Compliance Manager

• Jun 2022 - Present

Business Control Manager

• Jul 2021 - May 2022

Senior Compliance Associate

• Sep 2018 - Jul 2021

Focused on asset management and covered for investment banking activities; • Responsible for asset management daily monitoring, quarterly review programme; identify and investigate potential compliance risks; • Implemented FMCC, dubious transaction vetting mechanism and enhance investment procedure and control, best execution and management of offshore vehicles; • Handled on-site inspection; regulators, auditors and State-Owned Bank' enquiries and reporting; • Part of the ESG team to promote ESG awareness. Show less

Risk and Compliance Officer

• Feb 2018 - Sep 2018

Focused on asset management compliance and private equities • Represented the Company in investors meetings and advised on potential investments. • Oversaw the account opening and due diligence; • Was responsible for setting up new offshore funds and liaise with fund managers, fund administrators, offshore lawyers and auditors; • SFC Type 1 business application. Focused on asset management compliance and private equities • Represented the Company in investors meetings and advised on potential investments. • Oversaw the account opening and due diligence; • Was responsible for setting up new offshore funds and liaise with fund managers, fund administrators, offshore lawyers and auditors; • SFC Type 1 business application.

Compliance Officer

• Mar 2017 - Feb 2018

Focused on brokerage and asset management compliance. • Performed KYC function, transactions and AML monitoring and assist in producing FRR report; • Handled SFC enquiries; • Handled licensing matters for corporations and individuals; • Maintained and enhanced internal compliance procedures and manuals • Money lender license application Focused on brokerage and asset management compliance. • Performed KYC function, transactions and AML monitoring and assist in producing FRR report; • Handled SFC enquiries; • Handled licensing matters for corporations and individuals; • Maintained and enhanced internal compliance procedures and manuals • Money lender license application

Trainee legal adviser China operation

• Oct 2015 - Mar 2017

Part of the China market expansion team led by the CEO • Assisted board of directors in establishing FO’s business in China; • Advised on project contracts awarded and China policy and green energy market development; • Carried out background and credibility checking on Chinese companies and clients; • Provided translation and project management services. Projects assisted include state-own enterprises from China. Part of the China market expansion team led by the CEO • Assisted board of directors in establishing FO’s business in China; • Advised on project contracts awarded and China policy and green energy market development; • Carried out background and credibility checking on Chinese companies and clients; • Provided translation and project management services. Projects assisted include state-own enterprises from China.

Legal Researcher

• Feb 2015 - Jun 2015

Part of the researching team for a price bidding service provider to carry out legal research and report writing, including contract and intellectual property. Areas include: • Intellectual Property • Restrictive Covenant • Law of Privacy Part of the researching team for a price bidding service provider to carry out legal research and report writing, including contract and intellectual property. Areas include: • Intellectual Property • Restrictive Covenant • Law of Privacy

Summer Student

• Aug 2013 - Aug 2013

In three weeks of training, I was given wide exposure in land conveyance practice through drafting mortgage agreement. I was also invited to attend client meeting and gained insight on client interviewing and negotiation technique. In three weeks of training, I was given wide exposure in land conveyance practice through drafting mortgage agreement. I was also invited to attend client meeting and gained insight on client interviewing and negotiation technique.

Summer Student

• Jul 2013 - Jul 2013

In four weeks of training, I was given wide exposure in drug possession, loan argument, land conveyance, and criminal offenses. I assisted in document preparation, note taking during court time and attended meetings with clients, people in custody, and convicted client. In four weeks of training, I was given wide exposure in drug possession, loan argument, land conveyance, and criminal offenses. I assisted in document preparation, note taking during court time and attended meetings with clients, people in custody, and convicted client.

Operational Specialist

• Jul 2012 - Aug 2012

I am able to understand the financial market structure, products nature, tax arrangement and to conduct financial research on matters which are previously unfamiliar to me. Worked with a wide range of tasks on daily basis, including trade settlement cross-checking and documents preparation, demonstrating high level of attention to details . Was also given ad-hoc projects such as updating worldwide tax arrangement manual, interviewing co-workers for reviewing and drafting work procedures, illustrating great people, organization and researching skills. Show less