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
  • Time:
    10:00am – 11:00am (HKT)
    10:00am – 11:00am (香港时间)
  • Level:

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.


Learning objectives include 学习目标:

  • Gaining senior management backing to establish a culture of compliance as an institutional priority
  • 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

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Moderator 主持人

  • Joyce Hsu, CAMS-FCI | 許朧方 (CAMS-FCI)

  • AML Director – North Asia | 北亞區反洗錢合規策略總監
  • ACAMS | 公認反洗錢師協會

Bio | 簡介

Ms. Hsu has over 27 years’ experience in the banking industry and joined ACAMS as a subject-matter expert last year, 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.


Speaker(s) 讲师

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

  • Director, Financial Services Risk | 金融服务部总监
  • Ernst & Young | 安永(中国)企业咨询有限公司

Bio | 简介

Ms. LI Xiaojieis Director in Financial Services Risk Management of Ernst & Young. She has experience in anti-money laundering consulting, evaluation and rectification assistance for large commercial and policy banks, China Branch of global foreign banks, Chinese and foreign insurance companies, and various fund management institutions.

Ms. Li has extensive experience in Anti-money laundering and counter -terrorist financing risk management that relate to banking, financing and electronic payment, she is well-known AML/CTF experts, compliance management experts in china. 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.

Prior to joining EY, Ms. Li has been the Senior Director of a financial services group leading AML Center supporting risk control for a big technology company’s national and international business, responsible for set up AML framework aligned with business growth. And Ms. LI has been the head of Anti-Money Laundering Division of one of top global banks managing AML compliance control, establish risk management strategy and risk appetite, build suspicious monitoring mechanism and system platform, supervise AML training, inspection and performance assessment. as the first pilot unit. As the first pilot unit, led the program to complete the comprehensive reforms work of Anti-money laundering of PBOC.

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 Advanced AML Audit Certification, CAMS, CDCS (Certified Documentary Credit Specialist) and CPA Australia.


李小杰女士具备丰富的银行、支付等金融机构的反洗钱、反恐怖主义融资方面的从业和管理工作经验,身为业界知名的反洗钱/反恐怖主义融资专家,目前为中国人民银行郑州培训学院客座教授、复旦大学 中国反洗钱研究中心特聘研究员。


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)。 曾获国际公认高级反洗钱审计师(Advanced AML Audit Certification )、国际公认反洗钱师(Certified Anti-Money Laundering Specialist®, CAMS)、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.


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 。