / external reporting purpose; Act as the Anti-Money Laundering Compliance Officer responsible for overseeing AML / CFT prevention, reporting of Cash Transaction Reports / Suspicious Transaction Report and ensuring that the Bank and all employees comply with AML / CFT laws, regulations and guidelines;
Head of Compliance
Bangkok Bank Bhd
2008.11 - 2011.06
- Liaise, assist and co-ordinate business / support units / parent bank on compliance matters; Responsible for draw up the compliance manual and update the manual on a yearly basis to include new guidelines or Acts before tabling it to the Board of Directors; To establish procedures for the annual review of its compliance programmes; To conduct compliance audit as per the yearly compliance plan; Ensure the updating of internal policies, guidelines, procedures in meeting changing regulatory environment; Manage the preparation of regulatory compliance reports for internal / external reporting purpose; Act as the Anti-Money Laundering Compliance Officer responsible for overseeing AML / CFT prevention, reporting of Cash Transaction Reports / Suspicious Transaction Report and ensuring that the Bank and all employees comply with AML / CFT laws, regulations and guidelines; Responsible for managing Compliance monitoring of money laundering detection and prevention measures via daily checking of transaction reports and Northland / Fricosoft monitoring systems;
Compliance/ Legal Manager
Meridian Asset Management Sdn Bhd
2005.05 - 2008.11
- Liaising with other heads of departments/ divisions to administer and implement the compliance policies and procedures within the company; Responsible for draw up the compliance manual and update the manual on a yearly basis to include new guidelines or Acts before tabling it to the Board of Directors; To establish procedures for the annual review of its compliance programmes; To conduct compliance audit as per the yearly compliance plan; To carry out regular briefing sessions to all employees on the Compliance matters within the organisation; To establish, maintain and implement policies and procedures designed to comply with all relevant laws, regulation and guidelines, etc; detect and prevent violations; and report any material violation and/ or recommend remedial action; To maintain knowledge of changes to laws, regulations and guidelines and relevant industry developments and disseminate information pertaining to such changes and development within the company; and To ensure money-laundering policies and rules are adhered to when accepting sales/monies from portfolio clients; To liaise with regulatory authorities and to prepare the quarterly and yearly reports to the regulatory authorities, unit trust Management Company, portfolio client on compliance issues
- Responsible for the establishing offshore funds eg
- Liasing with the offshore lawyers, custodian; Preparing information memorandum for the establishment of the offshore funds and vetting the relevant agreements involved in the establishment of offshore funds;
Senior Compliance Officer
Prudential Unit Trusts Bhd
2001.04 - 2005.05
- Preparation of submission to Securities Commission eg
- New Fund submission, Increase of Fund Size, Appointment of Investment Committee Members & Board of Directors, Renewal of Prospectus and other submission as and when necessary; Liaising with other heads of departments/ divisions to enhance compliance controls and also to ensure that the company operates within the parameters set by Securities Commission’s Guidelines and Regulations; Responsible for updating the compliance manual on a yearly basis to include new guidelines or Acts before tabling it to the Board of Directors; To monitor daily reports, e.g
- Daily NAV & other investment reports of each fund, to ensure compliance with the Securities Commission Guideline’s; To carry out regular briefing sessions to all employees on the Compliance matters within the organisation; To examine and investigate any irregularities in the company’s operations and if necessary, to notify or consult the trustee; To coordinate submissions to Securities Commission and follow-up actions; compiling and submitting monthly statistics to Securities Commission on a timely manner; To vet documents which will be circulated to the public at large; to ensure that the documents which are to be vet complies with the necessary Guidelines, for instance the deed & prospectus, advertisement and promotional materials, annual and interim reports and customer service materials; To give advice on any matters relating to compliance with the applicable requirements, including on investment management and on dealings by employees and directors of the management company; To avoid trading abuse, unfair sales practice and quick trades which disallow investors to take advantage of pricing discrepancies in the stocks held by funds; To ensure money-laundering policies and rules are adhered to when accepting sales/monies from clients; To ensure all Customer complaints are looked into within 3 days; brought to attention of Management if material; and To ensure all sales personnel must be licensed on or before execution of sales.
Compliance Officer
KL City-ASMIC Unit Trust Management
2000.03 - 2001.04
- Assisting in the preparation of submission to Securities Commission; assisting Senior Management and the Compliance Manager in all compliance functions; To examine and investigate any irregularities in the company’s operations and if necessary, the compliance unit will notify or consult the trustee; To coordinate submissions to Securities Commission and follow-up actions; compiling and submitting monthly statistics and fund performance data to Securities Commission, Federation of Malaysian Unit Trust Managers, Micropal and Lipper; Compilation of reports/ minutes for Board of Directors Meetings and Committee Meetings; Responsible for the compliance manual and the code of conduct for employees of the management company, including in distributing the manual and code of conduct to all employees and briefing new employees;
Education
LL.B (Hons), University of Northumbria at Newcastle, England, United Kingdom (Currently known as Northumbria University) -
International Compliance Association - Advanced Certification in AML and CFT -
01.2013
University of East London Foundation Studies, Stamford College -
01.1995
Skills
- Good Written and Verbal Communication Skills
- Detail Orientated
- Effective Problem Solving Skills
- Risk Assessment
- Multi-Tasking Capabilities
- Strong Research Skills
- Flexible & Adaptable to new environments
- Ability to work independently and as a team
- Undertake work pressure to acquire practical skills
Availability
Immediate
Personal Information
Nationality: Singaporean PR
Timeline
Head of Compliance
Mizuho Bank Bhd
2011.07 - 2015.12
Head of Compliance
Bangkok Bank Bhd
2008.11 - 2011.06
Compliance/ Legal Manager
Meridian Asset Management Sdn Bhd
2005.05 - 2008.11
Senior Compliance Officer
Prudential Unit Trusts Bhd
2001.04 - 2005.05
Compliance Officer
KL City-ASMIC Unit Trust Management
2000.03 - 2001.04
LL.B (Hons), University of Northumbria at Newcastle, England, United Kingdom (Currently known as Northumbria University) -
International Compliance Association - Advanced Certification in AML and CFT -
University of East London Foundation Studies, Stamford College -
Similar Profiles
Pankaj SinghPankaj Singh
Vice President at Mizuho BankVice President at Mizuho Bank
KRISTELLE LOUISKRISTELLE LOUIS
Administrative Assistant - Reception at MIZUHO BANKAdministrative Assistant - Reception at MIZUHO BANK
Harry XueHarry Xue
Relationship Manager at Mizuho BankRelationship Manager at Mizuho Bank