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 | 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.

許朧方女士擁有逾27年銀行從業經驗。她於2016年加入公認反洗錢師協會(ACAMS),為協會的北亞區反洗錢合規策略總監,主要負責反洗錢和反恐融資活動相關議題的培訓及知識共用策略的制定和執行,尤其是對以華語為主要語言的大中華區。此前,她曾任職於花旗銀行(台灣),主管安全和調查服務部門。許女士在防範金融犯罪和風險管理領域擁有尤為豐富的從業經驗,曾連續5年負責為一家全球領先的顧問公司提供金融犯罪和風險管理解決方案。她擅長金融犯罪管理和調查。許女士在銀行任職期間曾擔任多種職位,從基層客服、銷售,到總部運營中心和風險管理。她的成就包括:輔導中國多家第一級銀行建立反洗錢和反欺詐管理機制、為中國四大行之一設計反洗錢及合規體系,為四大行之一設計規劃全面風險管理體系,以及帶領團隊為一家中國超大型銀行打造銀行集中運營管理機制及流程。


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.

李小杰女士是安永(中国)企业咨询有限公司金融服务部总监,具备对大型商业及政策性银行、全球性外资银行中国区分支机构、中外资保险公司、多类基金管理机构的反洗钱咨询、评估、整改协助等项目经验。

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。

在加入安永之前,李小杰女士曾供职于某大型国有银行总行及某大型互联网金融服务集团,担任反洗钱部门负责人,负责集团总部反洗钱及境内外分支机构的反洗钱管理。任职期间,完善了两大机构的全球反洗钱管理整体架构,建设了机构的反洗钱团队,重建了反洗钱监测分析系统,在率先承担监管机构“金融机构大额和可疑交易报告综合试点”的工作中,为监管制度改革提供了实践经验。

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.

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 。