Proxtap
Kermit Lee
Certified Private Banker
at
VSFG
Experienced Assistant General Manager with a demonstrated history of working in the banking industry. Skilled in Internal Audit, Compliance Training, Regulatory Analysis, Management, and Securities Regulation. Strong business development professional graduated from The London School of Economics and Political Science (LSE).
About Me
Professional
1
香港友邦資產管理區域 - 優秀新人
2
超過20年從事銀行業經驗
3
畢業於香港大學會計學
Interests
5
喜歡揹背包往世界各地旅行
6
喜歡領養小毛孩
More than 20 years of experience in the banking industry
Work Experience
Aug 2023 - Current
Aug 2021 - Jul 2023
Manager
VSFG
Certified Private Banker
Manager
AIA
Feb 2018 - Jun 2021
Jun 2017 - Feb 2018
Mar 2017 - Jun 2017
Aug 2014 - Mar 2017
Apr 2011 - Aug 2018
Certified Private Banker
Director of Transaction Monitoring and Sanctions Screening
Malayan Banking Berhan
Senior Manager of Transaction Monitoring
Bank of Communications Co.,Ltd.
Assistant General Manager - Assurance Team Head
China CITIC Bank International Limited
Job Purpose
· assurance checking on the AML Compliance Team, business and operations units.
Responsibilities
· Compliance assurance checking on the sanction name hit clearance, transaction monitoring, investigation, new account opening, periodic customer review and the policies & procedures.
· Provide report to Management on the checking result.
· Provide advice and training to business or operations units with regard to the compliance assurance checking report.
Assistant General Manager & AML Team Head
China CITIC Bank International Limited
Job Purpose
· Ensure compliance control in AML and CFT, FATCA and other financial crime.
Responsibilities
. Act as Deputy Money Laundering Reporting Officer
· Assist Head of AML to develop, monitor and review the systems to of transactions monitoring.
· Conduct financial crime investigation, e.g. ML/TF, terrorist financing, fraud, tax evasion, etc
· Develop and implement compliance surveillance framework including policies and procedures.
· Provide support to BUs / SUs in developing and reviewing of policies and procedures of them.
· Ensure adequate compliance controls on MIS report monitoring.
· Contact with the JFIU, law enforcement, and other authorities.
· Raise and maintain compliance awareness among staff by providing timely information, training.
· Manage a team and provide coaching and supervision to subordinates in their daily operations.
Head of Compliance, Hong Kong Branch
HDFC Bank
Responsible for the compliance of banking and regulated activities of the Hong Kong Branch which include:
* also act as AML Compliance Officer of the Branch
* develop the monitoring report and name screening system
* develop and review the policies and procedures
* set up the compliance monitoring system
* provide training
* advice the impact of new regulatory requirements to the management of the Branch
* participate in the task force for ad hoc issue, such as liquidity risk management, FATCA
* advice on the new product development
* apply the SFC license for regulated activities
* act as a contact point between the regulator and the Branch
* attend various internal meeting and prudential meeting with regulator
Achievement : To set up the policies and procedures and the monitoring systems of Hong Kong Branch
Service
Private banking
services
Immigration tax service
Asset financing
Asset inheritance/trust
Fund investment
