Edwin CHU
Senior Compliance Consultant at ComplianceOne Consulting Limited- Claim this Profile
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English (fluent), Mandarin (conversational) -
Topline Score
Bio
Leo Leung
Good Character, Honest and Responsible.
Leo Leung
Good Character, Honest and Responsible.
Leo Leung
Good Character, Honest and Responsible.
Leo Leung
Good Character, Honest and Responsible.
Experience
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ComplianceOne Consulting Limited
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Hong Kong
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Financial Services
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1 - 100 Employee
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Senior Compliance Consultant
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Dec 2021 - Present
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Risk & Compliance
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Sep 2017 - Jun 2021
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Risk and Compliance Manager
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Sep 2015 - Jul 2016
- to assist the Managing Directors in acquiring the Type 1 & Type 2 licenses from SFC- to ensure that the daily operations and application procedures are all in compliance with the SFC regulatory requirements- to help revise the OPS Manual and Compliance Manual of the company to cater for the Type 1 & Type 2 brokerage business- to help formulate the risk control policies of the company - to assist the Managing Directors in acquiring the Type 1 & Type 2 licenses from SFC- to ensure that the daily operations and application procedures are all in compliance with the SFC regulatory requirements- to help revise the OPS Manual and Compliance Manual of the company to cater for the Type 1 & Type 2 brokerage business- to help formulate the risk control policies of the company
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Risk & Compliance (RO Type 2)
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Aug 2012 - Aug 2015
- to assist the Managing Director in acquiring the Type 2 licence from SFC- to help formulate the Operations Manual for SFC approval- to conduct risk assessment for our clients and formulate risk control parameters according to different client-specific conditions- to formulate contingency measures for system failure- to collaborate with IT team in order to customize and develop our front-end trading and back-end settlement systems, especially in CME and LME products- to prepare and revise all account opening documents for the company- to manage daily routines of the company as a RO such as daily monitoring of clients margin status, follow-up actions for margin calls etc.- to keep abreast of the latest updates in risk & compliance issues - other ad hoc assignments related to SFC licensing and supervision conditions
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Responsible Officer (Type 2)
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Aug 2009 - Oct 2011
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Futures & OptionsTrader
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Mar 2008 - Apr 2009
Prop Trading for a private BVI company Prop Trading for a private BVI company
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Senior Derivative Trader
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May 2006 - Jan 2008
HSI Futures & Options Market-maker HSI Futures & Options Market-maker
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Derivative Trader
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Mar 2003 - Jun 2006
HSI Futures & Options Market-maker HSI Futures & Options Market-maker
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Education
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1987 - 1993
The University of Hong Kong
Master, Economics & Statistics -
1979 - 1986
YING WA COLLEGE
Advanced Level
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