PETER CHONG CHIU POON
Richmond,Canada
Summary
Solid experience in wealth management, banking, insurnace and securities operations, managing and reducing risk. Able to work under pressure and with strong passion to work in a multi-cultural environment
Overview
26
26
years of professional experience
1
1
Certification
Work History
Operations Specialist
Royal Bank of Canada
10.2024 - Current
- Company Overview: Business Risk Monitoring & Solutions, Personal and Commercial Banking
- Process various complex transactions into RBC systems with established service quality standard
- Resolve issues with related counterparties in corporate team to ensure transactions aligned with the company services standards and guidelines
- Conduct client investigations and escalate to management for any potential issues of the syndicated loan application
Associate Compliance Operations Analyst
Royal Bank of Canada
04.2024 - 09.2024
- Company Overview: Business Risk Monitoring & Solutions, Personal and Commercial Banking
- Conduct end to end control performance activities with the purpose of closing the issue of the credit facilities process
- Ensure timely resolutions to control performance efforts which directly support the credit products
- Support the migration and branch restructuring projects to ensure smooth transition with the consideration of customer experience
Analyst, Sales Quality Insight
HSBC Canada
01.2023 - 03.2024
- Company Overview: Chief Control Office, Wealth and Personal Banking
- Conduct control monitoring to ensure sales staff are providing customer with a fair outcome in line with the Global Minimum Sales Quality Standards
- Through document review, customer outreach and mystery shopping on both Personal Banking Investment sales process to ensure the proper business requirements and regulatory duties are followed by sales staffs
- Provide simple to complex analysis on sales quality issues/ trends affecting the sales team to facilitate the enhancement of branch sales platforms in fulfilling the Regulatory Requirement and Group Standards
Operations Specialist II
HSBC Canada
04.2022 - 01.2023
- Company Overview: Digital Business Services Operations
- Complete the complex processing, operational, servicing and/or accounting-related duties in support of the mortgage business
- Resolve the issues as required and refer unusual problems to higher levels
- Reconcile and balance accounts, verify accuracy of computation and resolve discrepancies
- Maintain appropriate records of activities; prepare daily worksheets and reports as necessary
- Ensure activities comply with pertinent internal standards and external regulations
Senior Sales Quality and Quality Assurance Manager
HSBC Broking Services (Asia) Ltd
10.2019 - 06.2020
- Company Overview: Sales Quality & Trade Monitoring, Chief Operating Office
- Manage and oversight a team of Sales Quality Managers on the daily regular review, checking and complaint investigation in HSBC Broking Services
- Responsible for developing and implementing the HSBC Broking Services Sales Quality Framework and Customer Response Handling Guidelines which are central to enhancing HSBC Broking Services' controls on client trades to mitigate risks such as mis-selling, trade errors, frauds, other improper activities etc
- Design, enhance and manage regular reports to benchmark the performance and effectiveness of Sales Quality and Complaints handling controls to senior management in a timely manner through the governance forums
- Participate in the discussion with other Area Management Head Office Hong Kong and Asia Pacific subject matter experts in the development of Sales Quality initiatives, take ownership of Sales Quality policies and guidelines within HSBC Broking Services
Manager, Sales Quality Implementation and Reinforcement
HSBC Retail Banking and Wealth Management (RBWM)
08.2014 - 10.2019
- Company Overview: Sales Quality Assurance Department
- Manage and oversight a team of Sales Quality Assurance Managers on the daily regular review, checking and complaint investigation
- Regular meetings with different line managers and senior Sales Quality Assurance Managers to formulate strategies and improvement initiatives on the checking and the complaint investigation process
- Direct liaison with and assistant to Business Partners include Operations, Compliance, Sales Team in executing quality control measures
