SIEW LI CHAN
SELANGOR
Summary
Knowledgeable compliance officer with more than 15 years of experience and have strong background working with regulators.
Overview
20
20
years of professional experience
Work History
Audit Risk Assessment and Compliance
Mazars Asia Pacific Services Sdn Bhd
09.2022 - Current
- Attend to compliance queries from internal and external stakeholders. The queries are related to a pre-defined requirement by the Singapore Accounting Board regulations as well as Forvis Mazars internal
policy in Anti Money Laundering. - Working independently in performing pre-client acceptance procedure, including progress monitoring
and status to the respective stakeholders. - Cooperating with multiple engagement team simultaneously to ensure they meet the AML, KYC and
relevant acceptance requirements during onboarding and completion of engagement. - Analyze the existing documentation and AML risk rating of clients with the firm, raise the necessary
documentation to refresh or update the client existing information in the firm and raise notice to the
engagement team to alert them of any further action required from them. - Liaise with client for the purpose of compliance with anti-money laundering screening requirements.
- Resolve any issues identified during AML assessment as the point of contact for the risk management
team and audit managers.
Compliance Officer
BLoyalty Sdn Bhd
05.2019 - 09.2022
- Involved in liaising with Bank Negara Malaysia on the licensing of the e-wallet operations (BI-Pay) and the subsequently ensure the compliance of STATSMART reporting.
- In charge of monitoring all statutory and regulatory development of e-money issuer business practive
and to evaluate their impact on the conduct of the business. - Provide training to staff and management as to comply with the requirement in the conduct of business and this include induction course and other focus group training in AML and PDPA.
- Conduct periodic compliance review and monitoring as per the Compliance SOP. Communicate
effectively with peers, front-line and management when requesting information or documentation and
addressing concerns or findings
Compliance Officer
JF Apex Securities Berhad
05.2005 - 03.2019
- Ensure the firm complied with the regulations of Malaysia Stock Exchange (Bursa Malaysia) and Securities Commission. As the liaison person with regulator and coordinator for periodic examination by regulators.
- Conducted periodic compliance audits and reviews to identify areas of improvement. This includes the creation of relevant compliance reviews and standard operating procedures.
- Kept Board of Director and companywide informed regarding pending industry changes, trends or best practices.
- Identified gaps in existing compliance processes and recommended updates to the senior management.
Education
Bachelor of Arts - Psychology
Wawasan Open University
Kuala Lumpur08-2024
Diploma in Business Administration -
Association of Business Executive
United Kingdom06-2001
Skills
- Compliance monitoring and surveillance
- In depth knowledge of OFAC, EU and UN sanction
- Conducting compliance training
- Risk Assessment and analysis
- Liaise with regulator
Languages
cantonese
Native language
English
Advanced
C1
Malay
Advanced
C1
Chinese (Cantonese)
Elementary
A2
Chinese (Mandarin)
Beginner
A1
Timeline
Audit Risk Assessment and Compliance
Mazars Asia Pacific Services Sdn Bhd
09.2022 - Current
Compliance Officer
BLoyalty Sdn Bhd
05.2019 - 09.2022
Compliance Officer
JF Apex Securities Berhad
05.2005 - 03.2019
Bachelor of Arts - Psychology
Wawasan Open University
Diploma in Business Administration -
Association of Business Executive