Rui Ma Rina

Work history

Head of Compliance Business Management/Senior Compliance Manager

China Construction Bank Corporation London Branch

London, UK

01.2021 - Current

Lead and manage the Compliance Business Management team to assist Chief Compliance Officer (CCO)/MLRO in delivering a comprehensive and robust Compliance and Financial Crime Framework.
Ensure all regulatory returns are submitted to the Financial Conduct Authority (FCA) on time via RegData; ensure the FCA Fee Return data is calculated accurately, submitted and paid on time.
Prepare executive level reporting materials including CCO and MLRO Reports and assist CCO/MLRO in reporting to the regulatory authorities, senior management and CCB Head Office on all relevant Compliance and Financial Crime reports and management information; manage the bank's regulatory correspondence records on behalf of CCO/MLRO.
Engage in key compliance/AML projects including the Financial Crime Skilled Person Review (S166) Remediation and Enhancement, Governance and Oversight, Culture and Conduct S166 Remediation, Sanctions Enhancement Project, and ISO20022 Transformation Project (linked to sanctions screening solution Fircosoft)
Design the Bank's Compliance Key Performance Indicators (“KPIs”), track and report such KPIs to CCO/MLRO and evaluate KPIs performance across departments.
Lead the Bank's compliance internal control assessment and Risk and Control Self-assessment.
Assist in the design and oversight of the Bank's Compliance and Financial Crime Monitoring and Assurance Program.
Assist in the design and oversight of the Bank's Compliance and Financial Crime Risk Assessment processes.
Investigate Level 3 sanctions screening alerts in the Fircosoft system; ensure proper maintenance of the system, including filter setting, creation of screening rules, list management, system tuning and UAT testing.
Provide advisory guidance on escalation cases relating to Client On-Boarding files and periodic reviews (negative news forms, financial crime risk assessment forms and etc.)
Respond to CCB Head Office inquiries to meet overseas compliance requirements, including horizon scanning of key UK regulatory publication updates and penalties; lead all the compliance tasks assigned by the CCB Head Office; carry out gap analysis of CCB Head Office policies and procedures and provide guidance to update the Bank's internal policies and procedures.
Lead the business continuity planning and business impact analysis of the Compliance Department.
Liaise with Internal Audit to ensure all open Compliance action items are completed in a timely manner.
Cooperate with CCO/MLRO to complete the bank's annual compliance budget process.
Manage the compliance and Financial Crime training platform.

Compliance Manager

China Construction Bank Corporation London Branch

London

10.2018 - 01.2021

Led the Fircosoft sanctions screening implementation project (including solutions for Swift and CIPS messages); set up the screening filter (algorithms, sanctions lists and internal watchlist, rules and exceptions) by fine tuning; investigated Level 3 sanctions escalation.
Investigated transaction monitoring alerts in Transwatch system and filed suspicious activity reports where required
Delivered the Compliance Monitoring Program and ensure the timely completion of assurance and testing of key AML tasks, including trade finance reviews, Prime and Fircosoft payment alert handling reviews, Pythagoras on-going customer screening alert handling reviews, MT202 message checks and etc.
Carried out horizon scanning of regulatory fines
Devised and presented compliance training materials to colleagues
Provided expert input to the New Product Approval process
Provided regulatory and compliance guidance and support as necessary to colleagues at the bank and within CCB Group
Assisted in the implementation of key regulatory projects such as the Financial Crime Skilled Person Review (S166) Remediation and Enhancement
Assisted in liaising with the Head Office of CCB, supported the implementation of the Head Office's compliance plan, and evaluated the impact of the Head Office's policies on the CCBL activities
Designed the Bank's Compliance Key Performance Indicators (“KPIs”), track and report such KPIs to CCO/MLRO and evaluate KPIs performance across departments.

Secondment

China Construction Bank Head Office - Compliance

Beijing

09.2018 - 09.2018

Secondment in the Internal Control and Compliance Department
Handled overseas compliance management tasks.

Secondment in Ops/Legal and Comliance

China Construction Bank(Asia) Limited

03.2018 - 08.2018

Assisted in investigating sanctions and trade finance escalations
Handled transaction monitoring alerts and assisted in drafting suspicious activity reports
Reviewed customer KYC files as part of the periodic review process
Carried out compliance assurance and testing
Dealt with treasury settlements, including FX and bonds etc.

