Maggie Mu
Los Angeles
Summary
Dynamic professional with extensive experience at ABN AMRO Clearing USA LLC, excelling in anti-money laundering and regulatory compliance. Proven track record in enhancing client onboarding processes and ensuring thorough customer due diligence. Adept at project management, driving efficiency, and fostering strong client relationships to achieve compliance objectives.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Assist. VP of Client Life Cycle Management
ABN AMRO Clearing USA LLC
Chicago
07.2021 - Current
- Performed due diligence investigations to verify customers' identity, background, and source of funds.
- Reviewed customer documents to ensure they meet the Anti-Money Laundering and Know Your Customer requirements.
- Develop and maintain processes and procedures to enhance the efficiency of the team's workflow.
- Identified potential issues related to AML and KYC compliance in accordance with applicable laws and regulations.
- Manage the end-to-end KYC process for all U.S. clients and affiliate clients across the globe, from client onboarding to periodic and event-driven reviews, and offboarding.
- 4-eye reviews to ensure CDD and EDD regulatory requirements are met, and required documentation is accurate and comprehensive.
Execution
ABN AMRO Clearing USA LLC
Chicago
10.2013 - 06.2021
- Communicated effectively with clients regarding trade execution and market information.
- Provided trade execution services to clients in order to meet their investment objectives.
- Reviewed trade execution results for accuracy and adherence to best practices.
Human Resources Intern
Archer Daniels Midland Company
Decatur
05.2013 - 08.2013
- Developed presentations on various topics related to human resources management.
- Compiled reports on employee performance evaluations, attendance records, and training programs.
- Created job descriptions for new roles within the organization.
- Assisted in the recruitment process by screening resumes, conducting phone interviews and scheduling face-to-face interviews with potential candidates.
Education
MBA - Business Administration
Elmhurst University
Elmhurst, IL07-2013
Master of Arts - Industrial Organizational Psychology
Elmhurst University
Elmhurst, IL05-2013
Bachelor of Arts - Psychology
University of California, Riverside
Riverside, CA06-2011
Skills
- Anti-money laundering
- Client onboarding
- Customer due diligence
- Process improvement
- Regulatory compliance
- Project management
- Salesforce, JIRA, Dragon
- Microsoft office
Languages
Chinese (Mandarin)
Native/ Bilingual
Certification
- NFA Series 3
Timeline
Assist. VP of Client Life Cycle Management
ABN AMRO Clearing USA LLC
07.2021 - Current
Execution
ABN AMRO Clearing USA LLC
10.2013 - 06.2021
Human Resources Intern
Archer Daniels Midland Company
05.2013 - 08.2013
MBA - Business Administration
Elmhurst University
Master of Arts - Industrial Organizational Psychology
Elmhurst University
Bachelor of Arts - Psychology
University of California, Riverside
Similar Profiles
Barry PolakBarry Polak
Grid Owner Clearing at ABN AMRO Clearing Bank N.V.Grid Owner Clearing at ABN AMRO Clearing Bank N.V.
Nuno GasparNuno Gaspar
Static Data Realistaion Officer IV at ABN AMRO ClearingStatic Data Realistaion Officer IV at ABN AMRO Clearing
Jan VrielerJan Vrieler
Software Architect at Abn AmroSoftware Architect at Abn Amro
Ava GarciaAva Garcia
Host/Server at Perfect Pear BistroHost/Server at Perfect Pear Bistro
Nzingha JonesNzingha Jones
School Ambassador at Immaculate Heart High SchoolSchool Ambassador at Immaculate Heart High School