Katherine Lu
Auckland,Albany
Summary
Motivated professional with a solid foundation in finance, accounting, AML/CFT compliance, tax compliance and process improvement. Skilled in data analysis, project management, and advanced Microsoft Office tools. Known for adaptability, strong communication, and effective time management, driving team success and organizational growth.
Overview
5
5
years of professional experience
1
1
Certification
Work History
Operation Analyst - Tax Compliance
Tiger Fintech (NZ) Limited
10.2024 - Current
- Reviewed client profiles and accounts to ensure compliance with AML/CFT regulations and tax-related requirements, conducting detailed assessments of due diligence documentation, monitoring triggered reviews, performing reasonableness checks on tax and transactional information.
- Conducted comprehensive CRS, FATCA, and QI compliance reviews for both individual and institutional accounts, including detailed assessments of client profiles, transactional due diligence, identifying potential red flags, and addressing discrepancies to maintain accurate records and support efficient regulatory reporting.
- Identified and remediated tax non-compliance issues raised by the NZ IRD and U.S. IRS, while proposing and implementing enhanced compliance frameworks to prevent future risks and strengthen regulatory adherence.
- Ensured accurate withholding tax processing, including RWT reporting, by reviewing and updating client tax forms and validating residency statuses for compliance with regulatory requirements.
- Collaborated with internal teams and external partners to streamline processes, resolve complex compliance challenges, and support executive-driven ad hoc projects in a dynamic environment.
Compliance Analyst - AML/CFT
Airwallex Pty Ltd
05.2022 - 06.2023
- Managed the end-to-end KYC/AML process for the onboarding of new accounts, ensuring thorough review of customer profiles.
- Enhanced regulatory compliance by developing and implementing comprehensive policies and procedures aligned with current legislation.
- Maintained an up-to-date knowledge of key regulations and evolving best practices in compliance management.
- Collaborated with cross-functional teams to successfully implement new compliance initiatives.
- Focused on customer satisfaction by ensuring timely resolution of issues and proactively introducing measures to prevent future problems.
Fund Accountant
HSBC
12.2019 - 07.2021
- Calculated and reported the fund's net asset value (NAV) on a daily, weekly, or monthly basis.
- Managed the calculation and payment of management, advisory, asset servicing, performance, and custody fees.
- Played an integral role in transitioning from manual to automated processes, significantly reducing time spent on routine tasks and enhancing data accuracy.
- Collaborated closely with legal teams to launch new funds, ensuring all necessary documentation was completed accurately and on time.
- Developed and maintained strong relationships with external auditors, leading to smoother audit processes and minimizing compliance risks.
Education
Master of Finance - Risk Analytics
Massey University
06.2024
Bachelor of Management - International Business Management
Guangdong University of Finance And Economics
06.2019
Skills
- Accounting/Banking/Compliance Operations
- Advanced Microsoft Office Skills
- CRS/FATCA and Tax Regulations
- Data Analysis and Operational Efficiency
Certification
Chartered Financial Analyst (CFA) Level III | CFA Institute | Feb 2022
Bloomberg Market Concepts Certificate | Bloomberg | May 2024
Languages
English
Chinese (Cantonese)
Chinese (Mandarin)
Timeline
Operation Analyst - Tax Compliance
Tiger Fintech (NZ) Limited
10.2024 - Current
Compliance Analyst - AML/CFT
Airwallex Pty Ltd
05.2022 - 06.2023
Fund Accountant
HSBC
12.2019 - 07.2021
Bachelor of Management - International Business Management
Guangdong University of Finance And Economics
Chartered Financial Analyst (CFA) Level III | CFA Institute | Feb 2022
Bloomberg Market Concepts Certificate | Bloomberg | May 2024
Master of Finance - Risk Analytics
Massey University
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