Embrys Peik Fong Yong
Compliance Administration Officer
Semenyih - Selangor
Summary
Detail-oriented Compliance Professional dedicated to improving and maximizing company compliance with applicable laws and standards. Knowledgeable about internal controls, process evaluations, and procedural reviews. Bringing 3 years of experience in the financial and legal industry.
Overview
6
6
years of professional experience
5
5
years of post-secondary education
3
3
Languages
Work History
Business Client Assurance, Compliance Officer
Equity Trustees
07.2022 - 12.2023
- Served as the first line of defence in identifying operational risks within the daily activities of the business, and implementing corrective and preventive measures to address incidents and complaints, mitigating compliance violations that could impact the company's reputation, legal risks, financial risks, cybersecurity risks, ESG risks, business license (Australian Financial Services License), and client retention.
- Assisted the Senior Manager in the upkeep of Risk Management and Compliance Frameworks, and Risk Register as and when necessary for Trustee & Wealth Services (TWS), presented to the Executive General Manager and General Managers of other business units.
- Assisted Senior Manager in reviewing, implementing and maintaining effective Financial Discretionary Authority Limits to ensure appropriate authority is granted in alignment with business needs.
- Prepared and presented financial performance reports and analysis, and the committee papers to the Incidents and Complaints Committee (ICC), the Investment Committee (IC), the Obligation and Discretion Committee (ODC), and the Aged Deceased Estate Committee (ADEC) on a biweekly and monthly cadence. Facilitated these meetings with key stakeholders including the Executive General Manager of TWS, General Managers, National Managers, and Senior Managers from all other business units. Reports are communicated to the broader business and reported to the board.
- Implemented enhancement initiatives and established protocols for compliance, creating and overseeing processes to address and monitor potential deficiencies in both new and existing practices.
- Conducted risk assessment on Operations, Financial Advice, Philanthropy, Trusts and Estate Planning business units to identify indications of flawed internal processes and practices that facilitated incidents and complaints, posing a threat of compliance violations.
- Subject matter experts to all matters related to incidents and complaints (internal dispute resolution) inquiries.
- Effectively mitigated incidents and complaints, leading to an 80% reduction in financial losses over 1.5 years.
- Foster a culture of ethics, integrity, and heightened awareness of compliance throughout Trustee & Wealth Services (TWS). This includes identifying training requirements, delivering employee training through knowledge-sharing sessions, and updating resources on the intranet.
- Maintained up-to-date knowledge of applicable laws and regulations.
- Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations.
- Assisted Enterprise Risk team in preparing the business continuity plan for operation recovery and resolution.
- Implemented and established continuous professional development (CPD) strategies and plans through collaboration with Kaplan, for responsible managers, RG146 accredited employees, and private client advisers, following the regulatory guide from the Australian Securities & Investments Commission (ASIC) and the Code of Ethics outlined by the Financial Adviser Standards and Ethics Authority (FASEA) throughout a comprehensive merger and acquisition project. This ensures the preservation of employees' accreditation on both sides of the business within their respective licenses in the financial industry.
- Work closely with the business information technology team during the transition of business platforms to enhance automation possibilities.
Risk & Compliance Incident Management
Ashurst LLP
08.2021 - 07.2022
- Delivered comprehensive client matter lifecycle assistance, encompassing the resolution of new business intake submissions, conflict resolutions, and risk updates. Providing essential support to ensure compliance with Anti-Money Laundering (AML) requirements, managing access restrictions, and facilitating adherence to client terms and agreements.
- Served as an escalation point for complex or unresolved issues, applying expertise in problem-solving techniques to achieve successful outcomes.
- Trained new team members on incident management procedures, ensuring consistent application of best practices across the organization.
- Proficiently prioritized and managed over 500 emails daily with various urgencies, in addition to handling calls and system requests (New Business Intake, Walls, Sanctions Portal, Data Loss Prevention) for the compliance team mailbox. Facilitating seamless coordination among Risk & Compliance, Office of General Counsel, Business Development, IT, and Finance departments as required.
- Oversaw risk management processes and uphold compliance with pertinent regulations and legislation.
