Samson Leung is an associate managing director at K2 Integrity. He has more than 20 years of financial services industry experience, including substantial financial crimes compliance leadership experience in the implementation and maintenance of Anti-Money Laundering (AML) compliance, transaction monitoring/suspicious activity reporting (SAR), and Know Your Customer (KYC)/Enhanced Due Diligence (EDD) and sanctions programs for leading financial institutions both in the United States and Asia. At K2 Integrity, Sam has assisted domestic and foreign financial institutions with conducting transaction monitoring/SAR, KYC/EDD and sanctions program gap analyses and developing and implementing relevant remedial actions.
Prior to joining K2 Integrity, Sam was U.S. head of Financial Crimes Compliance (FCC) Advisory and senior vice president for HSBC Securities (USA) Inc., where he served as the firm’s designated BSA/AML compliance officer. In that role, Sam oversaw the firm’s transaction monitoring and suspicious activity reporting program, including the design and implementation of automated monitoring rules and related governance/validation activities as well as the firm’s KYC/EDD initiatives. He was also responsible for coordinating the firm’s annual BSA/AML and sanctions risk assessment processes and related remediation projects.
Prior to joining HSBC, Sam served as vice president/compliance officer for Goldman Sachs (Asia) LLC. In this role, he led KYC/EDD programs in the Asia-Pacific region, conducting enhanced due diligence reviews on the firm’s institutional and individual clients and administering the firmwide global CIP/KYC requirements with regional enhancements. He also served as the regional APAC lead for Goldman Sachs’ Global Sanctions program, with direct oversight over the region’s sanctions-related issues/escalations. He previously served as vice president/compliance officer on Bear Stearns & Co. Inc/JP Morgan Chase’s Transaction Monitoring/Trade Surveillance Unit, where he performed reviews of automated and manual transaction monitoring alerts to investigate monetary and securities transactions in retail and institutional client accounts for potential SAR filings. He previously served as compliance officer for the Fixed Income Group at Deutsche Asset Management. Earlier in his career, Sam held front-office equity and foreign exchange sales and trading roles at financial institutions located in the United States and Asia, in addition to serving as FINRA-licensed registered representative/supervisory principal for U.S.-based retail brokerage firms.
Sam received his B.S. in biology from the University of California, Los Angeles (UCLA). He is a Certified Anti-Money Laundering Specialist (CAMS). He is fluent in written and spoken Chinese.
Areas of Expertise
- Anti-Money Laundering and Combating the Financing of Terrorism (CFT), Sanctions, and Fraud Compliance Programs
- Know Your Customer (KYC) Due Diligence
- AML Model Validation, System Tuning, and Testing
- Regulator Mandated Monitorships and Independent Consultancies
- Sanctions Risk Advisory Services
- Transaction Monitoring Advisory Services
Education and Certifications
- University of California, Los Angeles (UCLA), B.S.
- Certified Anti-Money Laundering Specialist (CAMS)
- Financial Industry Regulatory Authority (FINRA) Registered Representative