Felix Y. Kwan

*** ****** **** *****, *******, GA 30076 404-***-**** adldtf@r.postjobfree.com

PROFESSIONAL PROFILE

•Senior level compliance and legal professional with government experience and proven track record for turning problem banks around to have a strong compliance platform and comply with rules and regulations set by banking and market regulators

•Motivated learner and achiever focused decreasing regulatory risk with a specialization in anti-money laundering.

•Strong interpersonal, written, and verbal communicator who can deliver effective presentations, consult on compliance, and risk projects, and maintain collaborative relationships.

•Team player who enjoys working with others to create strong bonds which increase efficiency in the workplace.

•Excellent trainer and lecturer; consistently voted best professor in all universities taught.

AREAS OF EXPERTISE

• Anti-Money Laundering • Regulatory Relations

• General Compliance • Corporate Governance

• Risk Management • Project Management

PROFESSIONAL EXPERIENCE

Georgia State Department of Agriculture, Atlanta, Georgia

Project Coordinator (Temporary Appointment) 2020 - 2021

•Responsible for managing the State’s disaster recovery grant application project.

•Ensured grant application process and documentation integrity meet government requirements and subject to external audit.

•Ensured 1099-G were populated accurately and disbursed on time to all relevant grant recipients.

Nippon Wealth Limited, Hong Kong

Director, Head of Legal & Compliance, Money Laundering Reporting Officer 2017 - 2020

•Responsible for all banking regulatory, anti-money laundering and counter terrorist financing compliance matters including the promulgation and maintenance of policies and procedures; advising front line actions; approving account opening and subsequent maintenance efforts; sanctions, training, transaction monitoring and periodic review.

•Interacted with all regulators, semi-regulatory and government bodies.

•Ensured product and client suitability as well as product due diligence were performed accurately and per policy.

•Conducted regulatory related training to staff members and monitor their licensing qualifications.

•Advised the bank’s senior officers and the board of directors on all banking related matters.

•Other responsibilities included investor relations, company secretariat, strategic planning, compliance review, asset/liability management, operation risk management, tax evasion, and US FATCA implementation and reporting.

East West Bank, Hong Kong

Senior Vice President, Head of Compliance & Money Laundering Reporting Officer 2016 - 2017

•Responsible for all compliance and related operational risk matters related to banking and trading platforms.

•Reviewed and improved the compliance function in addition to decreasing the money laundering deficiency of the branches – this led to more efficient methods of compliance within the bank.

•Responsible for the branch’s compliance activities and was able to obtain a “strong” internal audit rating on Hong Kong and US banking compliance, Hong Kong anti-money Laundering and US Bank Secrecy Act functions within six months of joining the bank, an improvement from a previously unsatisfactory grade.

•Revamped the private banking department after performing a health check exercise and ensured suitability, sales process and disclosures were done correctly as well as Professional Investors classified accurately.

Wells Fargo Bank, Hong Kong, Asia Pacific Region

Vice President, Regional Head of Banking Compliance & Money Laundering Compliance Officer 2014 - 2015

•Reorganized the regional banking compliance structure so information and communication were more transparent.

•Set up the testing and monitoring function to validate regulatory compliance in the Asia Pacific region.

•Was the money laundering compliance officer and branch compliance officer for Hong Kong branch while supervising sixteen other compliance officers located in China, Taiwan, Hong Kong, Singapore, Korea, and Japan.

•Worked as the interim compliance officer for Singapore for 6 months and helped revamp the compliance structure in the region to assist with efficiency in regulating banking and trading practices.

Bank of America Merrill Lynch, Hong Kong, Asia Pacific Region

Director, Regional Head of Regulatory Relations 2009 - 2014

•Functioned as a liaison between Asia Pacific offices as well as between Asia Pacific and the U.S.

•Appointed as the Hong Kong Country Compliance Officer responsible for all local and U.S. compliance matters.

•Was instrumental in setting up, implementing, and maintaining the regulatory systems to track regulatory examinations, regulatory inquiries, regulatory visits, and regulatory changes in Asia Pacific, allowing for the bank to be more streamlined and efficient.

•Promoted compliance awareness across the businesses and developed new compliance policies for internal use.