- Demonstrated practical experience with Elite 3e by coordinating billing procedures in collaboration with the Risk Assessment and Business Protection (RABP) and Finance teams.
- Prepared comprehensive reports and analyses for the wider business.
Corporate Executive Receptionist
ANZ Bank - First Contact
01.2020 - 06.2021
- Boosted team productivity by streamlining project management processes and implementing time-saving strategies.
- Forged lasting relationships with key stakeholders including the C-suite executives, investors, media representatives, and community leaders to maintain a positive brand reputation.
- Initiated proactive coordination and prioritization of complex meeting arrangements, including scheduling facilities and conference and meeting rooms for high-level meetings and conferences.
- Exhibits a robust ability to efficiently manage time and prioritize tasks, adeptly handling a substantial influx of emails and phone calls directed to ANZ Centre Workplace Locker, ANZ Centre Reception, and ANZ Centre Reservation.
- Planned, created, tested and deployed standardized operational procedures and policies for locker and end-of-trip facilities at the ANZ bank headquarters, resulting in enhanced productivity across approximately 8000 lockers.
- Collaborated closely with building management to effectively coordinate events involving external vendors and the public relations team.
Front Office Concierge - Team Leader
Pullman Melbourne on The Park Hotel
05.2018 - 11.2019
- Managed guest billing throughout their stay, including any additional expenses accrued from external services booked through the hotel.
- Ensured timely completion of tasks by closely monitoring staff performance and offering guidance when needed.
- Managed scheduling and coverage needs effectively while adhering to budgetary constraints, optimizing resources without sacrificing quality service delivery.
- Increased efficiency within the concierge department by implementing new organizational systems for managing guest requests.
- Established a strong rapport with returning guests, resulting in repeat business and positive word-of-mouth referrals.
- Mentored new team members on company policies and procedures, resulting in faster integration into the team.
- Proactively identified potential issues before they escalated by consistently monitoring guest feedback and addressing concerns promptly.
- Maintained an up-to-date knowledge of local attractions and events, ensuring accurate information was provided to guests at all times.
- Collaborated with other departments to ensure seamless coordination of guest services across all areas of the hotel property.
- Resolved guest complaints professionally and efficiently, maintaining a high level of customer satisfaction throughout their stay.
- Conducted regular team meetings to review performance metrics, identify areas for improvement, and celebrate successes together.
- Coordinated special events for guests, delivering memorable experiences that exceeded expectations.
- Worked closely with guests, some VIPs, or celebrities, with a high degree of respect for privacy.
- Remedied issues quickly and effectively through active listening, conflict resolution, and dynamic communication skills.
- Facilitated guest check-in and check-out processes to reduce wait times and increase guest convenience.
Education
Master of Arts - International Tourism And Hotel Management
Southern Cross University, Australia
Melbourne, Victoria, Australia 04.2016 - 04.2018
BBA - International Business
Nilai University, Malaysia And Oxford Brookes University, UK
Nilai, Negeri Sembilan, Malaysia 04.2012 - 04.2015
Skills
Risk Assessment
Internal Controls
Legal Research
Regulatory knowledge
Enterprise Risks
Communication with Board of Directors
Operational Risk
Governance Compliance
Investigations skills
Trend Monitoring
Anti-Money Laundering
Sanctions compliance
Compliance Training
Records Management
Adaptability and Flexibility
Basic First Aid
Recognition And Certificate
- Highest Academic Achievement 2017 (Southern Cross University)
- CPR First-Aid Certified by Real Response
Timeline
Business Client Assurance, Compliance Officer
Equity Trustees
07.2022 - 12.2023
Risk & Compliance Incident Management
Ashurst LLP
08.2021 - 07.2022
Corporate Executive Receptionist
ANZ Bank - First Contact
01.2020 - 06.2021
Front Office Concierge - Team Leader
Pullman Melbourne on The Park Hotel
05.2018 - 11.2019
Master of Arts - International Tourism And Hotel Management
Southern Cross University, Australia
04.2016 - 04.2018
BBA - International Business
Nilai University, Malaysia And Oxford Brookes University, UK
04.2012 - 04.2015