Summary
Overview
Work History
Education
Skills
Timeline
Generic

Wai Man Lui

Richmond,BC

Summary

Goal-oriented Team Manager dedicated to meeting team performance objectives and achieving set targets. Offering 6 years of extensive leadership experience in capital markets equity operation. Committed individual well-versed in providing thorough training, setting team goals and developing innovative strategies. Superb oral and written communication skills paired with excellent time management and leadership abilities.

Overview

17
17
years of professional experience
6
6
years of post-secondary education
3
3
Languages

Work History

Team Manager/ Team Lead – Settlements

Royal Bank of Canada Capital Markets
05.2016 - 04.2022
  • Oversee and manage all daily post trade support responsibilities for Equities under Australia entity and Foreign Exchange under London Entity (for 1 year), supervise 1 staff (team lead role)/ 3 staff (team manager role)
  • Perform operation function include trade processing, client data maintenance, clients' allocation, trade confirmation, funding, pre-matching, settlement, stock borrow loan, Dividend and Conversion, reconciliation for Equity trades executed by Sydney Equity Desk
  • Markets includes, Australia, Canada, Germany, Italy, Spain, Switzerland, UK, US
  • Handle Australian Equity ECM deal
  • Supervise CLS and FX payments/ receipt executed by London FX desk
  • Perform investigation on HKTR and ASIC regulatory reporting
  • Liaise with Compliance, Regional Middle Offices and Operations in UK and Canada to resolve trade/ regulatory issues
  • Liaise with customers, brokers, counterparties, Nostro banks and vendor, participated in projects & UAT, including CHESS Replacement & Operation system migration
  • Interaction with Clearing Exchange and regulator
  • Monthly attestation, KPI/ KRI reports
  • Work on BAU improvement plan, supervise staff development, recruit, retain and develop the talent
  • System Used: Broadridge Gloss TE & SUMMIT, CLS, Omego CTM, Omego Alert, IRESS, GBOI, RATS, RIBS

Senior Middle Office Analyst/ Middle Office Analyst

Citigroup Global Markets Asia Limited
05.2012 - 05.2016
  • APAC Equities Cash Middle Office, Perform Middle Office trade processing including client FIX mapping maintenance clients' allocation, trade confirmation and reconciliation
  • Handled Products: Pan Asia, Europe and US Cash Equities, ELN, Convertible Bond and P-notes
  • Served Desks: Equity Cash & EE Desk, Program Desk, Convertible Bond Desk and Delta One Desk
  • Liaise with Front Office, Regional Middle Offices and Operations in Asia/UK/US to resolve trade issues
  • Daily Review on Trade Confirmation & Settlement Straight Through Processing
  • Client Remediation MIS
  • Client account maintenance and KYC follow up
  • Automation and BAU Items Outsourcing
  • Proposed and processed improvement plan to streamline daily work flow
  • Participated in local & global Middle Office Projects BRD & UAT
  • System Used: Omego CTM, Omego Alert, Traiana Harmony

Operations Analyst

Citigroup Global Markets Asia Limited
01.2011 - 04.2012
  • Perform day-to-day HK market settlement including pre-matching, CCASS stock movement and settlement of trades in system as a member of HKEx;
  • Operate CCASS and upload SI (Instructions) file during the day to ensure settlement of HK equity transactions with Exchange and counterparties before CCASS deadline
  • Perform per-matching and settlement on Asia Pacific markets transactions including Japan, Australia/ New Zealand (Market handled – Hong Kong, Korea, Japan and Taiwan)
  • Liaise with agent banks, brokers, sales & trading desks, middle office, customer’s back offices and other overseas offices to follow up any potential fails prior to settlement date
  • Issue manual instructions for exceptional items to our agent banks for Asia Pacific markets;
  • Answering desks and clients queries, Fails follow-up with clients till trades settled;
  • Liaise with Desks and Middle Office to ensure trades are processed correctly and amended as needed to meet with the record of Exchange executions;
  • Control Reports/ Reconciliation Breaks investigation
  • Participate in project UAT and System Migration
  • OTC Stamp Duty Processing
  • Liaise with various middle offices to arrange stamp payment for OTC trades

Operations Officer

Citigroup Global Markets Asia Limited
05.2009 - 12.2010
  • Perform post settlement function for various products in Pac Rim markets excluding Australia/New Zealand for various Citigroup trading entities (Market handled – Philippine, Thailand, Indonesia, Pakistan and Japan)
  • Calculate funding requirements and provide information to Cash Management;
  • Reconciling cash accounts against agent bank statements daily and resolve any discrepancies;
  • Validate monthly bills from custodian banks against internal records;
  • Identify cash or any other discrepancies to books & records and follow up till resolved
  • Liaise with agent banks, brokers, sales & trading desks, customer’s back offices and other regional offices to follow up any potential fails prior to settlement date;
  • OTC Stamp Duty Processing for various structured products
  • Entries input into various systems
  • Assist in following up various projects related Operations.

Operations Officer

Citigroup Global Markets Asia Limited
06.2006 - 05.2009
  • Perform day-to-day HK market settlement including pre-matching, CCASS movement and settlement of trades in system as a member of HKEx;
  • Operate CCASS and upload SI (Instructions) file during the day to ensure settlement of HK equity transactions with Exchange and counterparties before CCASS deadline
  • Journal postings and settle trades on internal system;
  • Interface with local and overseas offices or clients to work out trades discrepancies till resolved;
  • Liaise with Desks and Middle Office to ensure trades are processed correctly and amended as needed to meet with the record of Exchange executions;
  • Calculate or verify funding requirements prepared by Officers for AP Treasury before deadline daily;
  • OTC Stamp Duty Processing
  • ETF Creation/ Redemption Processing
  • Liaise with various middle offices to arrange stamp payment for OTC trades

Operations Trainee

KGI Asia Limited
08.2005 - 06.2006
  • Process daily trade records in system for Taiwan, US and Japan Market
  • Trade Entry for various markets
  • Prepare confirmation to clients
  • Check inward confirmation from counterparties
  • Liaise with sales and local agent for Taiwan IPO subscriptions
  • Resolve clients’ / front office problems (e.g
  • In the area of settlement, trade bookings, FX arrangement and commission problems etc)
  • Prepare settlement Instructions
  • Deposit physical certificate to CCASS
  • Stock/ Bank Reconciliation and breaks fixing
  • Products handle: Hong Kong Equities, Overseas Bonds and Equities, Treasury FX Trades, Structured Products (such as GDR and ELN) and Mutual Fund
  • Availability: May 2022

Education

Master of Science - China Business Studies

The Hong Kong Polytechnic University
01.2009 - 01.2012

Bachelor of Business Administration - Finance

Kong Baptist University
01.2002 - 01.2005

Skills

    Team collaboration and leadership

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Timeline

Team Manager/ Team Lead – Settlements

Royal Bank of Canada Capital Markets
05.2016 - 04.2022

Senior Middle Office Analyst/ Middle Office Analyst

Citigroup Global Markets Asia Limited
05.2012 - 05.2016

Operations Analyst

Citigroup Global Markets Asia Limited
01.2011 - 04.2012

Operations Officer

Citigroup Global Markets Asia Limited
05.2009 - 12.2010

Master of Science - China Business Studies

The Hong Kong Polytechnic University
01.2009 - 01.2012

Operations Officer

Citigroup Global Markets Asia Limited
06.2006 - 05.2009

Operations Trainee

KGI Asia Limited
08.2005 - 06.2006

Bachelor of Business Administration - Finance

Kong Baptist University
01.2002 - 01.2005

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Wai Man Lui