Qatar Financial Centre Regulatory Authority, Doha, Qatar

Director of Banking Supervision 2005 - 2009

•Set up the banking supervision function in the Authority and drafted rules and regulations during the setup stage of the organization.

•Set up and managed the supervision of all large financial institutions including fully licensed banks, Islamic institutions, and Asset Management Institutions.

•Managed and provided guidance to 12 banking supervisors and 2 anti-money laundering specialists, ensuring these officers were monitoring and supervising the activities of the financial institutions in their caseloads adequately and pro-actively aiding the institutions under their supervision.

•Maintained a relationship with all financial institutions authorized by the Authority and provided necessary guidance to institution management with regards to Administration, Control, Operations, Finance, Regulatory, Human Resources, Accounting (Islamic and Conventional) systems and technology issues.

Credit Suisse, Hong Kong, North Asia Region Ex Japan

Director, Chief Compliance Officer, Senior Regional Legal Counsel & Money laundry Reporting Officer 2000 - 2005

•Grew the bank from a small regional representative office to a fully licensed bank with over three hundred employees.

•Allowed bank to grow by obtaining the necessary licensing from local regulators; developed policies and procedures, monitoring and surveillance devices, conducted on-site and off-site testing and reviews of business units’ compliance to policies and procedures.

•Responsible for reviewing and commenting on marketing materials for structured products, derivatives, local and overseas mutual funds and unit trusts and other investment products for compliance with Hong Kong laws, rules, and regulations.

•Ensured the bank’s operations, internal policies, and procedures were in compliance with the laws, rules and regulations of both Hong Kong and Switzerland and advised local senior management of compliance and legal risks.

Securities & Futures Commission, Hong Kong

Senior Manager of Intermediaries Supervision 1999 - 2000

•Supervised and lead a team of six senior and junior examiners/inspectors to conduct both on-site and off-site inspections of firms licensed by the Commission.

•Was the supervisor for Morgan Stanley, Nomura, Goldman, and other major bulge bracket banks in Hong Kong.

Banque Paribas, Hong Kong, Asia Pacific Region

Regional Head of Ethics & Compliance, Money Laundering Compliance Officer 1997 - 1999

•Was responsible for promulgating compliance and related operation policies and procedures for the commercial. banking, private banking, and investment banking operations in Asia Pacific by acting as the main contact with the local regulators.

•Conducted examinations and daily monitoring procedures to ensure business units’ compliance with policies and procedures.

Hong Kong Monetary Authority, Hong Kong

Senior Manager of Banking Supervision & Banking Policy Development Divisions 1994 - 1997

•Was the chief banking supervisor for large banks such as HSBC, Standard Chartered Bank, as well as the five largest Japanese investment banks via supervising two senior examiners and four junior examiners.

Bay View Federal Bank, San Mateo, California

Vice President, Chief Compliance Officer

Citibank California, San Francisco, California

Senior Compliance Officer

Federal Home Loan Bank, San Francisco, California

Senior Examiner (Credit, Risk, Resolution Trust, and Training)

Crocker National Bank, San Francisco, California

Asssistant Vice President, Senior Credit Examiner (Commercial Loans, Consummer Loans, and Problem Loans)

Oppenheim, Appel, Dixon, CPAs, Los Angeles and San Francisco, California

Senior Staff Accountant (Construction, Agriculture, and Oil and Gas)

Security Pacific National Bank, San Diego, California

Assistant Manager and Commercial Loan Officer (Middle Market, and Agriculture)

EDUCATION, CERTIFICATIONS, & ACADEMIC INVOLVEMENTS

Degrees

University of San Diego School of Law, San Diego, California

Juris Doctor

San Diego State University, San Diego, California

Bachelor of Science in Accounting

Pacific Coast Banking School, University of Washington, Seattle, Washington

Graduate Diploma in Commercial Bank Management (MBA Equivalent)

Professorial

The Hong Kong University of Science & Technology, Hong Kong

Adjunct Associate Professor, Courses: Regulatory Framework of Financial Services, Islamic Banking & Finance

Hong Kong Baptist University, Hong Kong

Adjunct Professor, Course: Banking and Credit

The Chinese University of Hong Kong, Hong Kong

Visiting Professor, Courses: Accounting, Business Law

University of Missouri, St Louis, Missouri

Visiting Professor, Course: Commercial Bank Management

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