Experience

SinoPac Securities (Asia) Limited

• China
• Financial Services
• 1 - 100 Employee

• Assistant Manager - Legal & Compliance

  • Aug 2021 - Present



Midas Securities Limited

• Hong Kong

• Compliance Manager

  • Jul 2018 - Present

  Conduct KYC, AML and new account opening documents checking, review trade report, financial position, compliance reports regularly, handle licensing issues, staff dealing and CPT. Conduct KYC, AML and new account opening documents checking, review trade report, financial position, compliance reports regularly, handle licensing issues, staff dealing and CPT.



Thunder Capital Ltd. & Yu Tim Services Ltd.

• Sheung Wan

• Executive Secretary / HR Manager

  • Mar 2017 - Jul 2018

  Provide secretarial support to the management (CEO, COO, General Manager), handle HR and office administration duties, assist in compliance duties, handle license and CPT/CPD issues. Provide secretarial support to the management (CEO, COO, General Manager), handle HR and office administration duties, assist in compliance duties, handle license and CPT/CPD issues.



ADMIS Hong Kong Ltd.

• Quarry Bay, Hong Kong

• Executive Secretary

  • 2005 - Feb 2017

  Serve 5 department heads and Managing Director, business travel arrangement, handle office administration, assist in company secretarial, compliance, settlement and HR duties. Serve 5 department heads and Managing Director, business travel arrangement, handle office administration, assist in company secretarial, compliance, settlement and HR duties.