Cho Yan Chan
Midtown Toronto,ON
Summary
Detail-oriented Assistant Compliance Officer dedicated to improving policies and procedures in all business areas. Hardworking and driven with quality-focused and proactive approach. Bringing over 3 years of experience in Compliance industry.
Overview
9
9
years of professional experience
Work History
ASSISTANT COMPLIANCE OFFICER
UOB KAY HIAN (HK) LIMITED
01.2023 - 07.2023
- Performed periodic monitoring on general compliance, including post-trade monitoring, staff trade monitoring, monitoring on OTC investment products, compliance testing on securities, futures and stock option.
- Performed AML monitoring, including name screening, transaction monitoring and preparing suspicious transaction report (STR).
- Handled enquiries from Hong Kong Securities and Futures Commission (SFC) and Hong Kong Exchanges and Clearing House (HKEX), and provided required information to them.
- Developed and maintained internal compliance policies and procedures in alignment with latest regulatory requirements.
- Prepared training materials and conducted Continuous Professional Training (CPT) to licensees.
- Handled renewal of money lender license.
- Responded to employee inquiries regarding compliance regulations and procedures.
- Maintained up-to-date knowledge of current and emerging compliance regulations.
SENIOR COMPLIANCE ASSOCIATE
UOB KAY HIAN (HK) LIMITED
01.2021 - 12.2022
COMPLIANCE ASSISTANT
UOB KAY HIAN (HK) LIMITED
12.2019 - 12.2020
ASSISTANT, ASSET SERVICING (6-MONTH CONTRACT)
STANDARD CHARTERED BANK (HK)
05.2019 - 10.2019
- Handled and proceeded corporate action, including Rights, Cash offer, Share Consolidation, Privatization, Preferential offer and Proxy Voting.
- Performed cash & stock settlement, reconciliation.
CUSTOMER SERVICE EXECUTIVE (EMERGENCY TEAM)
KUONI GLOBAL TRAVEL SERVICES (UK) LTD
03.2018 - 09.2018
- Constantly handled over 50 inquiries a day via phone and email.
- Provided solution to travel agents for emergency cases or any other inquiries according to company's policies.
- Prioritized each cases to enhance efficiency.
- Developed and maintained working relationships with service suppliers and agents during problem solving.
- Escalated critical customer issues to supervisor immediately to avoid lost revenue.
PART-TIME CUSTOMER SERVICE ASSISTANT
THE HONG KONG AND CHINA GAS COMPANY LTD
09.2015 - 03.2016
SUMMER INTERN (FINANCE DEPARTMENT)
SAVILLS (HONG KONG) LIMITED
07.2014 - 09.2014
Education
Bachelor of Arts - Accounting
HONG KONG SHUE YAN UNIVERSITY
Hong Kong07.2017
Skills
- Internal Controls
- Compliance Reviews
- SOP Development
- Internal Policies Enforcement
- Investigations Skills
- Training and Presentations
Languages
English
Professional Working
Chinese (Cantonese)
Native or Bilingual
Chinese (Mandarin)
Full Professional
Scholarship
SCHOLARSHIP WINNER, HONG KONG SPECIAL ADMINISTRATIVE REGION GOVERNMENT, 2012, 2013, HONG KONG SPECIAL ADMINSTRATIVE REGION GOVERNMENT SCHOLARSHIP FUND HK$20,000
Timeline
ASSISTANT COMPLIANCE OFFICER
UOB KAY HIAN (HK) LIMITED
01.2023 - 07.2023
SENIOR COMPLIANCE ASSOCIATE
UOB KAY HIAN (HK) LIMITED
01.2021 - 12.2022
COMPLIANCE ASSISTANT
UOB KAY HIAN (HK) LIMITED
12.2019 - 12.2020
ASSISTANT, ASSET SERVICING (6-MONTH CONTRACT)
STANDARD CHARTERED BANK (HK)
05.2019 - 10.2019
CUSTOMER SERVICE EXECUTIVE (EMERGENCY TEAM)
KUONI GLOBAL TRAVEL SERVICES (UK) LTD
03.2018 - 09.2018
PART-TIME CUSTOMER SERVICE ASSISTANT
THE HONG KONG AND CHINA GAS COMPANY LTD
09.2015 - 03.2016
SUMMER INTERN (FINANCE DEPARTMENT)
SAVILLS (HONG KONG) LIMITED
07.2014 - 09.2014
Bachelor of Arts - Accounting
HONG KONG SHUE YAN UNIVERSITY
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