Chris Ching, J.D., M.B.A

 

Profile

Chris has over 15 years of experience in compliance and risk analysis in the financial services sector. He serves as a regulatory compliance advisor for various leading Wall Street banks (including Bank of Montreal, Harris bank, Union Bank, Bank of East Asia/Industrial and Commercial Bank of China, JP Morgan Chase and others).

Chris has led and managed numerous large-scale and concurrent engagements with a proven track record of success. He facilitates the adoption of risk monitoring systems and operation procedures at various organizations, which includes technology implementations, human resources transformations, and corporate compliance policies. He also oversees the development and deployment of banking and brokerage compliance methodologies and procedures for various leading Wall Street financial institutions.

Career Highlights

• Overseen the development and deployment of risk management methodologies and procedures to guide the adoption process.
• Ensured all changes to the transaction monitoring system are identified, controlled, consistently handled, and traced throughout the project lifecycle.
• Resolved issues that have negative economic and risk impacts on the project through efficient communication to the appropriate levels.
• Created and defined standards for metrics to measure performance and conduct user adoption trainings.
• Developed tools and techniques used in the management and control of cash.
• Performed quality control and ensured acceptable levels of risk for each Key Party.
• Established and refined an ongoing risk monitoring procedures.
• Interacted with independent audit teams and the OCC examiners to review Know Your Customer (KYC) review policies and procedures for risk assessment commensurate with OCC guidelines.
• Drafted transaction monitoring reports and suspicious activity reports on high risk accounts.
• Provided regular updates to Chief Compliance Officer and to the senior management.

Education

• J.D. Whittier Law School
• M.B.A. Pepperdine University
• B.S. University of California, Irvine