Managing the AML Risk for Correspondent Banking (in Mandarin)
代理银行反洗钱风险管理 (以普通话进行)

  • When:
    12 May 2017
    日期:
    2017年5月12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

Correspondent banking is a vital link in global finance. However, correspondent relationships can pose unique oversight challenges, most notably reliance on third parties to identify beneficial owners and politically exposed persons. This webinar outlines common challenges and proposed solutions to the distinct compliance concerns related to correspondent banking, providing practical guidance on applying a risk-based approach to mitigate potential AML challenges, identify red flags and properly investigate and resolve potential problems.

代理银行在全球金融中是至关重要的一环。然而,代理往来关系却可能构成独特的监管挑战,最明显的是依赖第三方来确认实质受益所有权人和政治公众人物。此次网络研讨会将探讨代理银行的共同挑战和涉及不同法规遵循要求的考虑,应用基于风险的办法,以减轻潜在的反洗钱挑战、辩识危险信号、适当调查和解决潜在问题提供实务指引。

Learning objectives include 学习目标:

  • Regulations update for Correspondent banking
    代理银行业务相关的法规更新
  • Adapting CDD/KYC policies to address unique risks of correspondent banking such as nested accounts
    调整客户尽职调查/了解您的客户政策,以适合代理银行独特的风险,如嵌套账户
  • Examining branches, subsidiaries and affiliates of correspondent clients to gauge AML adequacy
    检验代理客户分支机构,以验证其反洗钱制度的适当性
  • Creating strategic profiles of respondent banks to identify and investigate aberrant transactions
    创建受托银行的重要目标档案,以识别和调查异常交易

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


Speaker(s) 讲师

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

  • AML Director – North Asia | 反洗钱合规总监
  • 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 recently joined ACAMS as a subject-matter expert, with the primary responsibility to develop and execute 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 experience includes 5 years responsible providing Financial Crime and Operational Risk Management solution for a leading Consulting firm with particular expertise in AML and Operational Risk Management. Her expertise is focus on financial crime management and investigation. Various roles progressing from being a front line operator, sales to senior manager of headquarter operation center with further progression onto risk manager. Some of accomplishments include: 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; leading team to develop the banking operation management capability for one of the largest banks in China.

Joyce拥有逾20年银行从业经验。去年她加入公认反洗钱师协会 (ACAMS),为协会的反洗钱合规总监,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。 Joyce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。 Joyce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。


Margaret Zhu
  • Bai Ye ZHU, Margaret | 朱百叶

  • Senior Compliance Manager, Financial Crime Compliance | 高级合规经理,金融罪行合规部
  • HSBC Bank (China) | 汇丰银行(中国)有限公司

Bio | 简介

Ms. Zhu has more than 10 years of experience in regulatory compliance and financial crime compliance, with a demonstrable track record in leading compliance team and managing compliance risks across multiple business lines. Ms. Zhu currently works as Senior Compliance Manager in Financial Crime Compliance at HSBC Bank (China) Company Limited, focusing on compliance risk management in Anti-Money Laundering, Counter-terrorist Financing, Sanctions and Tax Evasion. She previously worked for Societe Generale (China) Limited as Country Anti-Money Laundering Officer.

Ms. Zhu obtained Bachelor Degree of Law from Tongji University in China and Master Degree of International Commercial Law from University of Nottingham in the United Kingdom. She got International Compliance Association Certificate in Anti-Money Laundering and Sanctions Compliance with distinction. In 2011, she was awarded the honorable distinction by People’s Bank of China, Shanghai Headquarter.

朱女士拥有超过十年的监管合规和金融罪行合规的从业经验,特别是领导合规团队以及管理覆盖多业务条线的合规风险。朱女士目前在汇丰银行(中国)有限公司金融罪行合规部担任高级合规经理,对反洗钱,反恐融资,国际制裁以及逃税等金融犯罪风险管控方面的合规工作有着深入的了解和丰富的经验。她也曾担任法国兴业银行(中国)有限公司的反洗钱合规官。 朱女士在同济大学获得法学学士学位并于英国诺丁汉大学获得国际商法硕士学位。曾获国际合规协会反洗钱与制裁合规资格。2011 年被中国人民银行上海总部授予反洗钱“先进个人”。


Serena Zhu
  • Serena Zhu (CAMS) | 朱静燕 (CAMS)

  • Regional Risk Officer, Global Financial Institutions | 金融机构部大中华区风险管理主管
  • Wells Fargo Bank | 美国富国银行

Bio | 简介

Ms. Serena Zhu works in GFI Regional Risk & Underwriting Group of Wells Fargo Bank. Currently, Ms. Zhu is the Regional Risk Officer that covers the AML/BSA risk management of Financial Institution customers in Greater China region. Ms. Zhu joined Wells Fargo in 2013 as the Risk Management Consultant for Hong Kong and Mainland China markets. Prior to Wells Fargo, Ms. Zhu worked on several AML and regulatory compliance roles covering various jurisdictions in Asia, South America, Middle East and North Europe in different financial institutions. Ms. Zhu is a Certified Anti-Money Laundering Specialist (CAMS).

朱静燕女士是国际注册反洗钱师。朱女士现任职于美国富国银行有限公司,担任富国银行金融机构部大中华区风险管理主管,负责大中华区金融机构部业务的金融犯罪风险管理。朱女士有将近10年的金融犯罪风险管理经验。 在2013年任职于富国银行之前,朱女士曾在不同的金融机构和公司,从事各种与反洗钱管理及法律合规相关的工作,职责范围覆盖亚洲、南美、中东和北欧等。