Summary
Overview
Work History
Education
Skills
LANGUAGES
Interests
Timeline
Generic

Jimmie Ng

Toronto,Canada

Summary

Regulatory compliance, governance, and risk management professional with 25+ years of experience in the financial services industry, including 7 years as a financial regulator, 18 years in banking and consultancy. Expertise in Regulatory Compliance Management (RCM) Framework, Monitoring & Testing, Risk Control Self-Assessments (RCSA), issue management, breach reporting, and regulatory filings. Proven track record partnering with teams across Asia, Europe, and the US to ensure operations align with regulatory requirements and risk appetite.

Overview

32
32
years of professional experience

Work History

Business Owner

J2D Trading Limited, PE
01.2022 - Current
  • - Established export business with an operational and risk control framework that passed CFIA audit with no findings.
  • - Developed compliance procedures for product quality, regulatory requirements, and risk appetite adherence.
  • - Managed supplier, importer, and regulatory relationships ensuring governance and monitoring processes were in place.

Lead Product Consultant

Bretteville Consulting
02.2021 - Current
  • - Delivered regulatory and compliance projects for asset managers and banks, including cross-border fund distribution and operational process improvements.
  • - Collaborated with compliance teams to align product launches with jurisdictional regulatory standards.

Fund Consultant

Standard Chartered Bank – Allegis Global Solutions Limited
07.2020 - 12.2021
  • - Supported regulatory approvals for acquisition of Mandatory Provident Fund (MPF) business.
  • - Coordinated due diligence and risk assessments to ensure operational integration aligned with compliance standards.

Regional Head of Fiduciary and Fund Services, Greater China & North Asia

Standard Chartered Bank
01.2017 - 04.2020
  • - Directed fiduciary and fund services across multiple markets, implementing risk models with enterprise risk teams.
  • - Led operational loss event analysis, remediation, and control testing to meet Monitoring & Testing Standards.
  • - Managed compliance inventories and ensured adherence to RCM program requirements in partnership with governance teams.

General Manager of Fund Trustee Services

Standard Chartered Trust (Hong Kong) Limited
11.2015 - 04.2020
  • - Oversaw daily trustee operations including fund valuation validation, RCSA execution, breach reporting, and issue management.
  • - Maintained compliance policies, high-quality process documentation, and conducted monitoring/testing of controls for regulatory requirements and fund charters.
  • - Liaised with regulators to ensure alignment with evolving compliance standards.

Director, Regional Fund Services Product

BNP Paribas Securities Services
09.2013 - 10.2015
  • - Developed compliance and reporting frameworks for UCITS funds in Asia.
  • - Product champion of FATCA/CRS services and established distribution support models compliant with regional regulations.

Vice President, Regional Fund Solutions Product

Brown Brothers Harriman
09.2011 - 08.2013
  • - Expanded fund services offerings, ensuring operational processes met cross-border compliance requirements.

Head of Fund Services / Director

Citibank NA / Cititrust Limited
03.2008 - 08.2011
  • - Directed trustee and fund administration operations, sat on trustee board, and oversaw compliance with risk appetite and fiduciary duties.
  • - Developed RCSA processes and monitoring controls for multiple jurisdictions.

Trustee Compliance Officer

Cititrust Limited
08.2006 - 02.2008
  • - Conducted monitoring and testing, issue management, breach reporting, and regulatory filings for investment funds.

Manager

Mandatory Provident Fund Schemes Authority, Hong Kong (Hong Kong Pension Regulator)
08.1999 - 07.2006
  • - Oversaw compliance of three major MPF trustees and over 120 investment funds.
  • - Led legislative amendment projects to strengthen regulatory oversight.

Executive Officer / Management Services Officer

Hong Kong Government
06.1993 - 07.1999
  • - Led process re-engineering and efficiency reviews for multiple government departments.

Education

Master of Laws (LL.M) - Corporate & Financial Law

University of Hong Kong

Bachelor of Laws (LL.B) - undefined

University of London

Bachelor of Social Sciences - Economics & Finance

University of Hong Kong

Skills

  • Attention to detail
  • Driven and determined
  • Relationship building
  • Work Planning and Prioritization
  • Business planning
  • Employee training
  • Team collaboration and leadership
  • Project management
  • Business development
  • Strategic Decision-making
  • Process improvement
  • Vendor relationship management
  • Regulatory compliance
  • Consulting
  • Contract management
  • Corporate governance
  • Change management
  • Verbal and written communication
  • Proficient in Microsoft Office 365, Visio, TEAMS

LANGUAGES

English (Fluent)
Full Professional
Mandarin (Fluent)
Full Professional
Cantonese (Native)
Native or Bilingual

Interests


  • I enjoy sketching and drawing, listening to gospel music, and reading which helps improve my creativity and attention to detail;
  • I also enjoy outdoor activities such as skiing, scuba diving, and travelling to different countries to see the world from different perspectives

Timeline

Business Owner

J2D Trading Limited, PE
01.2022 - Current

Lead Product Consultant

Bretteville Consulting
02.2021 - Current

Fund Consultant

Standard Chartered Bank – Allegis Global Solutions Limited
07.2020 - 12.2021

Regional Head of Fiduciary and Fund Services, Greater China & North Asia

Standard Chartered Bank
01.2017 - 04.2020

General Manager of Fund Trustee Services

Standard Chartered Trust (Hong Kong) Limited
11.2015 - 04.2020

Director, Regional Fund Services Product

BNP Paribas Securities Services
09.2013 - 10.2015

Vice President, Regional Fund Solutions Product

Brown Brothers Harriman
09.2011 - 08.2013

Head of Fund Services / Director

Citibank NA / Cititrust Limited
03.2008 - 08.2011

Trustee Compliance Officer

Cititrust Limited
08.2006 - 02.2008

Manager

Mandatory Provident Fund Schemes Authority, Hong Kong (Hong Kong Pension Regulator)
08.1999 - 07.2006

Executive Officer / Management Services Officer

Hong Kong Government
06.1993 - 07.1999

Bachelor of Laws (LL.B) - undefined

University of London

Bachelor of Social Sciences - Economics & Finance

University of Hong Kong

Master of Laws (LL.M) - Corporate & Financial Law

University of Hong Kong
Jimmie Ng