Lin Wang
Auckland
Summary
- Daily Transaction Monitoring: Conducting thorough monitoring and verification of transaction data, analyzing indicator hits, and recording transaction volumes, product types, and account assets.
- Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD): Ensuring compliance with AU and NZ AML legislation through comprehensive CDD and EDD processes, including checks for Politically Exposed Persons (PEPs), negative news screening (NNS) and sanctions.
- Issue Resolution: Managing name screening alert issues and addressing client inquiries related to complex situations with a human-centric approach.
- Regulatory Reporting: Preparing detailed reports and applications for regulatory bodies, ensuring compliance documentation is accurate and comprehensive.
- Internal Collaboration: Working closely with the Customer Service team to clarify and resolve any suspicious or uncertain information.
- Internationalization Efforts: Supporting the company's expansion initiatives while ensuring compliance across different jurisdictions.
Overview
17
17
years of professional experience
Work History
AML/CFT Compliance Analyst
Tiger Brokers (NZ) Limited
04.2024 - 07.2024
- Stayed current with latest changes to applicable regulatory standards and company procedures.
- Reviewed audit and monitoring reports related to consumer and client activities.
- Assisted with proactive client outreach initiatives and documented client correspondence in CRM system.
- Assisted in the development of a comprehensive risk assessment framework for evaluating potential threats to organizational compliance systems.
- Assisted investigation and risk management teams with fraud investigations and risk identification.
- Conducted gap analyses on existing controls systems, recommending improvements where necessary for increased effectiveness in maintaining regulatory compliance.
- Developed improvement and corrective action plans to bring operations in line with requirements.
- Streamlined internal audit processes for improved efficiency and accuracy in detecting potential compliance issues.
- Assisted in the preparation of reports for senior management, outlining findings from investigations into suspected non-compliant activities.
- Maintained up-to-date knowledge of applicable laws and regulations.
- Maintained composure in stressful situations, confrontations, interviews and records searches.
- Took notes on field examinations and specific case details, updated databases and produced reports outlining results of investigations.
- Conducted periodic compliance audits and reviews to identify areas of improvement.
- Identified gaps in existing compliance processes and recommended updates.
- Collected detailed notes on investigations and other communication to adhere to legal requirements and enhance recordkeeping.
- Advised clients on compliance fraud and investigations, as well as potential remedies and required actions.
- Completed field checks to verify licenses and permits for various business.
- Collaborated with IT department to implement secure data management practices, safeguarding sensitive information.
- Improved stakeholder confidence by establishing clear communication channels for compliance issues and updates.
- Self-motivated, with a strong sense of personal responsibility.
- Worked effectively in fast-paced environments.
- Skilled at working independently and collaboratively in a team environment.
- Proven ability to learn quickly and adapt to new situations.
- Excellent communication skills, both verbal and written.
- Demonstrated respect, friendliness and willingness to help wherever needed.
- Assisted with day-to-day operations, working efficiently and productively with all team members.
- Passionate about learning and committed to continual improvement.
- Managed time efficiently in order to complete all tasks within deadlines.
- Worked flexible hours across night, weekend, and holiday shifts.
- Organized and detail-oriented with a strong work ethic.
- Paid attention to detail while completing assignments.
- Used critical thinking to break down problems, evaluate solutions and make decisions.
- Strengthened communication skills through regular interactions with others.
- Adaptable and proficient in learning new concepts quickly and efficiently.
- Learned and adapted quickly to new technology and software applications.
- Proved successful working within tight deadlines and a fast-paced environment.
- Developed and maintained courteous and effective working relationships.
- Demonstrated strong organizational and time management skills while managing multiple projects.
AML/CFT & Operation
Snowball X
03.2023 - 02.2024
- Streamlined operations by implementing efficient processes and systems.
- Coordinated logistics activities, ensuring timely delivery of products and services to clients.
- Improved customer satisfaction rates through timely communication and effective issue resolution.
- Reduced operational costs through effective resource allocation and management.
- Ensured smooth day-to-day operations by addressing any workflow disruptions promptly and effectively.
- Implemented quality control measures to ensure compliance with industry regulations and standards.
- Collaborated on operational support tasks to achieve common goal.
- Set clear goals to monitor targets and offered real-time input on performance and motivation.
- Monitored digital access, used shredders and locked filing cabinets to protect confidential information.
- Reduced budgetary expenditures by effectively negotiating contracts for more advantageous terms.
- Assisted with proactive client outreach initiatives and documented client correspondence in CRM system.
- Implemented innovative programs to increase employee loyalty and reduce turnover.
- Enhanced customer satisfaction by effectively managing and resolving operational issues in a timely manner.
