Create a Strong Institutional Culture of Compliance (in Mandarin)
建立有效的合规文化 (以普通话进行)

  • When:
    15 December 2017
    日期:
    2017年12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

As AML experts have long observed, compliance at any financial organization is everyone’s responsibility. An effective method of reaching that achievement is creating a strong institutional culture of compliance – with support of everyone from senior management to front-line workers. In this webinar, experts detail the fundamental building blocks of a culture of compliance, and provide practical strategies for creating, implementing and maintaining that culture.

如同反洗钱专家长期以来所观察到的,任何金融机构的法规遵循是每个人的责任,而实现这一成就的有效方法,就是建立一个由高阶主管至前线员工均全面支持并强而有力的合规制度文化。在本次的网络研讨会中,专家将藉实际经验来介绍合规文化的基本组成部分,并为创建、实施和维护这种文化提供切实可行的策略。

Learning objectives include 学习目标:

  • Gaining senior management backing to establish a culture of compliance as an institutional priority
    将取得高级管理层支持并建立合规文化作为机构的优先处理事项
  • Integrating compliance culture concepts into risk assessment models to measure whether operational changes are needed
    将合规文化概念纳入风险评估模型, 以衡量是否需要进行操作更改
  • Incentivizing ethical behavior by measuring it in performance reviews
    由上而下在绩效评价中鼓励道德行为

Please complete the form in English.
注:以下表格请以英文填写


Moderator 主持人

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

Bio | 简介

Ms. Joyce 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.

姐许胧方小姐拥有逾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。


Speaker(s) 讲师

LI Xiaojie
  • LI Xiaojie, CAMS-Audit | 李小杰 (CAMS-Audit)

  • Director of AML Center | 反洗钱中心总监
  • Ant Financial Services Group | 蚂蚁金融服务集团

Bio | 简介

Ms. LI Xiaojie is the Director of Anti-money laundering Center of Ant Financial Services Group (“Ant Financial”). Ant Financial runs Alipay, Ant Fortune, Ant Financial Cloud and other financial services. Ant Financial’s invested companies and affiliates also work with these businesses units and support Ant Financial’s ecosystem. The services provided by Ant Financial and its affiliates cover payment, wealth management, credit reporting, private bank and cloud computing.

Ms. Li has more than 13 years’ experience in anti-money laundry risk management that relate to banking, financing and electronic payment. Previously, she was a Manager with Export Credit Division, Head of Anti-Money Laundry Division of ICBC Head Office. Ms. Li is appointed as a visiting professor at the People’s Bank of China, Zhengzhou Training Institute and the researcher of China Centre for Anti-Money Laundering Studies FuDan University.

Ms. Li was graduated with bachelor of engineering degrees from Wuhan University of Technology, Master degree of professional accounting and Master degree of finance in the UNSW Australia. In addition, she got CDCS (Certified Documentary Credit Specialist) and CPA Australia.

李小杰女士供职于蚂蚁金融服务集团反洗钱中心。蚂蚁金服团旗下及相关业务包括生活服务平台支付宝、智慧理财平台蚂蚁聚宝、云计算服务平台蚂蚁金融云、独立第三方信用评价体系芝麻信用以及网商银行等。另外,蚂蚁金服也与投资控股的公司及关联公司一起,在业务和服务层面通力合作,深度整合共推商业生态系统的繁荣。

李小杰女士具备超过13年的丰富的银行、支付等金融从业经验和反洗钱管理及工作经验,曾任中国工商银行总行营业部外汇资金运营及出口信贷业务处、总行内控合规部反洗钱处处长,负责中国工商银行全行反洗钱管理工作。目前为

李小杰女士在武汉理工大学获得工学学士学位,并于澳大利亚新南威尔士大学获得商学硕士学位(国际会计专业、金融专业)。曾获跟单信用证专家(CDCS) 、澳大利亚注册会计师(CPA Australia) 资格。


Anna Tsai
  • Anna Tsai, CAMS | 蔡佳玲 (CAMS)

  • Former Head of Legal and Compliance | 前法律及合规部主管
  • CTBC Bank | 中国信托商业银行

Bio | 简介

Ms. Anna Tsai is a lawyer dually qualified in Hong Kong and Taiwan. She has been working with financial institutions in Hong Kong and Taiwan for the past decade. She was the Head of Legal and Compliance Department of CTBC Bank Hong Kong Branch before starting her own freelance consultancy service in October 2016. Prior to joining the financial industry, she was a public prosecutor in Taipei, Taiwan, and prosecuted several high-profile financial crime cases.

Ms. Tsai obtained LL.B. from National Taiwan University and LL.M. from Georgetown University Law Center in Washington, D.C., where she specialized in Financial and Securities Regulations.


Jesse Huang
  • Jesse Huang | 黄介仕

  • Consultant | 顾问
  • TransGlobe | 全球人寿

Bio | 简介

Mr. Hwang is currently a consultant working for TransGlobe Life Insurance Inc. He is responsible for providing consultant advice to improve and uplift TransGlobe Life Insurance Inc. anti-money laundering and Compliance function.

He joined Citigroup affiliate ( TIFT ) in 1989 as internal auditor and served as branch operation Head in Citibank Sung Chiang branch in 1994, transferred to Quality department in 1999. He rejoined Citibank as Consumer banking AMLCO in 2000 and promoted as Consumer banking Compliance Head in 2002 to oversight the overall compliance and AML activities, in 2008 further expanded his coverage to all Citigroup Taiwan Compliance and AML activities.

Mr. Hwang graduated from National Chengchi University, Taiwan.

黄介仕,现任全球人寿保险股份有限公司顾问室之顾问,协助提升全球人寿反洗钱、法令遵循等作业之内控水平并给予改善建议,落实改善计划。

1989年加入花旗集团关系企业(第一信托)担任稽核,1994担任花旗银行松江分行作业主管,1998转任总行质量管理部,2000年重新加入花旗银行开展银行业反洗钱主管生涯,2002年升任花旗银行(台湾)分行消费金融法遵长,负责督导消费金融法令遵循工作。2008年升任花旗银行(台湾)分行法遵长总监,负责综理花旗集团台湾地区所有关系企业之法令遵循以及反洗钱作业。黄先生毕业于台湾政治大学 。