Building an Effective Sanctions Program (in Mandarin)
建立一个有效的制裁方案 (以普通话进行)

  • When:
    15 September 2017
    日期:
    2017年9月15日
  • Time:
    10:00am – 11:00am (HKT)
    时间:
    10:00am – 11:00am (香港时间)
  • Level:
    All
    程度:
    适合所有人

The role and importance of sanctions controls cannot be underestimated. But how can you be sure your sanctions program is effective? The industry experts will share their insights and strategies to provide you on how to effectively build sanctions programs in the current regulatory environment.

制裁控制的作用和重要性不能低估。但你怎么能肯定你的制裁管理方案是有效的?本次研讨会将由业内专家分享他们的见解和策略,为您提供关于如何在目前的监管环境下有效地构建制裁管理方案。

Learning objectives include 学习目标:

  • Review of recent Regulatory and Industry Trends and their impact on sanctions programs
    最新监管和行业发展趋势及其对制裁方案的影响
  • Strengthening your sanctions program to maximize effectiveness
    强化您的制裁方案来发挥最大效益
  • Ensuring your compliance program effectively monitors your customers’ customers
    确保合规系统有效监控客户的客户
  • Building a sustainable sanctions program and handling of ongoing sanctions changes
    建立可持续的制裁方案和处理不断改变的制裁内容

Please complete the above form in English.
注:以上表格请以英文填写


Speaker(s) 讲师

Gwen Chen
  • Gwen Chen, CAMS | 陈珪娟, CAMS

  • APAC Regional Global Sanctions Manager | 副总裁暨亚太区全球制裁风险管理主管
  • Wells Fargo Bank | 富国银行

Bio | 简介

Ms. Chen is currently Vice President, APAC Regional Global Sanctions Manager for Wells Fargo Bank Global Sanctions Screening and Reporting Group (GSSRG). She is responsible for managing sanctions risk across the Bank and implementing Wells Fargo’s global sanctions screening compliance program.

Ms. Chen was a former banking regulator supervising foreign banks in Taiwan. She started her banking compliance/MLRO career in 2001 with the Bank of New York Taipei and then expanded her compliance coverage to Shanghai Branch and Beijing Rep. Office in 2003. She joined Wells Fargo Bank in April, 2006 as a Branch Compliance Officer and local AML Compliance Officer. In 2008, she was assigned the responsibilities as Asia Regional GFITS Compliance Manager supporting compliance function in 5 Asian branches and in 2010 was assigned as Asia Regional Compliance Manager covering Asia Banking Business compliance function. In August 2011, she transferred to GSSRG to establish a new dedicated sanction screening team in Asia.

Ms. Chen graduated from National Taiwan University and holds a MBA degree from University of Illinois- Champaign, USA.

现任富国银行全球制裁筛查及报告部门的亚太区主管,负责管理全球制裁风险,并执行富国银行全球制裁法令遵循制度。曾任职于台湾的银行局,负责监管在台的外商银行。2001年加入纽约银行台北分行,开展银行业法令遵循主管及反洗钱主管生涯。2003年同时兼任纽约银行上海分行及北京代表处法令遵循工作。2006年4月加入富国银行担任台北分行法令遵循和反洗钱主管职务,于2008年升任为亚洲区银行业务法令遵循主管。2011年转任至隶属于总行金融犯罪风险管理部门的现任部门,同时协助建立全新的亚太区专责团队。毕业于台湾大学,并自美国伊利诺大学 – 香槟分校获得MBA学位。


Joyce-Hsu
  • Joyce Hsu, CAMS-FCI | 许胧方 (CAMS-FCI)

  • AML Director – North Asia | 反洗钱合规策略总监
  • ACAMS | 公认反洗钱师协会 (ACAMS)

Bio | 简介

Ms. Hsu has over 20 years’ experience in the banking industry and joined ACAMS as a subject-matter expert in 2017, with the primary responsibility of developing and executing a strategy in AML/CFT training and knowledge-sharing with a focus in the Mandarin Chinese language. Previously, she was in charge of security and investigation service for Citi Taiwan. Her previous experience includes 5 years being responsible for providing Financial Crime and Operational Risk Management solutions for a leading Consulting firm with a particular expertise in AML and Operational Risk Management. Her expertise is focused on financial crime management and investigation. Various roles included progressing from being a front line operator, sales to senior manager of a headquartered-operation center with further progression into a risk manager role. Some accomplishments included: building up Anti-Money Laundering, Anti-Fraud Management for tier one banks in China; designing and implementing ORM tools and systems for an entire bank; and leading a team to develop the banking operation management capability for one of the largest banks in China.

许小姐拥有逾20年银行从业经验。她于2017年加入公认反洗钱师协会 (ACAMS),为协会的反洗钱合规策略总监,主要负责反洗钱和反恐融资活动相关议题的培训及知识共享策略的制定和执行,尤其是对以华语为主要语言的大中华区。此前,她曾任职于花旗银行(台湾),主管安全和调查服务部门。许小姐在防范金融犯罪和风险管理领域拥有尤为丰富的从业经验,曾连续5年负责为一家全球领先的顾问公司提供金融犯罪和风险管理解决方案。她擅长金融犯罪管理和调查。许小姐在银行任职期间曾担任多种职位,从基层客服、销售,到总部运营中心和风险管理。她的成就包括:辅导中国多家第一级银行建立反洗钱和反欺诈管理机制、为中国四大行之一设计反洗钱及合规体系,为四大行之一设计规划全面风险管理体系,以及带领团队为一家中国超大型银行打造银行集中运营管理机制及流程。


Maggie Zhang
  • Maggie Zhang | 张帆

  • General Manager of Compliance Department | 合规部总经理
  • Bank of China (Macau) | 中国银行澳门分行

简介

自1999年起就职于中国银行,2010起两度担任总行法律合规部反洗钱团队主管,负责集团反洗钱及制裁合规政策、机制的建设运行,多次参加中美监管及私营部门反洗钱对话。同时有法律、内控、操作风险等管理经验。