Summary
Overview
Work History
Education
Timeline
Generic

VIVIAN SEAH

Compliance professional

Summary

Dedicated compliance professional with extensive experience in Financial Crime Compliance and regulatory adherence across multiple financial institutions. Adept at collaborating with cross-functional teams to achieve compliance objectives and adapt to evolving regulations. Strong understanding of industry regulations and best practices for maintaining compliance.

Overview

7
7
years of professional experience

Work History

Compliance Associate

Banco Bilbao Vizcaya Argentaria, S.A
12.2023 - Current
  • Review trade screening alerts and escalations to ensure compliance with relevant regulations.
  • Provide advisory on client onboarding and periodic review.
  • Identify and mitigate potential areas of compliance vulnerability and risks.
  • Maintain and review policies and procedures on compliance processes and controls.
  • Provide ongoing compliance support to business units

Compliance Associate

ADDX Pte. Ltd.
02.2023 - 12.2023
  • Perform investigations on compliance escalations for transaction monitoring and sanctions/PEP matters.
  • Develop and implement framework on AML/ CFT processes and controls.
  • Identify and mitigate potential areas of AML compliance vulnerability and risks.
  • Keep abreast of regulatory developments on AML/CFT and ensuring Company's existing policies/procedures stay relevant.
  • Provide ongoing advisory and support to business units on AML/CFT matters.

Compliance Officer

AAX Singapore Private Limited (Defunct)
05.2022 - 11.2022
  • Conduct risk assessment and analysis of digital assets transfers from a compliance and AML/CTF perspective.
  • Provide advisory to the KYC team on client due diligence matters.
  • Support key regulatory projects which serve as milestones for application of Payment Service license.
  • Develop compliance framework and policies for key areas such as KYC and transaction monitoring.
  • Communicate and coordinate compliance risks and issues across various business units.

Compliance Officer

TFS Currencies Pte Ltd
03.2020 - 05.2022
  • Perform KYC onboarding and periodic review.
  • Conduct post trade surveillance and monthly end to end sample checking on trade execution cycle.
  • Draft and review compliance policies and procedures.
  • Create compliance training materials and provide compliance training.
  • Provide ongoing compliance advisory and support to key business units on regulatory changes.

Compliance Officer

LGT Bank Singapore Pte Ltd
07.2018 - 12.2019
  • Maintain gift and entertainment register, personal account declarations and licensing of representatives.
  • Review alerts in relation to personal account trading.
  • Perform gap analysis on new regulatory developments to identify areas or gaps which fall short of applicable regulatory requirements.
  • Create training materials on required regulatory topics and maintaining training register.

Education

Bachelor of Science - Banking And Finance

University of London (SIM Global)
06-2017

Diploma - Law And Management

Temasek Polytechnic
05-2014

Timeline

Compliance Associate

Banco Bilbao Vizcaya Argentaria, S.A
12.2023 - Current

Compliance Associate

ADDX Pte. Ltd.
02.2023 - 12.2023

Compliance Officer

AAX Singapore Private Limited (Defunct)
05.2022 - 11.2022

Compliance Officer

TFS Currencies Pte Ltd
03.2020 - 05.2022

Compliance Officer

LGT Bank Singapore Pte Ltd
07.2018 - 12.2019

Bachelor of Science - Banking And Finance

University of London (SIM Global)

Diploma - Law And Management

Temasek Polytechnic

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VIVIAN SEAHCompliance professional