- Streamlined operations by implementing efficient processes and procedures, increasing overall productivity.
- Managed budgets effectively while balancing competing priorities, ensuring optimal allocation of resources towards critical projects.
- Self-motivated, with a strong sense of personal responsibility.
- Worked effectively in fast-paced environments.
- Skilled at working independently and collaboratively in a team environment.
- Proven ability to learn quickly and adapt to new situations.
- Excellent communication skills, both verbal and written.
- Demonstrated respect, friendliness and willingness to help wherever needed.
- Assisted with day-to-day operations, working efficiently and productively with all team members.
- Passionate about learning and committed to continual improvement.
- Managed time efficiently in order to complete all tasks within deadlines.
- Organized and detail-oriented with a strong work ethic.
- Paid attention to detail while completing assignments.
- Used critical thinking to break down problems, evaluate solutions and make decisions.
- Strengthened communication skills through regular interactions with others.
- Adaptable and proficient in learning new concepts quickly and efficiently.
- Learned and adapted quickly to new technology and software applications.
- Demonstrated strong organizational and time management skills while managing multiple projects.
HRM & CEO’s Assistant
Hinacom Software and Technology, Ltd.
12.2008 - 11.2022
- Facilitated onboarding sessions and on-the-job training for new hires bolstering position knowledge and skillset.
- Streamlined HR processes for increased efficiency, reducing paperwork and manual tasks through automation.
- Distributed employee engagement surveys to identify areas of improvement.
- Enhanced team workflows and employee job satisfaction by coordinating communication between managers and employees.
- Conducted thorough internal investigations, addressing employee concerns with fairness and transparency.
- Maintained company compliance with local, state, and federal laws, in addition to established organizational standards.
- Collaborated with executive leadership to align HR initiatives with overall business goals and objectives.
- Maintained accurate HR records in compliance with applicable laws, ensuring efficient data retrieval when required.
- Worked with managers to achieve compliance with organizational policies, providing clarifying information and recommending necessary changes.
- Recruited top talent to maximize profitability.
- Facilitated onboarding sessions and on-the-job training for new hires, bolstering employee job position knowledge and skillset.
- Motivated employees through special events, incentive programs, and constructive feedback.
- Maintained payroll and benefits for employees in various locations and diminished financial discrepancies through expert program management.
- Organized and led staff orientation programs and training to promote collaboration.
- Provided expert guidance on labor laws and regulations, mitigating legal risks for the organization.
- Implemented performance reviews and motivational strategies to elevate HR team results.
- Used technologically relevant digital systems to manage payroll and benefits programs.
- Coordinated company-wide training programs to enhance workforce skills and promote professional growth.
- Optimized payroll processing procedures for accuracy and timeliness using advanced software solutions.
- Evaluated employee onboarding programs and presented strategic improvement recommendations to upper management.
- Developed comprehensive onboarding programs to facilitate smooth integration of new employees into the organization.
- Regularly analyzed workforce trends to proactively address potential skill gaps or staffing needs.
- Developed comprehensive process for new hires and reviewed new hire productivity, optimizing onboarding effectiveness.
- Updated training processes by reviewing existing documentation, leveraging feedback from associates and working with legal and compliance teams.
- Facilitated successful policy implementation and enforcement to maintain legal and operational compliance.
- Collaborated with legal and compliance teams to review paperwork, obtain feedback, and procure available information for new training processes.
- Structured compensation and benefits according to market conditions and budget demands.
- Devised hiring and recruitment policies for [Number]-employee company.
- Maintained current knowledge of industry regulations and legislation to amend policies and promote compliance.
- Conducted comprehensive HR audits to ensure compliance with labor laws and regulations, mitigating risk of legal issues.
- Enhanced team collaboration and efficiency by introducing innovative communication tools and team-building activities.
- Supported business growth by aligning HR strategies with corporate objectives, fostering adaptable and high-performing workforce.
- Facilitated successful organizational restructuring, ensuring smooth transitions and minimal disruption to operations.
- Led HR team in supporting company expansion efforts, ensuring seamless integration of new employees and preserving company culture.
- Conducted salary and market benchmarking analyses to ensure competitive compensation and attract top talent.
- Increased employee satisfaction and engagement through creation and execution of targeted wellness and recognition programs.
- Worked effectively in fast-paced environments.
- Self-motivated, with a strong sense of personal responsibility.
- Skilled at working independently and collaboratively in a team environment.
- Proven ability to learn quickly and adapt to new situations.
- Excellent communication skills, both verbal and written.
- Worked well in a team setting, providing support and guidance.
- Demonstrated respect, friendliness and willingness to help wherever needed.
- Assisted with day-to-day operations, working efficiently and productively with all team members.
