General ~ Huxley Banking and Finance is a world-leading, human capital consultancy firm that designs and manages market-leading recruitment solutions for businesses across APAC and beyond.  Projects ~ As the senior compliance consultant within the banking and finance team, I am responsible for overseeing and working with 1 junior consultant in conducting full spectrum recruitment process, along with imparting my previous compliance experience and knowledge to my subordinates as well as keeping my clients updated on current market trends and regulatory news. My specialist markets include: Compliance Licensing Know You Client (KYC) / Anti-Money Laundering (AML) Anti-Bribery Counter Terrorist Financing (CTF) Client On-Boarding Client Due Diligence Transaction Monitoring Trade Surveillance Control Room

General ~ Connected Group is a boutique recruitment company headquartered out of Hong Kong with offices in Shanghai and Singapore  Projects ~ As the principal compliance recruitment consultant, I am responsible for the whole 360 recruitment process, currently working on several projects with my clients in the compliance field; In addition to liaising with candidates, I actively perform BD calls to new and existing clients on a regular basis.

Argyll Scott International is a boutique executive search headquartered out of the United Kingdom with offices in Hong Kong, Singapore. We are a selection firm focused on recruiting C&I and Financial Services individuals including Risk and Compliance.;  Projects ~ Successfully built up the compliance desk from scratch within 2 months of starting, currently having 250+ candidates and numerous clients in several top-tier firms with several active roles;

• General~ Aquis Search is a boutique executive search and selection firm focused on recruiting Legal, Risk and Compliance professionals.; • Projects ~ Undertake special projects and assignments and provide research support to the managing director including computerized research, analysis of documents and other information-gathering as needed; • Compliance ~ Researching up to date information regarding the rules and regulations of the SFC and HKMA as to inform potential candidates, particularly in the field of KYC,AML,OPRM & Control Room; • Project ~ Successfully completed the full recruitment & consultancy process with a number of clients & candidates, having placed 3 candidates in some of the biggest IB/CB’s in the world ;

• Responsible for KYC and AML protocol • Reporting daily to the Manager and department heads regarding any compliance issues. • Participated and helped in creating new guidelines regarding the implementation of the branch Firewall • Provided training and guidance to junior level staff. • Provided guidance and directions for special back-end reviews • In-depth knowledge of relevant rules and regulations, codes of conduct, regarding SFC, FACTA, FCPA & UK Bribery act • Lease with FSA regarding the implementation and progress of compliance audits • Due Diligence work on the far east market investors as per SFC regulations • Created a comprehensive training manual for junior employees • Defined and performed compliance assurance reviews • Perform checking on name matches for Sanctions, PEP, RCA & SIP cases and advise business and support units on AML/KYC issues. • Participated in Dodd Frank CFTC review, especially on Swaps External Business Conduct and reporting requirements on various transaction types and asset classes • Prepare and review Securities and Futures Commissions (SFC) related documents, for example, Financial Resources Return (FRR), Account Disclosure Document (ADD), to ensure compliance with relevant rules.

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