Satabusaya Koomsem
Auckland,New Zealand
Summary
Dedicated Anti-Money Laundering Quality Assurance Associate with over five years of experience in the financial services industry. Proficient in applying rigorous risk-based methodologies to ensure compliance with regulatory standards, while enhancing the efficiency and effectiveness of AML processes. Recognised for attention to detail, analytical thinking, and a commitment to upholding the highest standards of integrity. Adept at balancing risk mitigation with business needs, ensuring a seamless client experience without compromising compliance objectives.
Overview
7
7
years of professional experience
Work History
AML-CFT Compliance Quality Assurance Associate
Milford Asset Management
08.2022 - Current
- Supported continuous improvement efforts by actively participating in process reviews and suggesting data-driven recommendations for enhancement.
- Generated quality control reports for returned applications to identify and communicate patterns.
- Assessed quality of new client onboard and existing client remediation with careful inspections.
- Communicated effectively with various stakeholders to address any discrepancies found during incoming material inspections, fostering strong working relationships and better compliance management.
- Supported audit preparation through research, analysis and presentation development.
- Collaborated with managers to write procedures for frontline departments.
- Developed corrective action plans to improve overall quality compliance procedure.
- Participated in cross-functional meetings to ensure alignment between quality assurance objectives and overall company goals, fostering a collaborative working environment.
- Assisted in the development of training materials, boosting employee understanding of quality standards and expectations.
- Utilised a risk-based approach to provide exceptions, effectively balancing risk mitigation with the delivery of an optimal client experience.
Investor Services Associate
Milford Asset Management
04.2021 - 07.2022
- Processing client application transaction requests and sending to the Milford Onboarding Team for review
- Processing client change requests/updating details, etc and sending to Milford's registry provider for processing
- Then communicating with the client the completion of these requests
- Actively participating in various team or individual projects that need to be undertaken, including various data cleansing projects relating to client details in our CRM and registry provider's systems.
- Assisted in the development and implementation of new systems that increased productivity and reduced errors in transaction processing.
- Achieved high levels of accuracy in processing transactions by adhering to stringent compliance guidelines.
Senior Client Relationship Manager
Generate Investment Holding Limited
09.2019 - 03.2021
- Customer Relationship Support; Answering inbound calls, live web chat and email queries in relation to existing KiwiSaver and Investment Funds account.
- Managing & processing of new applications - KiwiSaver withdrawals (first home, retirement, financial hardship etc).
- Understanding of compliance codes such as AML/CFT and keeping up to date with new developments.
- Implemented innovative strategies for improving communication between team members, enhancing overall efficiency.
- Spearheaded initiatives designed to streamline processes and enhance productivity within the department.
- Mentored junior team members, guiding their career progression while also benefiting from their fresh perspectives on client management techniques.
Banking Assistant
KiwiBank Limited
04.2017 - 08.2019
- Informing customers about account types and banking products, such as investments, insurance, lending, loans and credit cards
- Checking on the status of customer accounts and tracking checks and payments.
Database Administrator
K Road Business Association
03.2017 - 03.2018
- Building database systems of high quality tailored to end users
- Designing and implementing databases in accordance to end users information needs and views
- Defining users and enabling data distribution to the right user, in an appropriate format and in a timely manner.
Education
Anti-Money Laundering
Certified Anti-Money Laundering Specialist
Auckland07.2024
New Zealand Certificate in Financial Services (Level 5), Core and Investment Strand -
Strategi Institute
Auckland, New Zealand06.2020
Master of Arts -
University of Auckland
Auckland, New Zealand11.2019
Bachelor of Commerce (Accounting and Finance) -
University of Otago
Auckland, New Zealand11.2016
Skills
- Regulatory Compliance
- Risk Management
- Quality Assurance
- Problem-Solving
- Teamwork and Collaboration
- Time Management
- Data Analysis
Languages
Thai
English
References
References available upon request
Extracurricular Activities
Fundraising Committee, Milford Foundation, Auckland, New Zealand, 12/01/21, Present Social Committee, Milford Asset Management, Auckland, New Zealand, 05/01/21, Present
Hobbies and Interests
* Fitness
* Guitar
* Making the best Satay Chicken
Timeline
AML-CFT Compliance Quality Assurance Associate
Milford Asset Management
08.2022 - Current
Investor Services Associate
Milford Asset Management
04.2021 - 07.2022
Senior Client Relationship Manager
Generate Investment Holding Limited
09.2019 - 03.2021
Banking Assistant
KiwiBank Limited
04.2017 - 08.2019
Database Administrator
K Road Business Association
03.2017 - 03.2018
Anti-Money Laundering
Certified Anti-Money Laundering Specialist
New Zealand Certificate in Financial Services (Level 5), Core and Investment Strand -
Strategi Institute
Master of Arts -
University of Auckland
Bachelor of Commerce (Accounting and Finance) -
University of Otago
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