Vincent Tan

Dynamic and results-oriented Compliance Professional with extensive experience in regulatory compliance, risk management, and internal audit. Expertise in designing and implementing compliance frameworks, conducting AML/CFT, KYC, and sanctions screening. Skilled in vendor due diligence, policy development, and compliance training, with a strong track record of streamlining processes, strengthening internal controls, and ensuring audit readiness.

Adept at collaborating with cross-functional teams, senior management, and external auditors to drive compliance culture, mitigate risks, and support business growth while maintaining alignment with global standards and local regulatory requirements.

Compliance Specialist - MODEC Offshore Production Systems (Singapore) Pte Ltd - Singapore

(2020-02 - 2026-04)

• Design, implement, and continuously improve Compliance & Ethics Program, covering written codes, policies, training, monitoring, auditing, and reporting.
• Provide clear compliance guidance to business operations, ensuring employees and third parties adhere to the Company's Code of Conduct and Anti-Corruption Compliance (ACC) Policy.
• Partner with cross-functional teams (Engineering, Operations, Projects, HSEQ, Finance) to embed a culture of compliance across the organization.
• Manage compliance documentation, develop and update SOPs, maintain organize records, and support audit and regulatory requests.
• Investigate compliance breaches, implement corrective actions, and strengthen internal controls.
• Led end-to-end vendor onboarding and qualification, ensuring compliance with AML/CFT/CPF guidelines and APAC policy requirements.
• Conduct risk assessments and due diligence reviews (Levels 0–3), including name screening, background checks, and adverse media, escalating red flags to senior stakeholders.
• Prepare structured risk reports and compliance summaries to support defensible AML/KYC decisions and governance reviews.
• Streamline onboarding workflows, reducing processing time while maintaining rigorous compliance standards.
• Maintain vendor approval logs and quarterly reports and ensuring audit readiness.
• Partner with cross-functional teams to align compliance policies with organizational goals, and APAC policies requirements.
• Consult with stakeholders on the Company's Code of Conduct and Anti-Corruption policies, gathering feedback to ensure policies remained relevant, practical, and align with regulatory requirements. Support updates and communicate changes effectively across departments.
• Oversee training campaigns and databases for employees and contractors, ensuring timely completion and accurate reporting.
• Develop and deliver compliance training content tailored to risk areas, including anti-corruption, data protection, and vendor due diligence.
• Monitor training progress, highlight exceptions, and submit summary reports to management.
• Collect feedback to refine training programs and improve effectiveness.
• Conduct due diligence reviews of Gifts & Hospitality (G&H) and Social Contribution requests, escalating red flags and complex cases.
• Maintain G&H and Social Contribution logs, verify supporting documents, and ensure accurate reporting.
• Compile and submit quarterly compliance reports, highlighting exceptions and trends.
• Stay update on regulatory changes, compliance news, and company policies, disseminating relevant updates to target audiences.
• Prepare accurate and timely compliance reports.
• Manage stakeholder relationships, addressing delays and issues tactfully.
• Clear Communicate clearly in challenging situations, escalating concerns when needed.
• Initiate yearly compliance activities including BCP exercises, call tree tests, vendor due diligence, and documentation updates.
• Investigate and report incidents related to data protection and HSE.

Compliance Manager - Great Eastern Life - Singapore

(2017-10 - 2020-01)

• Participate in AML/CFT-related projects, include system enhancements and defect resolution, ensure continuous improvement and compliance.
• Coordinate User Acceptance Testing (UAT) and System Integration Testing (SIT) to ensure accurate test results.
• Directed AMLS system risk scoring and the AML/CFT compliance framework for Singapore and GE Group entities, provide regulatory advice.
• Review and approve AML/CFT policies, and provide compliance monitoring and advisory services.
• Oversee group-wide sanction monitoring programs, directed the Internal Watch List (IWL), and address interactive screening issues.
• Communicate relevant AML/CFT laws and updates to ensure awareness and compliance across all entities.
• Conducted statistical analysis of incident management data, identifying trends and recommending mitigation strategies. Produced statistical reports on compliance monitoring, training completion rates, and third-party due diligence outcomes.

