Supervisor

• Mar 2023 - Present

- Supervised and coached the subordinates – 4 subordinates - Performed AML/CDD/KYC process for corporate/private equity fund/family trust/FI/nominee company clients - Provided advices to fund manager and their clients on AML/CDD/KYC/CRS - Prepared CRS Report for fund managers - Handled AML system (SAS) enhancement project - Managed and reviewed daily name screening and transaction monitoring screening reports - Performed periodic review for Profession Investors and high risk clients Show less

Senior Manager

• Dec 2022 - Mar 2023

- Performed AML/CDD/KYC process for high net worth individual/corporate/private equity fund/family trust/FI clients - Performed periodic review for Profession Investors and high risk clients - Provided advices to front office colleagues - Participated in system enhancement projects such as HKIDR and middle office system - Performed AML/CDD/KYC process for high net worth individual/corporate/private equity fund/family trust/FI clients - Performed periodic review for Profession Investors and high risk clients - Provided advices to front office colleagues - Participated in system enhancement projects such as HKIDR and middle office system

• Oct 2017 - Sep 2022

- Acted as the Head of Client Onboarding Department- Supervised and coached the subordinates – 4 to 6 subordinates- Monitored and performed AML/CDD/KYC process for new high net worth individual/corporate/private equity fund/family trust/FI clients- Managed AML screening system and reviewed daily AML screening reports- Performed periodic review for High risk clients/ clients with suspicious fund movement- Reviewed and updated different type of account opening documents and client’s agreements- Reviewed clients’ FATCA/CRS status and submitted reports to IRD- Handled different types of standing authority renewal letters- Provided training and advices to front office colleagues- Handled enquires from auditors/HKEX/SFC- Worked closely with Compliance department to review compliance and AML policy- Managed clients’/AEs’ commission, rebate and credit line setting- Handled and monitored stocks/futures margin ratio setting- Managed cost controlling system and different Real Time Quote system including AA Stock, MegaHub, TradeGo and ET Net- Worked closely with IT department to enhance online account opening system and back office system including ET Trade, Ayers, eBroker, SharpPoint, Netcast and MT4 system Show less

• Oct 2016 - Oct 2017

- Performed AML/CDD/KYC process for new corporate/fund/trust/individual clients- Performed periodic review for active clients- Handled different reports about unusual or suspicious fund movement- Reported promptly any suspicious cases of money laundering or terrorist financing- Ensured account opening process is in compliance with statutory requirements and AML policy

• Aug 2006 - Aug 2016

- Acted as a Branch Manager of Securities Service Centre – Tsuen Wan- Supervised and coached the subordinates - 3 to 5 subordinates- Performed AML/CDD/KYC process for new corporate/individual/trust clients- Performed periodic review for high risk/active clients- Performed day-end reconciliation of securities transactions- Monitored margin call and reviewed credit line of margin clients- Managed corporate actions instructions from clients- Reviewed clients’ transaction and fund movement- Reported any unusual/suspicious cases of money laundering or terrorist financing- Ensured the operations are in compliance with statutory requirements and AML policy- Maintained good relation with valued clients- Handled enquiries and complaints cases Show less

• Dec 2005 - Aug 2006

- Handled securities transactions by phone and over the counter- Performed account opening- Handled corporate actions instructions from clients- Handled enquiries