Experience

PIVOT Fintech

• Singapore
• Investment Management
• 1 - 100 Employee

• Business Risk Manager

  • Feb 2021 - Present

  • Review internal compliance and operational policies and procedures. • Support operations for digital investment services. • Compliance requirements for private wealth products and services, servicing and onboarding for HNW clientele. • Manage risks for IT manager and team on digital investment services platform enhancements. • Due diligence assessments for outsourcing and other service providers. • Facilitate financial reporting and MAS regulatory and licence maintenance requirements. • Due diligence on new and existing staff for annual Fit & Proper verifications. • Assist CEO with company internal and external audits and liaising with counterparts. Show less



VCG Partners Pte Ltd

• Singapore

• Compliance Officer

  • Apr 2018 - Sep 2022



finexis Asset Management Pte. Ltd.

• Singapore

• Compliance & Operations Officer

  • Jun 2015 - Apr 2018

  Facilitated application and approval of Registered Fund Management Company (RFMC) status with MAS. • Drafting compliance procedures, risk management processes; outsource due diligence assessments; “pre” and “post” trade compliance rules; personal account dealing approvals; AUM tracking and reporting; regulatory submissions; FATCA/CRS checks. • BCP testing and documentation of results. • Consulting lawyers on PPMs, subscription forms, resolutions and constitutional document revisions. • Developing procedures for products and services; AML/client on-boarding. • Pre- and post-trade compliance checks; trade execution, risk management reporting. • Arranging / engaging in semi-annual board meetings for offshore fund. • Engaging with trade brokers, system vendors, fund administrator, custodians, external auditor, tax advisors, potential counterparties and regulators. Show less



finexis advisory (HK) Limited

• Hong Kong
• Financial Services
• 1 - 100 Employee

• Senior Investment Analyst

  • Oct 2014 - Jun 2015

  Prepared macro review and market outlook reports for local staff to use in preparation for their meetings with high net worth client prospects. • Provided research and analysis on Investment Linked Products (ILPs), unit trusts and structured products for Hong Kong local office. Prepared macro review and market outlook reports for local staff to use in preparation for their meetings with high net worth client prospects. • Provided research and analysis on Investment Linked Products (ILPs), unit trusts and structured products for Hong Kong local office.



CIMB-Principal Asset Management Berhad

• V.P., Funds Management

  • Jun 2013 - Sep 2013

  Facilitated various compliance monitoring, collation and reporting requirements of entire Fund Management department for forwarding to company’s compliance department. • Assisted in compliance and business unit needs for external system vendor upgrade project (e.g. Charles River System (CRS)). • Edited client Investment Management Agreements; presented performance reports and investment operations updates in extensive detail at comprehensive Investment Committee (IC) meetings. • Oversaw Portfolio Analytic team's performance analysis and risk attributions reporting. • Contributed value add market insights at monthly Investment Strategy Group Meetings. Show less



CIMB Securities (Singapore) Pte Ltd

• 50 Raffles Place, 16th Floor, Singapore

• V.P., Discretionary Investment Unit

  • Nov 2002 - May 2013

  Managed discretionary portfolios and helped set-up Company’s first unit trust fund (working with lawyers, trustees, custodians), contributing to significant growth of Wealth Management unit’s AUM. • Performed funds/ILPs due diligence, maintained internal recommended funds list and related research, investment newsletters in support of adviser reps. • Provided regular market updates, portfolio strategy sessions to financial adviser reps. • Supported adviser reps.’ in sales efforts via individual / corporate prospect presentations and proposals. • Served various compliance roles, including reviews of fact find form submissions, compliance matrix drafting and testing (i.e. testing Investment Unit’s compliance with relevant regulations). • Conducted training for new financial adviser reps. on investment concepts and compliance guidance on content requirements for client fact find forms. Show less



Investamatic International Pte Ltd

• Bharat Building, 9th Floor, Singapore

• Strategic Research Manager

  • Jan 1996 - May 2002

  Prepared market studies / articles for account executives’ institutional sales efforts. • Contributed valuable ideas for investment software enhancements, assisting in retail and institutional sales. • Conducted regular product sales demonstrations and educational seminars, aiding sales and solidifying client loyalty. • Served as liaison with local media, promoting Asian equities data software brand. • Helped raise firm's client servicing reputation with professional response to day-to-day database queries and useful research methods Show less