Experience

moomoo

• United Kingdom
• 1 - 100 Employee

• Head Of Operations

  • Jan 2020 - Present

   Responsible for the company daily operation workflow  Oversees clients daily trading investment activities, fund withdraw and deposit, securities settlement  Manage day-to-day resolution of client service inquiries and concerns, maintain highest standard in customer services  Liaise constantly with main office to manage and promote firm initiatives, projects and remediations  Ensure regulatory requirements impacting business ops were covered in workflow and procedure  Review policies, procedures and systems, and streamline operational processes in order to maintain quality services and to support new business initiatives  Consistently monitor and communicate with compliance team in regards to regulates and procedures as well as providing AML / KYC support to the business. Keep all parties regularly updated on major issues  Responsible for the regulatory reporting to FINRA  Set up the upcoming mutual fund business and be the responsible officer Show less



Hang Tang International Capital Management Ltd

• Head of Operations

  • Jun 2017 - Sep 2019

  Second largest wealth management company in China (www.chtwm.com) Management In Charge in Operations, IT and member of the risk committee Reporting to COO, responsible for managing settlement, corporate action, fund administration, cash management, and data management Actively follow up and monitor the status of end to end onboarding flow of new clients and products as well as current clients Review policies, procedures, and systems, and streamline operational processes in order to maintain quality services and to support new business initiatives Assist with the product development team for new fund launch and investment team for the new trading workflow and operational setup Negotiate distribution agreement and account opening with various asset management companies and fund distributors Liaise with investment compliance team about regulatory reporting Consistently monitor and communicate with the compliance team in regards to regulates and procedures as well as providing AML/KYC support to the business. Keep FO regularly updated on major issues Show less



BOCI

• France
• Civic and Social Organizations
• 1 - 100 Employee

• Associate Director

  • Feb 2014 - Jun 2017

  Lead a team of total 25+ staffs under Business Operations Handling internal and external client account opening and maintenance Responsible for operations support for all assets class including Equities and Derivates, Fixed Income, FX, Money Markets, Structure Products Ensure daily production issues were properly resolved between FO and BO, acted as the primary point of contact for Operations, Front Office, IT, Finance Control and Legal Counsel. Maintain up-to-date knowledge of banking policies and procedures regarding opening new accounts, market fluctuations, volatile trading and security, and exchanges Ensure regulatory requirements impacting business ops were covered in workflow and procedure Performed competitive analysis for Senior Management reporting, proactively identified business drivers and solutions to reduce overall operational processing costs, improved service standards and efficiency for global equity operations Show less



Vortex Capital Ltd

• Banking
• 1 - 100 Employee

• Head of Operations

  • Jun 2005 - Sep 2012

  Assisted Directors in launching the company, funds, and portfolio. Negotiate T&C with Lawyers, Prime Brokers, and Fund Administrators Meeting with potential clients on marketing new funds Setting up the operation desks, updating operating manual on a regular basis, implementing Tradar into daily operations Responsible for trade capture, rate fixing, swap resets, and settlements of cash equities, private placement, FX swap, listed futures and options, OTC options, etc. Arrange pre-matching of all cash equity and bond trades. Resolve any unmatched trades with counterparties' back office and prime brokers to avoid any settlement failure Daily reconcile portfolio positions, MTM exposure and cash collateral accounts against brokers' statements. Monitor daily margin balances Monitor Corporate Action Events and forecasts of Equities. Ensure correct information had flowed among Fund Managers and Prime Brokers, and proper actions would be taken on schedule and reflected in the systems. Reconcile cash and trading activities and positions against statements download from various Prime Brokers, and subscription accounts at Fund Administrators on a daily basis. Resolve any discrepancies in a timely manner Show less



Standard Bank Asia

• Investment Banking
• 1 - 100 Employee

• Assistant Operations Manager

  • Jan 2004 - May 2005

  Set up and implement new settlement and trading system for newly setup equities trading desk Responsible for daily operations of Global Markets trading; products include Equities Derivates, Fixed Income, OTC, Futures and Options, FX, Money Markets, ELN. Settlement for London and Singapore Gold Desk’s trading Oversees the corporation action for Private Banking clients Responsible for clients’ P/L posting Negotiate and open trading account with various trading brokers Set up and implement new settlement and trading system for newly setup equities trading desk Responsible for daily operations of Global Markets trading; products include Equities Derivates, Fixed Income, OTC, Futures and Options, FX, Money Markets, ELN. Settlement for London and Singapore Gold Desk’s trading Oversees the corporation action for Private Banking clients Responsible for clients’ P/L posting Negotiate and open trading account with various trading brokers



SHK Financial Group Ltd

• Operations Manager

  • Aug 2000 - Nov 2001

  Set up an operation team and a Customer Services Department with Call Center to cope with the expansion of the business. To provide business performance report and financial analysis. Responsible for analysis, definition, and communication of business and systems requirements. Performing analysis, developing proposals, recommendations and implementing changes relevant to systems, business process, workflows, and organizational structures. Set up an operation team and a Customer Services Department with Call Center to cope with the expansion of the business. To provide business performance report and financial analysis. Responsible for analysis, definition, and communication of business and systems requirements. Performing analysis, developing proposals, recommendations and implementing changes relevant to systems, business process, workflows, and organizational structures.


Credit Lyonnais Securities Asia Ltd
• Operations Manager

  • Aug 1999 - Jun 2000

BZW Asia Ltd
• Trading and Sales Support

  • Aug 1997 - Feb 1998