Proficient in relevant laws, regulations and guidelines of regulatory institutions.
Utilisation of advanced compliance management tools and technologies.
Professional Track Record:
Worked in well-known enterprises such as Orient Securities International, COFCO Capital, Zhongtai Financial, and CCB International, with over 20 years in compliance and risk-controlling for various brokers and banks.
Set up and executed compliance and internal control policies and procedures, ensuring business operations complied with all relevant laws, regulations and guidelines.
Handled enquiries, letters and licensing for regulatory institutions, continuously monitored the supervised activities of licensed corporations, including anti-money laundering, KYC, employer transactions, etc.
Provided advice to management and business departments on compliance problems in daily operations and new business, addressed compliance risks and recommended relevant measures.
Maintained sustainable training records and provided compliance training.
Chinese (Traditional)
Chinese (Simplified)
English (UK)