SOH SHI HUI
Summary
Experienced and compliance-focused professional with a strong background in supervising financial advisory activities within the insurance sector. Skilled in evaluating internal controls, market conduct practices, and regulatory compliance through audits, documentation reviews, and reporting. Seeking to contribute to MAS’s supervision team by applying my analytical mindset, attention to detail, and practical experience in financial advisory compliance to enhance risk management and support regulatory effectiveness.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Senior Sales Compliance Officer
Great Eastern
09.2021 - Current
- Post-Sales Documentation Review
Assessed and approved post-sales documents to ensure accuracy, completeness, and compliance with internal guidelines and regulatory standards. Collaborated with cross-functional teams to address compliance concerns, fostering a culture of shared responsibility. - Client Survey Analysis
Reviewed client feedback surveys to identify potential conduct concerns and ensure issues are addressed to support fair dealing outcomes. - Policy Replacement (Switching) Approval
Evaluated and approved policy replacement cases, ensuring proper client rationale and compliance with MAS requirements. - Regulatory Reporting
Prepared quarterly fair dealing reports for the CEO and senior management, outlining key risk trends, compliance gaps, and improvement measures aligned with MAS Fair Dealing Guidelines. Streamlined reporting processes for improved efficiency in submitting data. - Internal Audit Leadership
Led internal audits focused on sales practices and compliance controls, identified process weaknesses, and recommended corrective actions. - Market Conduct Appeals Management
Reviewed appeals submitted by representatives, compiled supporting documentation, and presented cases at the Market Conduct Review Committee (MCRC) meetings. - Product Launch Support
Collaborated with product and distribution teams during new product launches to ensure complied with regulatory and internal standards. - Regulatory Compliance Examinations
Actively participated in regulatory compliance reviews and examinations to ensure internal compliance and implementation of required actions.
Product and Compliance Senior Associate
Cynopsis Solutions
12.2018 - 09.2021
- Monitor and updates regulatory requirements such as FATF, MAS 626, transaction monitoring, Balanced Scorecard and etc
- Review, write and update company policies (ISO 27001 and compliance)
- Perform Know Your Customer (KYC) due diligence checks using global database system (e.g. World Check, DJ and C6) as well as internet
- Perform vendor due diligence checks
- Perform validation on transaction monitoring and be able to identify abnormal transactions during reviews
- Provide advice to internal stakeholders as well as clients worldwide and different sectors (e.g. bank, CSP and etc) on AML
- Perform UAT testing for AML/KYC, Balanced Scorecard and transaction monitoring software and provide feedback using JIRA and trello
- Assist to streamline KYC process and propose to enhance the software products
- Conduct AML/KYC training to new hires
- Assist in monthly risk assessment reporting to ensure KYC/AML software risk assessment up to date; Monitor and update Sanction list from different regulatory bodies
- Update risk assessment scoring using excel formula.
- Lead in ISO 270001 audit
Internship
Cynopsis Solutions
06.2018 - 08.2018
- Maintain active communications with clients related to AML/ KYC queries
- Perform and investigate of alerts using global database system for clients (e.g. TR, DJ and C6)
- Generated over 2000 leads from different digital channels
- Developed the right content that get users more engaged in AML/KYC product
Education
Economics, Minor in Business
Nanyang Technological University
12.2018
Financial Informatics
Nanyang Polytechnics
03.2015
Certification
Advanced Certificate in Regulatory Compliance
LANGUAGES
English
Chinese (Mandarin)
Timeline
Senior Sales Compliance Officer
Great Eastern
09.2021 - Current
Product and Compliance Senior Associate
Cynopsis Solutions
12.2018 - 09.2021
Internship
Cynopsis Solutions
06.2018 - 08.2018
Economics, Minor in Business
Nanyang Technological University
Financial Informatics
Nanyang Polytechnics
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