Greater Sydney Area
Key Achievements • The lead Investigator that would be responsible for identifying and investigating market manipulation matters that had been self-reported to ASIC. Two of the material matters involved a Post allocation matter and a Warrant manipulation issue . It resulted in several raised disciplinary matters and collaborated in the team to work with external counsel in the interest of protecting Credit Suisse. • Seconded to Hong Kong for two weeks for Cash and Derivatives coverage for coverage and conducting a Gap analysis. • Project lead on a comprehensive documentation review and response to the Exchange that involved cross border collaboration with Legal in Hong Kong and Singapore at senior management level. • Seconded to Singapore to assist in the setup and training of a Singapore based team to monitor E-Coms and a Telephone surveillance team covering BB chats and emails and other general surveillance activities. • On-Site Compliance review of Regional LDO located in Singapore • Conducted a Comprehensive Front office and LDO Desk review • Implemented the trade surveillance protocols in SMARTs.Broker for Listed Derivatives and assisted in the Cash surveillance which was offshored. This involved collaborating with the newly setup team for market surveillance and upskilling the team to monitor trading activities. This resulted in a more efficient service as only escalated matters that were referred upwards for me to sign-off. • Organised and implemented the infrastructure for offshoring the system to monitor the Substantial Shareholding Notices for Australian shareholdings from to in-house built system called GPLM that involved a capture of the Worldwide Credit Suisse entities and the roll up (over 600 entities) with cross-border collaboration from Zurich and Singapore.
Responsibilities A very broad and diverse role that serves as the point of contact between the Hong Kong Futures and Options Exchange and Deutsche Bank. Dealing with the daily regulatory/compliance obligations as well any abnormal HKFE issues that may arise. Liaise with different levels of management within Deutsche around the world and the exchange in Hong Kong. An autonomous role ensuring that all clearing and daily procedures with Futures and stock options on the HKEX are running smoothly, with any issues dealt with swiftly and efficiently. Role includes project work and implementation of new processes to ensure greater efficiency in the HK derivative business. Achievements • Initiated and co-ordinated a joint venture project with UBS, MSDW & Barclays to have the regulatory reporting done via Rolfe and Nolan back office system and sent to the HKEX electronically, saving DB 75% of the original cost. • Presented improvement options to the Head of Futures Clearing to increase volumes via initiating a market making and warrant business in HK of the stock options, and clearing the trades onto existing infrastructure. Through this action Deutsche Bank went from 10th position in 2004 and under 5% of market share to current market leader in HKFE and a market share of just under 7-8%. Volumes also increased almost 4 fold since 2004. • Initiated and implemented projects for improvements to procedures that lead to greater efficiency by achieving almost 98% automation. This in turn allowed for greater capacity of volume and reduced head count, with the ability to shift the role to any country in the world.
Responsibilities Selling Shares listed on the ASX and managed funds to high net worth individuals, advising them on buy and sell recommendations by Cube, based on the Analyst market strategy and client’s risk profile. Utilised options to generate income as well as protection for clients. Achievements • Exceeded my initial sales/brokerage targets by 30% • Doubled my client base in the first 3 months • Doubled my sales target for managed funds inflow.
Responsibilities House trading using a Patsystem; monitoring profit and loss trading in SFE and EUREX markets. Instruments traded were 3 and 10 years SFE bond futures, Bund and Bobl on the EUREX market. Utilising technical and fundamental analysis on market data provided by CQG and Reuters. Achievements • In the month of January, I topped the P&L for the desk.
Responsibilities Placing and authorising trades on the Equity and derivatives markets. Responsible for a database of about 200 HNW clients, placing and authorising trades for them. Margin calls and any utilisation of their margin loan or any breaches was my responsibility. Resolve issues and provide rebates or account adjustments where needed. Achievements • Exceeded sales targets of $10 million worth of units in a OMI-IP hedge fund. • Wrote margin loans and exceeded brokerage targets in excess of 25%. • Achieved the monthly award for best Service.