Wai Kei Leung
Toronto,ON
Summary
Hardworking Legal and Compliance Manager knowledgeable about evaluating records and digital information to assess risk and compliance concerns. Well-organized and analytical with strong attention to detail. Looking for a challenging role in a fast-paced environment.
Overview
10
10
years of professional experience
Work History
Legal and Compliance Manager
H-Tong Financial Inc.
02.2023 - Current
- Developed and implemented policies and procedures to ensure compliance with applicable laws, regulations, standards, and best practices.
- Monitored changes in relevant legislation and adjusted operations accordingly.
- Created reports outlining compliance activities for executive leadership review.
- Developed risk assessments to evaluate potential impact of new initiatives or processes.
- Reviewed customer documents and information to ensure compliance with KYC regulations.
- Monitored accounts for changes in activity that could indicate fraud or suspicious behavior.
Legal Assistant
AAX Limited
Hong Kong
04.2022 - 11.2022
- Draft and review internal manuals, policies, and procedures to ensure in compliance with local regulation and law (Hong Kong Law, Singapore Law)
- Draft and review agreement in relation to the business of the company and marketing material
- Provide company secretary service
- Conduct compliance and legal research for matters related to the business operations and initiatives
- Advise business team and marketing team about their product and promotion and ensure those comply with local regulations and laws
- Provide training and prepare training material to staff and new joiner.
Legal Assistant
Huobi Technology Holdings Limited
Hong Kong
08.2018 - 04.2022
- Draft board resolution and constitutional document
- Review annual/interim report and public announcement
- Prepare the document for setting up a new company and statutory and regulatory filings (i.e
- Notification of change of director and company’s information, Annual Return, Shareholding Disclosures) in Hong Kong and overseas jurisdiction (i.e
- Cayman Island, British Virgin Islands, Singapore)
- Provide legal support on reviewing and editing documents and contracts in relation to the business of the company
- Review internal manuals, policies, and procedures to ensure in compliance with rules and regulation of the SFC and HKEx
- Conduct compliance research for matters related to the business operations and initiatives
- Assist in license application include Type 1, 7 license and Money Lender license.
Administration Officer
OKLink Technology Company Limited
Hong Kong
01.2017 - 07.2018
- Reception
- Full set of administrative work
- Handle daily accounting operation with accounting system
- Assist in monthly financial report.
Temporary Sales Service Assistant
Cheung Kong Property Holdings Limited
Hong Kong
05.2014 - 03.2017
- Sales service, introduce the product
- Answer the inquire from the costumers
- Assist the operation of the show flat
- Handle the administrative work, including data entry.
Education
LLB (Hons) -
Manchester Metropolitan University
07.2022
Graduate Diploma in English and Hong Kong Law (Common Professional Examination) -
Manchester Metropolitan University
07.2021
Bachelor of Social Science Education (Honours) (Greater China Studies) -
The Education University of Hong Kong
08.2016
Skills
- Scheduling and calendar management
- Travel Arrangements
- Document Control
- Office Management
- Remote Office Availability
- Strong MS Office abilities
- Document reviews
- Information Gathering
- Regulatory compliance oversight
- Conducting investigations
- Compliance Monitoring
- Legal Research
Languages
- Cantonese, Mother tongue, Mother tongue
- English, Fluent, Fluent
- Mandarin, Fluent, Fluent
Languages
Chinese (Cantonese)
Native/ Bilingual
English
Full Professional
Chinese (Mandarin)
Full Professional
Timeline
Legal and Compliance Manager
H-Tong Financial Inc.
02.2023 - Current
Legal Assistant
AAX Limited
04.2022 - 11.2022
Legal Assistant
Huobi Technology Holdings Limited
08.2018 - 04.2022
Administration Officer
OKLink Technology Company Limited
01.2017 - 07.2018
Temporary Sales Service Assistant
Cheung Kong Property Holdings Limited
05.2014 - 03.2017
LLB (Hons) -
Manchester Metropolitan University
Graduate Diploma in English and Hong Kong Law (Common Professional Examination) -
Manchester Metropolitan University
Bachelor of Social Science Education (Honours) (Greater China Studies) -
The Education University of Hong Kong
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