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Lo An

@loan

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Results-oriented Financial Crime Compliance Advisor with banking expertise.

Luxembourg

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What I'm looking for

I am looking for a role that values compliance and offers growth opportunities.

I am a flexible and results-oriented professional with extensive knowledge of the banking sector, currently serving as a Financial Crime Compliance Advisor at Quintet Private Bank. My role involves developing internal policies and controls, managing compliance activities, and ensuring adherence to laws and regulations. I pride myself on my analytical and research-oriented mindset, which allows me to communicate effectively and influence stakeholders at all levels.

Throughout my career, I have held various positions, including Senior AML KYC Officer at both Royal Bank of Canada and Apex Funds Services. My experience includes conducting due diligence reviews, managing KYC processes, and training junior staff. I am dedicated to maintaining high service standards while rigorously managing risks and compliance. My upbeat and empathetic personality enables me to bring passion and dedication to every team I join.

Experience

Work history, roles, and key accomplishments

Current

Financial Crime Compliance Advisory

Current

Quintet Private Bank

Sep 2022 - Present (2 years 8 months)

Develop internal policies and controls, report compliance status to management, and manage key compliance activities including KYC remediation, transaction monitoring, and sanctions screening. Conduct audits and ensure employee awareness of compliance requirements.

KYC AML Transaction Monitoring Policy Development Risk Management Reporting

Senior AML KYC Officer

Apex Funds Services (Malta) Limited, Luxembourg Branch

Jan 2019 - Aug 2022 (3 years 7 months)

Conducted training for officers, enforced systems and policies, and ensured timely processing of client documentation. Participated in projects related to subscriptions and redemptions while analyzing due diligence results.

KYC AML Training Enforcement Documentation Due Diligence Project Management

Senior AML KYC Officer

Royal Bank of Canada Investor & Treasury Service

Aug 2021 - Aug 2022 (1 year)

Managed day-to-day activities within the Register & Transfer Agency department, ensuring high-quality service and compliance with KYC regulations. Acted as a point of reference for junior staff and clients.

KYC AML Risk Management Operational Management Legal Reporting Team Leadership

Due Diligence Officer

Deutsche Bank

May 2017 - Jan 2019 (1 year 8 months)

Conducted due diligence reviews of business relationships, screened individuals for compliance, and analyzed results of investigations related to BSA/AML risks.

Due Diligence Risk Assessment Research

Due Diligence Officer

BNP Paribas

May 2016 - May 2017 (11 months)

Focused on commercial banking due diligence, involved in periodic reviews and screenings, and updated files for compliance with FATCA/CRS regulations.

Due Diligence FATCA Compliance Risk Assessment Documentation

Fraud Analyst, Internet Banking

ABN Amro Bank

Jun 2012 - Apr 2016 (3 years 10 months)

Analyzed and detected fraudulent transactions related to internet banking, contributing to the bank's fraud prevention efforts.

Fraud Detection Risk Management Compliance Reporting

Education

Degrees, certifications, and relevant coursework

Amsterdam University of Applied Sciences

Bachelor of Arts, Marketing and Advertising Management

2008 - 2013

Studied Marketing and Advertising Management, focusing on communication media strategies for housing associations in the Netherlands. Conducted research for thesis on the Duurzaam Dak Concept.