Assistant Vice President, Compliance

• Mar 2021 - Present

Compliance Manager

• Jan 2020 - Mar 2021

Assistant Compliance Manager

• Jan 2019 - Dec 2019

Compliance Consultant

• Aug 2018 - Jan 2019

ComplianceAsia is the longest established compliance consulting firm in Asia Pacific with offices in Hong Kong and Singapore. We have a long history of completing complex compliance consulting projects for the largest financial institutions in the APAC region.With over 50 staff who are compliance experts with experience in dealing with the SFC, HKMA, MAS, CSRC, JFSA and Asian exchanges, we provide independent and unbiased advice on Asian financial industry legislations and regulations. Our international client base consist of asset managers, hedge funds, private equity funds, family offices, broker-dealers, insurers, wealth managers and investment banks.ComplianceAsia provides a comprehensive range of compliance regulatory services: • AML and KYC• Business due-diligence• Compliance policies and procedures• Compliance training• Corporate governance and company secretarial• Family offices and proprietary trading pools• FinTech and RegTech• Internal audit• Licensing• Mock inspection and compliance reviews• Ongoing compliance support• Research and advisory Show less

Trainee Solicitor

• Jul 2016 - Mar 2018

• Worked in the Corporate & Commercial Department • Drafted loan agreements, constitutions, shareholder agreements and various other agreements • Drafted fund information memorandums for restricted collective investment schemes • Drafted sale purchase agreements, reseller agreement and end-user licence agreement for a software start-up company, corporate secretarial documents and a statement of claim for a litigation suit • Assisted in a corporate restructuring deal for an energy company, debt restructuring and asset sale exercise, due diligence exercises, amalgamation exercise and investment structuring of a start-up company • Researched on various points of law and drafted legal opinions Show less