- Passionate about learning and committed to continual improvement.
- Managed time efficiently in order to complete all tasks within deadlines.
- Worked flexible hours across night, weekend, and holiday shifts.
- Organized and detail-oriented with a strong work ethic.
- Paid attention to detail while completing assignments.
- Used critical thinking to break down problems, evaluate solutions and make decisions.
- Strengthened communication skills through regular interactions with others.
- Adaptable and proficient in learning new concepts quickly and efficiently.
- Learned and adapted quickly to new technology and software applications.
- Proved successful working within tight deadlines and a fast-paced environment.
- Developed and maintained courteous and effective working relationships.
- Demonstrated strong organizational and time management skills while managing multiple projects.
- Processed travel expenses and reimbursements for executive team and senior management group.
- Organized and coordinated conferences and monthly meetings.
- Managed executive calendars, scheduling meetings and appointments and coordinating travel arrangements to optimize time.
- Supported business and hospitality needs of corporate partners and staff during meetings and company events.
- Handled confidential and sensitive information with discretion and tact.
- Greeted arriving visitors, determined nature and purpose of visit and directed individuals to appropriate destinations.
- Filed paperwork and organized computer-based information.
- Worked with senior management to initiate new projects and assist in various processes.
- Maintained confidentiality with sensitive documents, ensuring proper storage and distribution as needed.
- Served as a liaison between departments to facilitate effective communication throughout the company.
- Updated and maintained confidential databases and records.
- Provided professional administrative support during board meetings, including agenda preparation and minute-taking duties.
- Created and managed office systems to efficiently deal with documentation.
- Used advanced software to prepare documents, reports, and presentations.
- Handled payroll processing tasks accurately while maintaining strict adherence to deadlines for timely payments.
- Contributed to budget management by tracking expenditures and identifying cost-saving opportunities.
Commercial Attaches, Operation Assistant
ECS Technology (China), Ltd.
09.2007 - 12.2008
- Greeted guests in with friendliness and professionalism.
- Worked closely with management to provide effective assistance for specific aspects of business operations.
- Safeguarded sensitive information through proper documentation handling, data entry, and record maintenance procedures.
- Increased efficiency by implementing new processes and providing administrative support to management.
- Strengthened client relationships through consistent follow-up communication and efficient problem resolution.
- Collaborated effectively with cross-functional teams to achieve shared goals in a timely manner.
- Assisted managers in decision-making processes based on thorough research and analysis of available data.
- Boosted customer satisfaction by promptly addressing inquiries and resolving issues professionally.
- Assisted clients with daily living needs to maintain self-esteem and general wellness.
- Increased customer service success rates by quickly resolving issues.
- Followed detailed directions from management to complete daily paperwork and computer data entry.
- Completed daily logs for management review.
- Drafted common document templates to reduce time spent creating documents from scratch.
- Improved data management by creating comprehensive databases for easier access to critical information.
- Increased customer satisfaction by providing exceptional administrative support and resolving issues efficiently.
- Self-motivated, with a strong sense of personal responsibility.
- Worked effectively in fast-paced environments.
- Skilled at working independently and collaboratively in a team environment.
- Proven ability to learn quickly and adapt to new situations.
- Excellent communication skills, both verbal and written.
- Demonstrated respect, friendliness and willingness to help wherever needed.
- Assisted with day-to-day operations, working efficiently and productively with all team members.
- Passionate about learning and committed to continual improvement.
- Organized and detail-oriented with a strong work ethic.
- Paid attention to detail while completing assignments.
- Learned and adapted quickly to new technology and software applications.
Education
Master of Arts - Business Management
University of Auckland
Auckland, NZ09-2024
Skills
- Anti-Money Laundering
- KYC
- Regulatory understanding
- Activity monitoring
- Risk Identification
- Due diligence
- Critical Thinking
- Investigation tactics
- Continuous Improvement
- Quality Control
Additional Information
Language ability;
Mandarin (native speaker)
Cantonese (learning)
Japanese (basic reading, level-intermediate)
Preparing for CAMS, CFA.
Languages
Chinese (Mandarin)
Native or Bilingual
Chinese (Cantonese)
Elementary
Japanese
Elementary
Timeline
AML/CFT Compliance Analyst
Tiger Brokers (NZ) Limited
04.2024 - 07.2024
AML/CFT & Operation
Snowball X
03.2023 - 02.2024
HRM & CEO’s Assistant
Hinacom Software and Technology, Ltd.
12.2008 - 11.2022
Commercial Attaches, Operation Assistant
ECS Technology (China), Ltd.
09.2007 - 12.2008
Master of Arts - Business Management
University of Auckland
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