Compliance (Assistant Vice President) - CIMB Bank Berhad - Singapore

(2011-08 - 2017-09)

• Oversee the maintenance of compliance matrices, conduct thorough reviews of testing results, and streamlined the Annual Compliance Review Plan.
• Deliver compliance training, coordinate AML/CFT risk assessments, and perform cash counts for Bureau De Change operations.
• Disseminate new or updated regulations and policies, directed audit follow-ups, and coordinate responses to audit issues.
• Ensure timely submission of the Monthly Summary Compliance Report (MSCR) and maintain strong communication and collaboration across business and support units.
• Conduct independent reviews of new client onboarding, ensure compliance with due diligence and client data management processes.
• Manage KYC documentation and oversee annual and periodic CDD/Enhanced CDD reviews.
• Review Enhanced CDD submissions, provide feedback to business units, and perform follow-up reviews on alerts and exceptions.
• Conduct periodic checks on monitoring reports, random reviews of high-risk accounts, and transaction report reviews.
• Monitor and analyze customer transactions to identify and report suspicious activities, ensure compliance with anti-money laundering regulations and file Suspicious Transaction Reports (STR) when necessary.
• Conducted reviews of SOW to verify clients financial background and ensure compliance with regulatory standards and internal policy.
• Assessed and documented SOF for transactions to support due diligence and risk management processes.
• Respond to Monetary Authority of Singapore (MAS) regulatory queries, ensuring timely and accurate submission of compliance information.
• Prepared and validated statistical reports for regulatory filings, aligning with MAS requirements and internal compliance standards.
• Managed completion of compliance-related questionnaires, providing detailed responses supported by verified data and audit trails.
• Coordinated cross-functional teams to gather, analyze, and report compliance statistics for regulatory and internal stakeholders, based on compliance testing results.
• Oversaw reporting of near-miss Suspicious Transaction Reports (STRs), ensuring proper documentation, escalation, and regulatory alignment.
• Strengthened transparency and credibility of compliance reporting by implementing rigorous data validation and governance processes, consistently achieving 100% error-free submissions.

Senior Internal Auditor - Maybank Berhad - Singapore

(2011-01 - 2011-07)

• Contribute to audit planning and develop comprehensive audit plans, ensuring effective evaluation of company processes and controls.
• Perform process flow mapping, walkthrough tests, and substantive testing, discuss findings and prepare draft reports for management review.
• Prepare and present internal audit reports, highlighting key findings and recommendations.
• Ensure regulatory compliance with MAS requirements and liaised with local and regional management regarding audit reports.
• Conduct operational audits, evaluate controls' effectiveness and identify improvement areas.

Risk Management Executive, Senior Risk Officer - Phillip Futures Pte Ltd - Singapore

(2009-12 - 2010-10)

• Optimize daily activities to align with organizational goals, execute margin calls, and monitor client accounts for potential risks.
• Collaborate with trading and risk management teams, conduct account reviews, and analyze complex data for comprehensive reporting.
• Optimized operations live data from Bloomberg stations using Excel, maintain market awareness, and update internal net risk positions and position reports.
• Demonstrate adaptability by undertaking additional responsibilities to support the Risk Management function.

Senior Internal Auditor - Public Bank Berhad - Malaysia

(2006-01 - 2008-08)

• Conduct surprise and periodic audits of branches and Head Office, perform variance analysis, and streamlined pre-audit procedures for purchase approvals.
• Audit company assets, ensure regulatory compliance, and analyze customer transactions for unusual patterns.
• Supervise junior team members, provide workflow improvement recommendations, and review project expenditures.
• Conduct special reviews to strengthen controls, analyzed bank reconciliation statements, and perform ISO 9001:2000 audits.
• Investigate fraud cases, ensure thorough resolution and adherence to internal controls and regulatory requirements.

Master in Business Administration - MBA

BSc (Hons) - Business IT

Diploma - Compliance