Manson Sze
Calgary
Summary
Experienced compliance specialist with a proven track record in client onboarding and regulatory adherence within leading financial institutions. Expert in AML and KYC protocols, I efficiently handle account openings and risk assessments across various levels, ensuring strict compliance with international standards. My fluency in three languages enhances communication with diverse clients, supporting effective collaborations and process optimizations in fast-paced environments.
Overview
7
7
years of professional experience
Work History
Client Onboarding Specialist
UBS
Hong Kong
04.2024 - Current
- Coordinate and prepare for Periodic KYC Reviews, ensuring the extraction and analysis of relevant client data for compliance.
- Support client advisors by overseeing the submission of regulatory compliant materials, enhancing the accuracy and integrity of client data.
- Adhere strictly to regulatory guidelines and UBS policies, ensuring all processes meet high standards for Wealth Management business operations.
- Contribute to the continuous improvement of client onboarding processes and services, proposing innovative solutions to enhance efficiency and client experience.
- Collaborate closely with client advisors, business units, and internal stakeholders to support the Wealth Management Front Support Office, fostering excellent client relationships and aiding in revenue generation for UBS.
Everyday Banking Advisor
Royal Bank of Canada
Calgary
11.2023 - 01.2024
- Assisted clients with daily banking needs, advised on financial products, and resolved service inquiries to enhance customer satisfaction.
- Promoted digital banking tools to streamline client experiences and improve financial management efficiency.
Compliance Officer
Digital Commerce Bank
Calgary
02.2024 - 03.2024
- Collaborated with law enforcement agencies and conducted internal investigations to address AML issues
- Played a key role in conducting periodic reviews for corporate clients, meticulously analyzing client transactions and activities to identify suspicious patterns and ensure compliance with AML requirements.
Assistant Investigation Manager
HSBC
Hong Kong
09.2022 - 01.2023
- Led investigations and risk assessments to identify potential financial crimes, reviewing transaction patterns and recommending control enhancements
- Collaborated with law enforcement agencies and conducted internal investigations to address AML issues
- Managed client due diligence, enhanced due diligence, transaction monitoring, and AML investigations.
Credit Approval Officer
ZA Bank Limited
Hong Kong
02.2022 - 09.2022
- Approved personal loans and ensured compliance with AML regulations and policies
- Conducted risk assessments for retail credit assets and implemented appropriate risk mitigation measures.
Lending Officer
ZA Bank Limited
Hong Kong
07.2021 - 02.2022
- Managed a team of contract employees in the lending department and assisted senior managers in daily operations
- Analyzed applicant financial and credit status to determine loan feasibility and verified client financial information for creditworthiness
- Coordinated with the IT department to implement a new software tool for detecting discrepancies in applicant financial information, reducing potential fraud.
Operation Support Specialist
ZA Bank Limited
Hong Kong
10.2020 - 07.2021
- Played a pivotal role in enhancing the bank's Enhanced Customer Due Diligence (ECDD) framework, resulting in a significant reduction in onboarding times for new accounts
- Conducted in-depth investigations into complex cases of suspected financial crime, utilizing advanced data analysis techniques.
Assistant Personal Banking Manager
Chong Hing Bank Limited
Hong Kong
04.2019 - 09.2020
- Assist on SME and personal client onboarding and periodic review
- Conducted comprehensive AML risk assessments for high-profile clients, incorporating Source of Wealth (SOW) and Politically Exposed Persons (PEP) screening.
Flight Attendant
Hong Kong Airlines
Hong Kong
12.2016 - 03.2018
- Delivered exceptional customer service to passengers, ensuring a pleasant and safe flying experience by promptly addressing inquiries and concerns.
- Conducted pre-flight inspections and safety demonstrations to comply with aviation regulations and ensure passenger safety.
- Collaborated effectively with a diverse team of crew members to maintain high service standards and operational efficiency on international flights.
- Managed in-flight emergencies with composure and adherence to established protocols, contributing to the overall safety and security of passengers and crew.
Education
BBA - China Business
The Open University of Hong Kong
08.2016
Skills
- Risk Assessment and Management
- Transaction Monitoring
- Periodic Review
- Credit Reports
- Client Onboarding
- Suspicious Activity Detection and Reporting
- Enhanced Due Diligence
Locations
- Calgary
- Hong Kong
Languages
Cantoese
First Language
English
Advanced (C1)
C1
Mandarin
Advanced (C1)
C1
References
References available upon request.
Timeline
Client Onboarding Specialist
UBS
04.2024 - Current
Compliance Officer
Digital Commerce Bank
02.2024 - 03.2024
Everyday Banking Advisor
Royal Bank of Canada
11.2023 - 01.2024
Assistant Investigation Manager
HSBC
09.2022 - 01.2023
Credit Approval Officer
ZA Bank Limited
02.2022 - 09.2022
Lending Officer
ZA Bank Limited
07.2021 - 02.2022
Operation Support Specialist
ZA Bank Limited
10.2020 - 07.2021
Assistant Personal Banking Manager
Chong Hing Bank Limited
04.2019 - 09.2020
Flight Attendant
Hong Kong Airlines
12.2016 - 03.2018
BBA - China Business
The Open University of Hong Kong
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