JERRY YANG

Daily PTR (Prescribed Transaction Reporting) reviews and submissions to FIU.

Rule 151 clearance (Name screening alerts to be assessed and cleared, daily.)

External requests for information (RFI) responses to NZ Police, SFO, IRD and other regulators.

Daily reviews within the Compliance Team on CDD and OCDD's completed by Line 1.

Daily payment releases as flagged in GMPS.

Responsible for e-learning allocations (new starters across the business) and e-learning roll outs by

Compliance Department plus follow-ups.

Advice for frontline walk in's relating to CDD and OCDD's.

Exception Handling Reports for CDD and OCDD’s. (Maintenance and follow-ups on exceptions.)

Maintaining the Wolfsberg Correspondent Bank Responses and Wolfsberg questionnaires.

Quality Assurance reviews as allocated by the AML Officer and Compliance Office (first line or second level reviews).

Accurately maintain the customer OCDD list and CDD for new customers (“Blue table”).

Preparing the monthly AML/CFT dashboard.

Additional ad hoc tasks as allocated by AML Officer and Compliance Officer.

System administration for Infolog, WorldCheck and HO system assurance.

All customer onboarding processes (CDD and ECDD).

Transaction monitoring (TMS) case reviews, rule reviews and system reviews.

Suspicious Activity Reports (SAR’s and STR’s) to FIU.

Additional ad hoc tasks as allocated by AML Officer and Compliance Officer (for example Head Office

reporting, regulatory reporting or compliance relevant tasks as required.)