- Working as a consultant on various compliance project with clients in the online video gaming, crytocurrency and consulting industry. - Worked as a SEO to increase the google surfing hits rate for a financial articles website.

Indosuez Wealth Management | Apr 2022 - Dec 2022

KYC Analyst

- Reviewed and identified any deficiency in client documentation for the bank's periodic review of its customer accounts across the Hong Kong, Singapore and Switzerland offices (HQ) - Mapping of compliance outcome and client writeup profile to escalate any inconsistency or AML regulatory issue. - Guided and liaised with RM in SOF and SOW corroboration documentation. - Assisted in the client onboarding process from newly joined RMs from other PBs. - Assisted the DOBA team in the retrieval of client documentation for completion of periodic annual review of high-risk client accounts under AML regulatory and internal audit requirements.

HSBC | Sep 2020 - Jan 2022

Assistant Manager - FCC- Major Investigations (ASP)

-Successfully mitigated the financial crime risk from the bank for over 30+ STR filed corporate and retail client involved in handling money laundering crime proceeds from insider trading, fraudulent trade practices and bribery & corruption etc. - Clearance of a backlog of production orders involving victims or suspects in search warrants from one of the LEAs : ICAC, SFC or the police force. - Mitigated the bank's risk by performing an analytic review of past client transactions in question and making a decision of whether to raise an STR with JFIU. - Writing investigation reports and performing due diligence search using Worldcheck, negative news search, pivot table and sanctions screening. - Made cross-border referral and referral for actions (RFAs) for suspicious STR-filed clients (including CSEM, KYC/CDD referral) and proposed remedial Internal control weakness. - On assignment to Triage team for reviewing fraud & PO cases intake.

Galileos Limited | May 2020 - Sep 2020

Compliance officer (MLRO)

Galileos is a subsidiary company of a group in the B2B payment gateway service provider based in Mauritius. The group has more than 11 years of history in serving merchants within the EU and CIS countries with offices in Mauritius, Armenia and Israel.

Silver Star Tax Representative Ltd | Nov 2019 - Apr 2020

Compliance Consultant

- Advisory work on AML/CFT compliance projects for a trust, corporate service providers (TCSPs) regulated under Hong Kong Company Registry. - Drafted and reviewed company policies and procedures based on the client business requirements. - Conducted Institutional risk assessment in light of new onboarding SME Japanese clients. - Recommended appropriate PEP and sanction screening software for checking UBO, directors and shareholders. - Presented AML training material for regulatory update to senior management. - Obtained e-cert for application of STREAMS with JFIU

Hang Seng Bank | Nov 2017 - Sep 2018

Assistant RBWM Global Standards Manager

- Identified and reported the findings of suspicious retail banking and credit card account activities in relation to EDD and Post SAR customers with particular emphasis on AML, CFT, sanctions and PEP status (using World check) according to the Global Standards of the HSBC Group and the Common Reporting Standard (CRS). - Escalated UAR and RFI in due course and reported suspicious findings to FCC.

JCK & Associates Ltd | Feb 2015 - Jan 2017

Manager

Omnis Ltd is an associated company within the JCK Group, the investment manager for a BVI incorporated fund manager with AUM over US$130 million, investing primarily in private equities, hedge fund and global real estate investments. Omnis Ltd performed fund administration and investment evaluation on behalf of an accredited investor. Liaise with accountants (Ernst & Young) in annual audit, handle regulatory fund compliance and tax issues as a NFFE under FATCA. In additional, managed fund capital call and distributions. Prepared regular monthly and quarterly performance reports to beneficiaries and trustees. Handled FATCA /CRS compliance in relation to overseas fund investment.

Manulife Hong Kong | Jan 2014 - Jan 2015

Financial Planning Officer

• Performed Financial Risk Assessment for potential customers. • Advised and generated solutions for clients on Asset Protection and Retirement Planning in particular MPF and other Authorized funds.

CP Homes LP | Jan 2013 - Dec 2013

Investment Officer

A US private equity fund with an AUM of US$ 75 M primarily invested in the US and China Assisted Living Homes properties. Evaluated investment opportunities in the US capital market and assisted in the financing arrangement of the company. All Property projects will derive a rental income from leasing to the seniors. Intended to do fund-raising through a REIT IPO or a property developer in one of the Asian Exchange within a suitable time frame. Investors are primarily from US EB-5 immigrant program

Wearbest Garment Mfg Co Ltd | Sep 2011 - Oct 2012

Senior Investment Officer

Managed and monitored the performance of a full asset class of investments on behalf of a family trust (professional investor category under SFC Rules) and coordinated with private bankers and fund managers in the investment advisory industry. Give investment recommendations to the trust investment committee on asset allocation and evaluated fund manager performance with discretionary accounts.

VBG Capital Ltd | Feb 2009 - Jan 2011

Corporate Finance Manager

Acted as a Hong Kong SFC licensed representative (Type 6 - Corporate Finance) to give financial advisory and IPO sponsorship advice to Hong Kong and Canadian listed companies. Handled corporate transactions primarily in the resources and mining sectors, telecom and Chapter 21 financial services listed companies.

Greentree Financial Group | May 2007 - Dec 2008

Financial Advisor

- A financial advisor to Chinese private enterprises that wish to pursue a listing in an US-based exchange and post reverse merger consultation services. Prepared US regulatory filings of SEC documentation for US listed entities. - Advised on the Accounting Standards conversion and presentation.

A Kreston International member firm | Jan 2005 - Dec 2006

Auditor

Performed statutory audit and review of US-listed enterprises with operations in the PRC.

My Education

Take a look at my formal education

MBA, Finance & Strategic Management in FinanceSchulich School of Business - York University | 2000

B Comm (Honor), Finance in FinanceUniversity of Ottawa / Université d'Ottawa | 1997

Bachelor’s Degree, Economics in EconomicsUniversity of Manitoba | 1991

High School, General Studies in Grade 12St John's Ravenscourt School | 1989

About Me

A Canadian chinese with banking and accounting background and experience is seeking a database management type of position with a leading multinational company.

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