CAROL LEE
Richmond Hill,Ontario
Summary
Demonstrates strong analytical, communication, and teamwork skills, with proven ability to quickly adapt to new environments. Eager to contribute to team success and further develop professional skills. Brings positive attitude and commitment to continuous learning and growth.
Experienced with banking operations and ensuring compliance with regulatory requirements. Utilizes expertise in process improvements to enhance operational efficiency and accuracy. Track record of effective risk management and exceptional customer service, contributing to overall success and reliability of banking operations.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Compliance Specialist
CAE Asia Ltd.
02.2024 - Current
- Communicating with external parties to obtain necessary information needed for export
like ECCN, HS code, etc. - Conducting Open Source Research on Clients: This includes gathering information from
our clients website and other openly available resources to gain an understand of clients
business. This also includes conducting analysis to determine if any of clients business
partners are on the US export entity list/ denied parties search, etc. - Requesting, receiving, and reviewing incoming End User Statements (EUS) from clients.
Also need to work with clients for EUS related questions. - Working with management to implement new policies and procedures.
- Writing and maintaining incident reports when compliance red flags are noted.
- Auditing Export documents
- Performing ad hoc tasks as needed.
Customer Services Manager
Bank of Communications Co Ltd
08.2019 - 07.2023
- - Assist the team to develop and maintain customer relationship with corporate clients
- - Provide professional financial solutions in areas of commercial lending and trade financing and conduct credit analysis
- - Daily operations such as Account opening (KYC), account review (CDD) and transactions monitoring (AML)
- - Investigate the alert-triggered cases and prepare the suspicious transaction reports
- - Monitoring the entire trade processing, including system input, settlement arrangement, client confirmation, foreign exchange and remittance
- - Handle client’s enquiries, instructions and requests
- - Responsible for general office administration
Senior Customer Services Manager
ICBC (Asia) Limited
05.2019 - 08.2019
- - Assist the team to develop and maintain customer relationship with corporate clients
- - Provide professional financial solutions in areas of commercial lending and trade financing and conduct credit analysis
- - Daily operations such as Account opening (KYC), account review (CDD) and transactions monitoring (AML)
- - Investigate the alert-triggered cases and prepare the suspicious transaction reports
- - Monitoring the entire trade processing, including system input, settlement arrangement, client confirmation, foreign exchange and remittance
- - Handle client’s enquiries, instructions and requests
- - Responsible for general office administration
Logistic Clerk
4PX Express Australia
06.2018 - 01.2019
- - Prepare daily reports with operation data for analysis on further business development
- - Ensure Dangerous Goods logistic compliance for shipments
- - Inspect, verify, and recommend shipment specifications: Ensure all shipments are packed, labeled, and shipped in accordance with local compliance regulations
Education
BA(Hons) - Business Studies – Business Studies
University of Greenwich
01.2013
Skills
- Microsoft Office
- Mandarin, Cantonese and English
- Anti-money laundering
- Compliance
- Due diligence
- Operations support
- Friendly and patient
- Banking operations
Certification
Outbound Tour Escort Certificate
Languages and Skills :
Cantonese, English, Mandarin : Written and Spoken
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline
Compliance Specialist
CAE Asia Ltd.
02.2024 - Current
Customer Services Manager
Bank of Communications Co Ltd
08.2019 - 07.2023
Senior Customer Services Manager
ICBC (Asia) Limited
05.2019 - 08.2019
Logistic Clerk
4PX Express Australia
06.2018 - 01.2019
BA(Hons) - Business Studies – Business Studies
University of Greenwich
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