Experience

CLSA

• Hong Kong
• Financial Services
• 700 & Above Employee

• Associate Director, Senior Finance Manager (UK, HK)

  • Oct 2015 - Present

  - Controller of the Group's entities on private equity, real estate and credit strategies. Covering 40+ HK and overseas corporate entities' financial reporting. - FRR regulatory monitoring and reporting of asset management licensed corporations - Partnering with business heads, fund finance, and various overseas offices on ad-hoc projects/management information and daily operations. - Ensuring correct accounting treatment and smooth operations in the Group’s investments in the private equity funds and other balance sheet investments: Working with other teams in Finance on Management Reporting, Group Consolidation, Payment Processing and Treasury related matters. - Liaise with external auditors on entities' annual audit works, and Group Tax team on tax planning and compliance works. Show less



Essence Securities Co., Ltd

• China
• Investment Banking
• 200 - 300 Employee

• Financial Controller - Hong Kong

  • May 2014 - Oct 2015

  - Finance department manager of the Hong Kong Group (Essence International Financial Holdings Limited) - Overseeing the entire Finance Department operations, including FRR monitoring, Financial and Management Reporting, Head Office Reporting, Treasury and Liquidity Management, Payment Processing - Support management and front office on provision of financial information and analysis - Discuss and coordinate with senior management on annual budgets, business development and other ad-hoc projects - Liaise with bankers on funding needs, regulatory bodies on regulatory capital enquiries, auditors, tax representatives on annual audit and tax planning Show less



Instinet Incorporated

• United States
• Capital Markets
• 400 - 500 Employee

• Finance Manager

  • Aug 2013 - May 2014

  - Report to Regional Financial Controller and APAC CFO. - Handle Regional Management Reporting for APAC, including daily and monthly flash results, re-forecast and annual budgeting, business review and PnL commentaries - Handle inquiry from US Head Office and Nomura India office on Management Reporting - Responsible for HK office financial reporting and FRR monitoring and reporting - Liaise with auditors and tax representatives on annual audit and tax planning - Responsible for HK office payment processing and finance operations. Show less



DBS Vickers Securities

• Financial Services
• 300 - 400 Employee

• Assistant Vice President

  • Jul 2006 - Jul 2013

  - Report to Financial Controller directly - Supervise 4-6 staff from various functions of Finance Department - Review monthly financial and management reports submitted to headquarters - Analyze and comment on Company's profit and loss variances - Analyze Company's profit and loss by business segments - Support business units in analyzing financial performance, providing regular updates and database for strategic planning and monitoring purpose - Participate in Company's cross-country and cross-entity projects - Liaise with Company's auditors and tax representatives in annual audit and tax compliance works - Work with various teams of the Department on Financial Accounting, FRR and Regulatory Capital compliance, and Head Office reporting - Handle tax planning of the Company - Compute tax provisions for month-end closing Show less



K. W. Lai & Co., CPA(Practising)

• Assistant Manager

  • Dec 1999 - Jun 2006

  - An audit firm with client focus on securities, futures, asset management and other licensed corporations under The Securities and Futures Commission in Hong Kong - Handle Licensed Corporations' financial and compliance audit and advisory works (more than 10 months in a year were serving Licensed Corporations' clients) - Hands-on experience on compiling Financial Resources Rules (FRR) Returns for clients - Advise and implement internal control measures in the Licensed Corporations to ensure compliance with the SFO and Rules - Prepare statutory financial statements to ensure compliance with the Financial Reporting Standards in Hong Kong - Supervise firm staff and plan the schedules of the firms' portfolio. Show less