WING ( ARTHUR ) WONG

HK STOCK CODE 1821.HK

• Headed Group's Compliance department in Hong Kong headquarter and collaborated with 6 other offices located in Australia, China, India, Indonesia, Japan, Singapore, and South Korea
• Presented to Board of compliance policies, budget, and relevant matters
• Spearheaded and deployed core compliance systems within Group, including eLearning and compliance training, anti-bribery, cybersecurity, anti-money laundering & anti-terrorist financing, third party onboarding, employee & insider trading, modern slavery prevention, and whistle-blowing
• Served as Money Laundering Reporting Officer (MLRO)
• Drafted, revised, and implemented policies and procedures
• Orchestrated required due diligence and Know Your Customer (KYC) exercises required by banks, investors, and regulators
• Facilitated pre-IPO tasks for subsequent successful listing in main-board in late 2019
• Created compliance news and alerts email broadcasting channel o Coordinated with internal audit department for topical compliance auditing

• Headed compliance department in Hong Kong office
• Served as Money Laundering Reporting Officer (MLRO)
• Administered all licensing and regulatory matters under Hong Kong Securities and Futures Ordinance
• Implemented new compliance policies and procedure; reviewed and evaluated business procedures that supported compliance
• Managed Control Room functions, which included research clearance, employee dealing and monitoring, independence check for corporate finance and asset management activities, and wall crossing monitoring
• Monitored and periodically revised compliance policies and procedures and other internal control processes for applicable regulatory requirements
• Advised on compliance matters raised by business units
• Maintained effective working relationships with regulatory authorities, internal business units, and external stakeholders

• Coordinated Control Room functions in research clearance, employees dealing and monitoring, independence check for corporate finance and asset management activities, and wall crossing monitoring
• Conducted AML reviews and handled Suspicious Transaction Reports o Administered licensing and filing matters related to Responsible Officer under SFC
• Orchestrated project to enhance transaction surveillance methodology and system upgrades
• Reviewed, updated, and implemented Compliance policies and guidelines

• Handled Compliance tasks, including customer due diligence, transaction monitoring, anti-money laundering & anti-terrorist financing, risk management, investigation, sanction management, managing 3rd party payment, and control rooms operations
• Reconciled and categorized over 7000 accounts for fulfillment of KYC/CDD, AML, and FATCA purposes among various business units’ and compliance department’s records
• Collaborated with client-facing business owners on missing or unverifiable documents and discrepancies identified o Reconciled and verified client data into new database system
• Delivered managerial oversight on day-to-day issues arising from CDD & AML tasks
• Diagnosed with external consulting firm Deloitte in AML compliance risk assessment of bank

• Orchestrated teams in IPO application and approval processes
• Successfully listed group on Main Board of Hong Kong Stock Exchange in Jan 2009
• Empowered as Executive Director in the Board, compliance officer, and authorized representative under Hong Kong Stock Exchange
• Oversaw financial and regulatory reporting of group subsidiaries in Hong Kong, Macao, Singapore, and China in listing group
• Handled hedging activities for risk management purposes and annual risk audit review by KPMG
• Built and cultivated bank relationships and maximized banking facilities 600% in 3 years
• Steered oil derivative hedging and risk management
• Worked closely with organizational leadership and board of directors to guide operational strategy.