Supervisory Manager of International Business Dept

China Construction Bank Corporation Shenzhen

Shenzhen

10.2016 - 03.2018

Supervised 130 sub-branches of CCB Shenzhen Branch to ensure the compliant delivery of international banking business
Regularly organized training and reviews to standardise the international business process, provided business supervision and compliance guidance for sub-branches
Conducted gap analysis on the regulations of the State Administration of Foreign Exchange (SAFE) and the Head Office policies to develop internal policies and guidelines
Carried out special review and remedy of international banking business related to remittance products and international settlement
Coordinated internal resources to cooperate on various banking plans; Assisted the IT department to maintain and test the international settlement systems
Handled correspondent banking questionnaires and RFI requests from interbank.

Product Manager /International Banking Teller

Futian Free Trade Zone, CCB SZ

Shenzhen

07.2012 - 09.2016

Provided product advice to wholesale banking customers
Provided international settlement related regulatory and compliance guidance to wholesale customers
Maintained wholesale customers' AML information in the Chinese regulatory (PBOC) AML system
Handled various international settlement businesses and submitted cross-border payment declaration reports to SAFE
Reviewed international settlement business as per SAFE's requirements and completed relevant remediation.

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• Led the full project lifecycle of HR initiatives, including workforce planning, policy development, and process improvement. • Created and managed detailed project plans, schedules, and budgets to ensure timely and efficient execution. • Coordinated cross-functional teams to deliver HR projects on schedule while maintaining compliance with organizational standards. Compensation, Benefits & Payroll: • Oversaw end-to-end payroll administration, ensuring accurate and timely employee payments. • Managed employee compensation and benefits programs, aligning them with market standards and company objectives. • Addressed payroll discrepancies and provided solutions to maintain smooth operations. Policy Development & Compliance: • Developed and implemented company-wide HR policies to enhance workplace efficiency and employee satisfaction. • Ensured compliance with labor laws and Ministry of Human Resources regulations, mitigating legal risks. • Advised leadership on labor law updates and best practices in employee relations. Talent Acquisition & Onboarding: • Directed full-cycle recruitment processes, from sourcing and interviewing to hiring and onboarding. • Managed international hiring, including visa processing, embassy coordination, and relocation support. • Optimized onboarding programs to ensure a smooth transition for new employees. Employee Relations & Engagement: • Served as a primary point of contact for employee concerns, providing effective conflict resolution. • Maintained accurate records for attendance, leave, and performance management. • Prepared employment contracts and offer letters in compliance with legal and company standards. Strategic HR Leadership: • Collaborated with senior management to align HR strategies with business goals. • Analyzed HR trends and provided recommendations to enhance workforce planning and development. at Saudi Central Bank• Led the full project lifecycle of HR initiatives, including workforce planning, policy development, and process improvement. • Created and managed detailed project plans, schedules, and budgets to ensure timely and efficient execution. • Coordinated cross-functional teams to deliver HR projects on schedule while maintaining compliance with organizational standards. Compensation, Benefits & Payroll: • Oversaw end-to-end payroll administration, ensuring accurate and timely employee payments. • Managed employee compensation and benefits programs, aligning them with market standards and company objectives. • Addressed payroll discrepancies and provided solutions to maintain smooth operations. Policy Development & Compliance: • Developed and implemented company-wide HR policies to enhance workplace efficiency and employee satisfaction. • Ensured compliance with labor laws and Ministry of Human Resources regulations, mitigating legal risks. • Advised leadership on labor law updates and best practices in employee relations. Talent Acquisition & Onboarding: • Directed full-cycle recruitment processes, from sourcing and interviewing to hiring and onboarding. • Managed international hiring, including visa processing, embassy coordination, and relocation support. • Optimized onboarding programs to ensure a smooth transition for new employees. Employee Relations & Engagement: • Served as a primary point of contact for employee concerns, providing effective conflict resolution. • Maintained accurate records for attendance, leave, and performance management. • Prepared employment contracts and offer letters in compliance with legal and company standards. Strategic HR Leadership: • Collaborated with senior management to align HR strategies with business goals. • Analyzed HR trends and provided recommendations to enhance workforce planning and development. at Saudi Central Bank

