Compliance Manager

Hieu Vo

Citizenship : Canada Date of birth : ** October 1978

Contact

Telephone : 236-***-****

E-mail : *******@*****.***

Address

**** ***** ***, *********, ******* Columbia, Canada, V5S1X5

Profile

Objective I am writing to explore the possibility of pursuing the Security Compliance Manager position at the

Gateway Casinos & Entertainment Ltd., within the gaming & compliance industry, with an international perspective.

Availability Tuesday, May 30. 2023

Key Skills

Proficient with a vast array of office programs, compliance, accounting, & finance, concepts, including:

Knowledge of KYC, SOX, FINRA, finCEN, SEC, AML, BSA, ISAD, FFIEC, PIPEDA, OFAC, CTRs, SARs & BMO code of conduct

FDIC, DSS, HIPAA, GLBA, FIPS, Basel II, CobIT, Dodd-Frank Wall St Reform & Consumer Protection Act,

Bonds, Mutual, Hedge &

Bear Funds, GIC’s,

Currency Derivatives,

Derivatives, Forwards,

Futures, Options, Swaps &

Special Purpose Entity

Financial leverage, WACC, EBIT & DCF, LBO, growth & value investing, M&A, NAV, stock market theory & practice

Calculate TVM, PVA,

EPS, GAAP, M&A,

A/P, A/R, DDM,

dividend yield, P/E

ratio & WACC

Education

2022 WestJet Live Animal Handling Certificate

2022 WestJet Skills Prevention & Response Certificate

2022 WestJet Aviation Security Certificate

2017 GPEB # 83496

2017 BCLC Anti-Money Laundering (AML) Certificate

2017 BCLC Privacy Awareness Training for CASINO and CGC Certificate

2013 Canadian Airport Security Awareness Program, Certificate

2004 Financial Service Compliance Administrator-Graduates Certificate, Seneca College, Toronto, Canada

Work Experience

WestJet, Richmond, British Columbia Full-time employment

Ground Handler May 2022

Attend training and acquire certification;

Hays, Burnaby, British Columbia Full-time employment

Chubb Edwards Physical Auditor October 2020

Observing the counts and ensuring that they are counting and recording on spreadsheets as expected;

Ensure that the entire inventory in each area has been counted;

Re-audit discrepancies and recounts with the branch;

Central Crypto Exchange Corp, Vancouver, British Columbia Full-time employment

KYC Compliance Supervisor February to May 2018

Ensure KYC/AML deliverables are met and hold internal partners accountable;

Manage operational risks effectively through diligent awareness & eliminate delays & insufficiencies;

Escalate and resolve appropriate and sensitive issues;

American Express, Vancouver, British Columbia Part-time employment

Field Sales Representative August to September 2017

Approach customers and sell AMEX Cards;

Ensure all procedures comply with PIPEDA, KYC and FCAC;

Edgewater Casino, Vancouver, British Columbia Full-time employment

Count Team Member January 2017

Responsible for game drops & table game fills, ensuring compliance with applicable laws & regulations;

Maintain knowledge of policies, procedures and controls of the Gaming Commission;

Verifies documentation removed from drop boxes with information recorded on master game worksheet;

Travelholic, Vancouver, British Columbia Full-time employment

Compliance Manager November 2015 to October 2016

Develop detailed procedures for completing the Compliance reviews;

Maintain and update compliance statues, rules and regulations;

Identify and monitor compliance deviations and review customer complaint’s;

Empire Cabinets, Richmond, British Columbia Full-time employment

Compliance Officer June 2004 to October 2005

Ensure the firm complies with ISPM No. 15-Wood packaging mandate;

Ensure shipments receive security clearances, registration requirements, filings & shipment documents;

The Travel Store-Toronto International Airport, Toronto, Ontario Full-time employment

Baggage Handler September to December 2003

Review passport & airplane tickets for security clearance;

Provide customer service and maintain backroom and sales floor organization;

Languages Vietnamese (native) English (fluent, TOEIC 900)

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