Swan Lau
Calgary,AB
Summary
Detail-oriented individual with exceptional communication and project management skills. Proven ability to handle multiple tasks effectively and efficiently in fast-paced environments. Recognized for taking proactive approach to identifying and addressing issues, with focus on optimizing processes and supporting team objectives.
Overview
24
24
years of professional experience
Work History
Baker
Real Canadian Superstore
07.2024 - Current
- Baking all the in house bake products
- Generate report for product plan production
Bakery Utility Clerk
Calgary Co-operative Association Limited
10.2022 - 07.2024
- Baking breads, buns, pastries, and all in house baking products
- Handle inquiries from customers as well as the co-workers about bakery
- Handle cake and bread orders
- Fill up the bread to the rack and display neat and tidy for the department
Responsible Officer
Lead Securities (HK) Limited
03.2017 - 07.2022
- Responsible for setting credit limits, provisioning, scenario testing for clients
- Responsible for reporting deviation from set limits
- Responsible for reporting stock margin ratio, exposures, and concentrations
- Handle account opening process
- Ensure operation efficiency and legal compliance by continuously reviewing overall practice of the firm
- Execute trading instructions on Hong Kong stock market (HK stock market)
- Handle all kinds of enquiries and complaints from sales and clients
- Manage Initial Public Order (IPO) deal and follow up the placement projects
- Assist in license application for sales and correspondence with Securities and Futures Commission
Business Development Director
Zhongtai International Management Limited
05.2016 - 02.2017
- Responsible for team building, keep good relationship with sales
- Keep good relationship with Institutional Investor
- Execute trading instructions on HK and global stocks market as well as HK and global commodities
- Co-ordinate for placement orders with Equity Capital Market (ECM) team
Associate Director, Private Clients Division
Zhongtai International Management Limited
07.2015 - 04.2016
- Responsible for product development, such as Discretionary Services for Asset Managers, Mutual Fund and Stock Options Business, work closely with compliance department, dealing department, credit department and back office to ensure the implementation of the new products
- Manage the team with over 50 Account Executive to ensure operation efficiency and legal compliance by continuously reviewing overall practice of the team
- Co-ordinate for placement orders with ECM team
- Responsible for filtering the credit requests from sales team and clients
- Execute trading instructions on HK and global stocks market as well as HK and global commodities
- Handling all kinds of enquiries and complaints from sales team and clients
- Work closely with compliance department to organize Continues Professional Training (CPT) course
Business Development Manager
Quam Securities Company Limited
11.2010 - 07.2015
- Establish the Discretionary Services for Asset Managers, work closely with compliance department, dealing department, credit department and back office to ensure the implementation and daily operations is fully complied with regulations
- Product Development on Mutual Fund Business, work closely with compliance to ensure the operation flow is fully complied with regulations
- Manage the team with over 100 Account Executive to ensure operation efficiency and legal compliance by continuously reviewing overall practice of the team
- Manage the Capital Investment Entrant Scheme (CIES) team to ensure the transaction were fulfilled the guideline from Immigration and the documents were submitted within the designated period
- Responsible for filtering the trading limit and loan limit requests from sales team and clients
- Work closely with Account Department for generating the management fee and performance fee for Asset Managers
- Execute securities CD orders from Asset Managers and high net worth clients
- Execute trading instructions on HK and global stocks, stock options as well as HK and global commodities
- Review the commentary for Asset Manager and liaise with compliance department before posting
Marketing Executive
United Simsen Securities Limited
06.2009 - 11.2010
- Execute securities transactions for Hong Kong Market
- Organize CPT course
- Assist Deputy Managing Director to handle miscellaneous operation about Asset Management
- Jot Minutes for Management Meeting
Customer Service Officer
Goldin Equities Limited
05.2008 - 05.2009
- Account Opening for clients
- Execute securities transactions for Hong Kong Market
- Handle clients' calls regarding securities dealing
- Maintain good rapport with clients and satisfy their needs and requirements
- Create and develop client base
- Review new and existing client profiles for client eligibility
Corporate Communicate & Business Development - Assistant Officer
Phillip Securities (Hong Kong) Limited
05.2005 - 05.2008
- Ensure all recruitment administration is properly and professionally carried out and all applications for sales are responded to in an efficient manner
- Consolidate applicants and sieve out the proper group for interview
- Apply license for sales from SFC
- Generate commission for sales
- Assist sales to solve operation problems
- Arrange necessary equipment setup for sales
- Keep monitoring the inventory of PCs, trading system and telephone record system
- Generate report (brokers' turnover report, product penetration report)
Clerk
Best Result Cleaning Services Limited
01.2001 - 04.2005
- Company Overview: A subsidiary of Sino Group
- Provide HR Administration support
- Generate Payroll
- Generate Termination / Resignations Report
- Process Exit Interview
- Prepare Work Order for outsourcing job
- Collect quotation from contractors / vendors
- Keep monitoring for the maintenance of office equipments
- A subsidiary of Sino Group
Education
Diploma - Baking And Pastry Arts
SAIT
Calgary04-2024
Bachelor of Science - Economics
Utah State University
Utah04-2009
Skills
- Team player
- Customer service
- Active listener
- Computation skill
Languages
English
Full Professional
Chinese (Cantonese)
Native or Bilingual
Chinese (Mandarin)
Native or Bilingual
Timeline
Baker
Real Canadian Superstore
07.2024 - Current
Bakery Utility Clerk
Calgary Co-operative Association Limited
10.2022 - 07.2024
Responsible Officer
Lead Securities (HK) Limited
03.2017 - 07.2022
Business Development Director
Zhongtai International Management Limited
05.2016 - 02.2017
Associate Director, Private Clients Division
Zhongtai International Management Limited
07.2015 - 04.2016
Business Development Manager
Quam Securities Company Limited
11.2010 - 07.2015
Marketing Executive
United Simsen Securities Limited
06.2009 - 11.2010
Customer Service Officer
Goldin Equities Limited
05.2008 - 05.2009
Corporate Communicate & Business Development - Assistant Officer
Phillip Securities (Hong Kong) Limited
05.2005 - 05.2008
Clerk
Best Result Cleaning Services Limited
01.2001 - 04.2005
Diploma - Baking And Pastry Arts
SAIT
Bachelor of Science - Economics
Utah State University
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