- Liaise and collaborate with different business units to design, review and unify the operation and system workflow for Digital Investment platforms as well as branch sales platforms in fulfilling the Regulatory Requirement and Group Standards
- Take in charge of different reinforcement projects and channels to assist the sales force in understanding the key changes of the process / requirement
Manager, Sales Quality Implementation
HSBC RBWM
12.2008 - 07.2014
- Company Overview: Sales Quality Assurance Department
- Conduct regular review and checking on both Personal Banking Investment and Insurance sales process to ensure documents, callbacks, regulatory activities and all investment suitability criteria are met by RBWM sales staffs
- Conduct sales quality training, workshop, and coaching to existing sales staff in order to ensure all are well-versed with the quality sales process
- Investigate sales-related customer complaints and make recommendation on disciplinary action required (if any) and prevention suggestions to senior management
- Provide support on ad hoc thematic review and take in charge of the reinforcement platform on intranet
Premier Relationship Manager
HSBC RBWM
01.2008 - 11.2008
- Company Overview: Central HSBC Premier Centre
- Manage a portfolio of 450 Premier customers with total asset over HKD230M and establish and grow valuable long term relationship with Premier customers
- Provide wealth management solutions such as structured deposits, equity-linked investment, unit trust, etc to the sophisticated and high-net-worth customers and closely monitor the performance in order to maintain the relationship and to anchor for further business
- Assisting Branch Manager in various sales and service incentives to ensure the team can achieve overall Insurance & Investment targets and Service standard
- Maintain the highest level of investment and audit compliance
Financial Planning Manager
HSBC RBWM
04.2003 - 12.2007
- Company Overview: Central HSBC Premier Centre
- Provide comprehensive financial planning service to high-net-worth customers and grasp all up-selling and cross-selling opportunities of all Insurance & Investment, banking products and services
- Assist Division Sales Manager in Formulating strategy sales plan and programs for the sales team
- Members of Million Dollars Round Table (MDRT Membership – 2002, 2004, 2006 and Court of the Table Membership – 2003, 2007 Top of the Table Membership – 2005)
Operation and Account Trainee
Geologistics Ltd
09.1998 - 03.2001
- Provide support in import and export operation for China Hong Kong land cargo transportation and air freight
- Provide effective and accurate accounts booking transactions
- Communicate and liaise with airfreight and sea freight debtors in collecting account receivables
Education
Bachelor of Finance -
City University of Hong Kong
01.1998
Form 1 - Form 7 -
Wan Yan College
01.1995
Skills
- Self-motivated
- Well-organized
- Management skills
- Analytical skills
- Knowledge of investment
- Banking products
- Operations
- Compliance guidelines
- Local regulatory standards
- Wealth management
- Banking operations
- Securities operations
- Risk management
- Passion for multi-cultural environment
Relocation
Vancouver, 08/01/20
Languages
English
Full Professional
Chinese (Cantonese)
Native or Bilingual
Chinese (Mandarin)
Full Professional
Certification
- Passed the BC Agent/Broker Level 1 Exam (The Insurance Institute of Canada) in Feb 2022
- Obtained General insurance salesperson level 1 licence (Insurance Council of BC) with C&D Insurance Services Ltd
- CFP (Certified Financial Planner) Certification holders (in HK, from 2005 to 2014)
Timeline
Operations Specialist
Royal Bank of Canada
10.2024 - Current
Associate Compliance Operations Analyst
Royal Bank of Canada
04.2024 - 09.2024
Analyst, Sales Quality Insight
HSBC Canada
01.2023 - 03.2024
Operations Specialist II
HSBC Canada
04.2022 - 01.2023
Senior Sales Quality and Quality Assurance Manager
HSBC Broking Services (Asia) Ltd
10.2019 - 06.2020
Manager, Sales Quality Implementation and Reinforcement
HSBC Retail Banking and Wealth Management (RBWM)
08.2014 - 10.2019
Manager, Sales Quality Implementation
HSBC RBWM
12.2008 - 07.2014
Premier Relationship Manager
HSBC RBWM
01.2008 - 11.2008
Financial Planning Manager
HSBC RBWM
04.2003 - 12.2007
Operation and Account Trainee
Geologistics Ltd
09.1998 - 03.2001
Form 1 - Form 7 -
Wan Yan College
Bachelor of Finance -
City University of Hong Kong
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