RISK MANAGEMENT AND CORPORATE GOVERNANCE
About
30 years of international experience in financial services working for major global banks in Hong Kong, UK and Switzerland. Roles include most recently APAC Chief Risk Officer, providing independent oversight on risk, control and governance frameworks. Experience in governance, new business implementation, project management, reorganization and change management, cost reduction and earlier in the career as product specialist in structured products and equity derivatives.
Relevant Work Experience
CRO APAC/CRO WM APAC, MANAGING DIRECTOR, UBS AG, HONG KONG
- Providing risk oversight for the APAC region as part of the regional executive team. Risk oversight includes all risk categories (financial risk, operational risk and compliance).
- Participating in various regulatory inspections and reviews. In addition, dealing with external and internal auditors on various risk questions.
- Managing various governance committees, including regional risk oversight committees for various businesses and ALCO. Ensuring all risks are identified and properly managed according to the agreed risk appetite.
- Driving the people agenda and implementing the risk control strategy in the region.
COO APAC EQUITIES, MANAGING DIRECTOR, BARCLAYS CAPITAL ASIA, HONG KONG
- Part of the leadership team, setting strategic direction and execution of the business strategy across the region for the Asia equities business.
- Day to day running of the operational side of the equity business (cash equity, equity derivatives and prime) across the APAC region.
- Managing the governance framework for the business, including risk review measures (RWA, Risk framework).
- Dealing with HR issues, talent management, hiring decisions, performance management and related issues. Made key hires and redeployments of staff.
- Incident management: dealing with conduct and operational risk issues.
- Leadership of key project implementation for new business, change initiatives and cost reduction initiatives.
- Managing a major re-organization, closure of the cash equity business.
BUSINESS DEVELOPMENT/HEAD OF PLATFORM & INVESTOR PRODUCT STRUCTURING, STANDARD CHARTERED BANK, HONG KONG
- Defining the strategy and business requirements for the expansion of the equity financing business for the bank.
- Responsibility for the equity treasury department. Setting up and managing funding processes and controls across the equity business.
- Responsibility for RWA and related regulatory requirements for the equity business. Deep dive into RWA usage to understand the methodology, resulting in significant RWA savings.
- Developing a variety of new initiatives such as establishing the control and governance framework for the fund derivatives business and customized solutions for corporate equity derivatives.
EARLIER ROLES
- Structured product development equities/equity derivatives, Merrill Lynch, Hong Kong
- Valuation Risk Management, Merrill Lynch, Hong Kong
- Asian Equity Derivatives: Sales & Trading, Merrill Lynch, Hong Kong
- Trader European Equity Derivatives, Merrill Lynch, Zurich/London
Qualifications
- FT Non-Executive Director Diploma
Regulatory Licences (Former)
- Designated Hong Kong regulatory risk manager
- SFC Type 1, 2, 4, 6 & 7
- FINRA Series 3 & 7