Chui Lee Sam

I have 5 years of experience in KYC/Customer Due Diligence reviews for onboarding and existing corporate clients. I am skilled to perform independent searches/screening on clients, investigating and identifying high-risk/suspicious clients, and liaising with the Relationship Manager.

WORKING EXPERIENCES 

1) Company: Sumitomo Mitsui Banking Corporation (SMBC) Malaysia

Position: Senior Officer 

Department: Client Services Department 

Date Joined: December 2016 – Jan 2022 

Works Description:

-Perform Anti-Money Laundering and Know Your Customer Due Diligence (AML/KYC) reviews for all on-boarding and existing clients. 

-Conduct independent searches from internal systems/ commercial database/internet, and justify negative findings, if any. 

-Conduct name screening by using World-Check and Fircosoft system  Investigating high-risk clients and reporting where necessary, including Politically Exposed Persons, and obtaining all necessary documentation to complete the client file. 

-Communicate effectively and efficiently with the Relationship Manager (RM) to obtain customer's information and KYC documents. 

-Perform further investigation on identified suspicious client and client's transactions and report to KYC/AML compliance officer. 

-Assist administrative duties such as documents circulation, scanning, filing, uploading, recording and etc. 

-Guide and follow-up with RM/customer on required documents.

-To understand and follow the latest KYC requirements/procedures/guidelines from the compliance department. 

-Ensure all the KYC cases are complete in a timely manner with zero error. 

-Adherence to laws and regulations, internal risk, and compliance policies, and the Bank/Company Code of Conduct. 

-To suggest new or improve the existing processes to achieve team productivity and efficiency. 

-To collect information and conduct sampling data when required by the auditor. 

-Timely completion of all mandatory regulatory risk and compliance training, including e-learning by the set deadlines. 

2) Company: OCBC Bank (Malaysia) Bhd 

Position: Assistant Manager 

Department: Trade Finance Operation 

Date Joined: November 2015 – May 2016 

Works Description: 

-Processing the relevant invoice financing transactions by reviewing the documents submitted by customer to make sure the transaction can proceed further. 

-Contact CPC to advise customers if found any discrepancy documents. 

- Handle import and export transactions for payment or negotiation bills after the documents have been checked by the doc checker. 

-Handle backlog and end day report 

3) Company : Scope International (M) Sdn Bhd 

Position: Senior Global Operation Officer 

Department: Trade Services – Export Payment (Singapore and Hong Kong) 

Date Joined: January 2010 – October 2015 

Works Description:

-Processing the relevant transactions guided by operating procedures, guidelines, policies, and standards set 

-Ensure that the set productivity targets (efficiency, accuracy, etc.) are achieved 

-Ensure awareness and full compliance with the regulations, rules, policies, guidelines, procedures, practices, and code of conduct imposed by the company 

-Support the rollout of appropriate quality management systems in the team and other initiatives by the company 

-Continue to improve in customer satisfaction with no negative feedback and errors

-Acquiring relevant knowledge and training for the new product 

-Providing support and training for junior or new joiner 

-Contributing ideas for improvement on processes

EDUCATIONAL BACKGROUND 

1) University Putra Malaysia, Selangor, Malaysia. 

Bachelor of Business Administration 

Major: Finance 

Grade: 3.766 

Graduation Date: August 2009 

2) Negeri Sembilan Matriculation College 

Major: Accounting 

CGPA: 3.87 

Graduation Date: June 2006