Election Assistant II, Registrar-Recorder/County Clerk - County of Los Angeles - Los Angeles, California, United States
(2024-08 - 2024-11)
- Led a team of 5 to proofreads, translates, reviews, and edits election materials for proper use of content in English and other languages.
- Conducted the production of the general election training, voting equipment, script and recording.
- Cross trained teams to review provisional and conditional ballots based on the statewide database.
- Reconciled end-of-day reports and ballots database, ensuring accuracy and compliance.
Senior Compliance Analyst, Operational Tax Compliance - Morgan Stanley - Jersey City, New Jersey, United States
(2022-06 - 2023-07)
- Implemented and enhanced IRS regulatory requirements into onboarding/closure documentation procedures, internal controls, ensuring sustainable tax compliance practices.
- Drafted and updated operational procedures documentation to reflect evolving IRS mandates and regulatory expectations for withholding and reporting.
- Designed and validated internal controls that mitigated risks associated with tax evasion and enhanced compliance sustainability.
- Participated in UAT and walkthroughs for reporting systems to ensure accuracy of control design and alignment with audit expectations.
- Maintained detailed audit trails and control records to ensure readiness for both internal and external.
- Provided documents and evidence supporting remediation milestones and procedural enhancements.
- Developed dashboards and QA routines to monitor transaction risks and tax documentation compliance.
- Utilized expertise in SAP and Excel for data analysis and reporting to enhance the efficiency of operational compliance risk processes, leading to a 20% reduction in processing time for audits.
- Coordinated a global tax training initiative, developing materials and educating staffs on regulatory compliance and the prevention of tax evasion as a predicate criminal offense.
Business Risk Specialist Manager, Business Risk Organization - UBS AG - Hong Kong
(2017-06 - 2021-05)
- Managed end-to-end client onboarding for high and ultra-high-net-worth accounts, ensuring compliance with KYC, AML, and CRS standards while maintaining a seamless experience.
- Tracked roadmap for CRS run the bank implementation. Escalated AML/KYC red flags to compliance.
- Acted as the point of contact SME to support HK/SG client advisors. Reviewed escalation and initiated approval when necessary.
- Accomplished 99.65% fiscal risk and CRS remediation tore mitigate the AML risk of Hong Kong and Singapore booking centers.
- Completed ad-hoc tax authorities' projects and operational manuals. Taught training to advisors to demonstrate up-to-date risks and pitfalls.
- Facilitated teams, Group Tax and FCC with AML, KYC and CDD audit checks for accounts, onboarding, and structure related to CRS and FATCA audit and forms validation.
Client Lifecycle Management Project Specialist - HSBC Private Bank - Hong Kong
(2015-11 - 2017-04)
- Collaborated with team and FCC for individuals and entities onboarding, negative news, name screening, Panama Papers remediation, and SDN list review.
- Managed FATCA and QI DPA audits for IRS, internal group, and local tax departments. Performed business, audit, and form validation (W8BEN, W8BEN-E, W8IMY, W9, etc.) in complying with the group and local QI policies and procedures.
- Liaised US tax withholding external FIs on FATCA documentation and internal FATCA intermediary banks in Singapore and Taiwan jurisdictions.
- Supported closely with relationship managers to new banking relationships, FATCA/CRS, and BAU CIC.
- Performed Affiliate Risk Remediation for all risk rating accounts, periodic AML KYC review, and system data QA for HKMA regulator audit. Finished ad-hoc projects for HKMA reporting, annual FATCA accounts review, procedure manuals, CDD exception, CRS, and Appway UAT.
FATCA Project Administrative Assistant - DBS Bank Ltd (H.K) - Hong Kong
(2013-12 - 2015-06)
- Completed the implementation of US FATCA and training for the consumer banking group (CBG). Revised HK & Macau policy procedure flows and forms for FATCA.
- Revamped operational manuals and T&C based on HKMA, AMCM, and MAS regulations.
- Performed and supported all Hong Kong branches' client data in Finacle, Systematics, and hotlines.
- Succeeded in the ad-hoc project of iBanking security authenticator procedure, system UAT and performed FATCA classification testing.
Premier Branch Customer Service Representative - HSBC Bank USA N.A. - San Diego, California, United States
(2012-08 - 2013-05)
- Supervised daily premier retail banking, and commercial banking. Promoted unsecured products, sales, and mortgages to meet KPI.
- Serviced local and global locations' onboarding documentation and risk rating based on AML KYC.
- Monitored daily branch reports, ODs and exceptional unsecured overdraft reports using MS OnDemand.
- Executed OTE transactions for account balancing, reconciliation, reimbursement, and reporting.
- Settled and replenished ATMs maintenance weekly and facilitated foreign currency deals by phone call.
