Experience

Dymon Asia Capital

• Singapore
• Investment Management
• 100 - 200 Employee

• Director, Head of Business Compliance

  • Nov 2016 - Present

  I help meet compliance objectives by advising on all business compliance matters, including writing policies, procedures and manuals group-wide. I foster relationships with both internal and external stakeholders, keeping everyone informed throughout regulatory changes, building support and buy-in for compliance initiatives to continually strengthen the compliance culture. I continually monitor staff knowledge, proactively identifying and addressing gaps through coordinating and delivering training programs.



Cheyne Capital

• United Kingdom
• Investment Management
• 100 - 200 Employee

• Senior Compliance Associate

  • Jun 2013 - Oct 2016

  I helped to cultivate a positive and proactive culture by monitoring industry trends and updated company policies based on updates to the FCA Handbook. With a strong knowledge and understanding of regulatory requirements, I consulted with senior management to support compliance-based decisions. I helped to develop and manage a compliance monitoring programme for junior compliance officers. I reviewed presentations, newsletters, investor and operational due diligence questionnaires to ensure they were all clear, fair and not misleading.



Odey Asset Management

• United Kingdom
• Investment Management
• 1 - 100 Employee

• Compliance Analyst

  • Jun 2010 - May 2013

  Spearheading compliance with pre and post-trade investment guidelines for Odey Asset Management LLP funds, I ensured the entry of accurate funds' IMA/prospectus investment restrictions into the order management system. I mitigated company risks in protecting assets by using a third-party system for surveillance and management of the restricted list.I made many significant contributions that enhanced organisational compliance by reviewing sales processes, client agreements and terms of business for Odey Wealth Management (UK) Limited.



Barclays Wealth

• United States

• Compliance Analyst

  • Sep 2007 - May 2010