With over ten years of extensive experience at major financial institutions, brings a thoughtful perspective to put company's
interests first. Self-starter that enjoys a team-oriented approach recognized for complex problem solving.
Knowledgeable in regulatory requirements (e.g.
SEC, CFTC, APRA, ASIC, HKMA, SFC, MPF);
AML; KYC; proficient in Charles River, Microsoft Word, Excel, and PowerPoint.
Team building; exemplary work ethic; tight deadlines undertaking; impeccable integrity.
Investment Compliance ConsultantMay 2013 to Current Franklin Templeton Investments － San Mateo, United States
Supervise and train direct reports in managing the corporate compliance program.
Perform quality control analysis for derivatives, fixed income, and ETF trades.
Work closely with Legal department to establish internal policies to facilitate regulatory
Conduct risk assessments; recommend risk mitigation techniques and controls.
Collaborate with Client Consultants to ensure high levels of client service and
Senior Officer, Operational Risk and ComplianceJun 2010 to Apr 2013 National Australia Bank Limited － Hong Kong
Provide compliance advice to promote the bank's growth and development while helping
employees and the bank meet their regulatory obligations to preserve and enhance our
Review marketing materials and investor communications to ensure compliance with
relevant laws and regulations.
Conduct regulatory review and testing of the bank's policies and procedure.
Keep abreast of the latest AML developments and regulatory requirements.
Conduct AML/ KYC formality reports on questionable accounts and transactions.
Portfolio Compliance AnalystDec 2008 to Jun 2010 Franklin Templeton Investments (Asia) Limited － Hong Kong
Conduct pre-trade approval for all trades related to the company clients and trading
Monitor positions against investment parameters/ restrictions.
Report on investment compliance policies to various internal and external clients and
Senior Compliance AdministratorSep 2006 to Sep 2008 Cavendish Superannuation Pty Ltd － Adelaide, Australia
Process financial transactions and reconciliation of asset holdings and bank accounts for
both accumulation and pension funds.
Prepare official financial statements and tax returns documents.
Monitor fund legislative compliance.
Oversee training for changing regulations and audit requirements.
Research AssistantDec 2004 to Feb 2005 Hong Kong Baptist University － Hong Kong
Work with professor to perform project research and organize activities to promote problem-based learning.
Bachelor of Commerce2005University of South Australia － Adelaide, AustraliaGPA 4.462 (Completed with 2 Distinctions and 2 Credits)
2012 Member of CPA Australia Ltd
2005 Student Member of Taxation Institute of Australia
Superannuation Funds Course by Kaplan Education Pty Ltd
Book-keeping and Accounts (Second Level) by The London Chamber of Commerce and
Fluent in English, Cantonese, and Mandarin
Voluntary tutor for Healthy Cities Tutoring
Fund raising volunteer for Salvation Army
Activity organizer for Junior Police Call
Cooking (healthy diet with fresh ingredients) and traveling (to understand different cultures)