Jonathan MatulaJonathan Matula

<ul> <li>Spearhead the management and oversight of the National Bio and Agro-Defense Facility (NBAF) project, a pivotal national asset developed in partnership with the U.S</li> <li>Department of Agriculture (USDA) and the U.S</li> <li>Department of Homeland Security (DHS)</li> <li>Collaborate with USDA and DHS stakeholders to ensure a seamless transition of operations and mission capabilities from the aging Plum Island Animal Disease Center (PIADC) to NBAF, ensuring uninterrupted research, diagnostics, and training essential to national security</li> <li>Lead the operational endurance phase, validating work processes and laboratory setups to guarantee compliance with the highest safety and biocontainment standards, particularly in biosafety level-4 (BSL-4) environments</li> <li>Act as the hiring manager, conducting interviews and selecting high-quality employees to ensure the success of both DCA and NBAF</li> <li>Serve as a subject matter expert pert for the payroll system Paychex, overseeing and approving payroll for 63 officers biweekly while managing paid time off and leave requests to maintain the security posture for the facility</li> <li>Monitor project milestones, providing critical updates to senior management and stakeholders while ensuring alignment with USDA's mission objectives and federal guidelines</li> <li>Direct the development and execution of strategic initiatives to facilitate efficient collaboration with federal partners, ensuring all laboratory operations adhere to regulatory requirements set forth by the Federal Select Agent Program (FSAP)</li> <li>Foster a culture of excellence and professionalism within the team, emphasizing rigorous training, safety compliance, and operational integrity as key components of NBAF's mission to safeguard public health and the nation's food supply</li> <li>Monitored budgeting activities by tracking expenditures and providing regular updates to management.</li> <li>Analyzed existing processes within a department or organization in order to identify areas for improvement or increased efficiency.</li> <li>Implemented quality control measures throughout each stage of a project's lifecycle.</li> <li>Worked closely with senior managers to ensure that all projects were completed according to schedule.</li> <li>Conducted research on potential vendors, suppliers, contractors and subcontractors for projects.</li> <li>Provided administrative support to the Project Manager in order to facilitate successful project outcomes.</li> <li>Prepared monthly progress reports summarizing key accomplishments achieved since the last report.</li> <li>Trained junior staff on best practices for managing multiple projects simultaneously.</li> </ul> at Defense Contracting Activity, LLC<ul> <li>Spearhead the management and oversight of the National Bio and Agro-Defense Facility (NBAF) project, a pivotal national asset developed in partnership with the U.S</li> <li>Department of Agriculture (USDA) and the U.S</li> <li>Department of Homeland Security (DHS)</li> <li>Collaborate with USDA and DHS stakeholders to ensure a seamless transition of operations and mission capabilities from the aging Plum Island Animal Disease Center (PIADC) to NBAF, ensuring uninterrupted research, diagnostics, and training essential to national security</li> <li>Lead the operational endurance phase, validating work processes and laboratory setups to guarantee compliance with the highest safety and biocontainment standards, particularly in biosafety level-4 (BSL-4) environments</li> <li>Act as the hiring manager, conducting interviews and selecting high-quality employees to ensure the success of both DCA and NBAF</li> <li>Serve as a subject matter expert pert for the payroll system Paychex, overseeing and approving payroll for 63 officers biweekly while managing paid time off and leave requests to maintain the security posture for the facility</li> <li>Monitor project milestones, providing critical updates to senior management and stakeholders while ensuring alignment with USDA's mission objectives and federal guidelines</li> <li>Direct the development and execution of strategic initiatives to facilitate efficient collaboration with federal partners, ensuring all laboratory operations adhere to regulatory requirements set forth by the Federal Select Agent Program (FSAP)</li> <li>Foster a culture of excellence and professionalism within the team, emphasizing rigorous training, safety compliance, and operational integrity as key components of NBAF's mission to safeguard public health and the nation's food supply</li> <li>Monitored budgeting activities by tracking expenditures and providing regular updates to management.</li> <li>Analyzed existing processes within a department or organization in order to identify areas for improvement or increased efficiency.</li> <li>Implemented quality control measures throughout each stage of a project's lifecycle.</li> <li>Worked closely with senior managers to ensure that all projects were completed according to schedule.</li> <li>Conducted research on potential vendors, suppliers, contractors and subcontractors for projects.</li> <li>Provided administrative support to the Project Manager in order to facilitate successful project outcomes.</li> <li>Prepared monthly progress reports summarizing key accomplishments achieved since the last report.</li> <li>Trained junior staff on best practices for managing multiple projects simultaneously.</li> </ul> at Defense Contracting Activity, LLC

Summary

Overview

Work history

Head of Compliance Business Management/Senior Compliance Manager

Compliance Manager

Secondment

Secondment in Ops/Legal and Comliance

Supervisory Manager of International Business Dept

Product Manager /International Banking Teller

Education

ICA International -

Diploma - undefined

Master of Regulation and Compliance - undefined

Bachelor of Arts - English (Advanced Interpretation and Translation

Certified Global Sanctions Specialist (CGSS) by ACAMS - undefined

in Governance, Risk and Compliance (MICA) by International Compliance Association - undefined

Certificate in Trade Finance Compliance - undefined

Certified Anti-Money Laundering Specialist (CAMLS) by ACAMS - undefined

Skills