KYC Analyst

Linh Lau

*** ***** *******, *** ** Brooklyn, NY *1218 215-***-**** ******@*****.***

Education

Bachelor of Business Administration June 2006 TEMPLE UNIVERSITY

Major: Accounting

Certification

CAMS

Experience

KYC ANALYST STANDARD CHARTERED BANK MARCH 2014-PRESENT

Conduct initial review of KYC files for new and existing clients and ensure it adheres with the bank's customer identification program.

Conduct enhanced due diligence review of clients with correspondent banking relationship, PEPs, Sanctions, Adverse Media and complex structure.

Review and analyze negative media and AML risk to the bank and escalate to Financial Crime Compliance team for further investigation.

Validate the nature of business, source of funds, ISIC code, true entity ownership and effective entity control of the client using internal and external sources.

Ensuring core AML documentation provided by business lines meets banks established policy and procedures.

Review false and true match positive on individuals and entities using Detica and Lexis Nexus.

STAFF ACCOUNTANT CITI GLOBAL TRANSACTION SERVICE JANUARY 2013 – MARCH 2014

Maintain books and records for Private Equity Fund clients

Book and review all investment and fund related journal entries

Prepare management fee calculation, capital call and distribution allocations

Assist in monthly financial report preparation

FUND ACCOUNTANT HSBC ALTERNATIVE FUND SERVICES MARCH 2008 – SEPTEMBER 2012

Maintained the underlying accounting records for hedge funds.

Prepare monthly and daily Net Asset Valuations (NAV) for hedge fund clients.

Escalate pricing issues to manager and supervisors for immediate review and/or amendment.

Prepare investor audit confirmations detailing capital balances and fees charged.

Calculate performance, management, administrative fees for offshore and onshore funds.

INVESTMENT ACCOUNTANT II PFPC SEPTEMBER 2006 - MARCH 2008

Reconciling investment company cash and portfolio balances to custodian’s daily statement.

Provide daily investable cash balances to portfolio manager.

Responsible for the NAV calculation.

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