Guangzhou, Guangdong, China
3.5 years GBM KYC experience at HSBC. Currently working as a financial advisor at Noah Holdings Limited (NYSE: NOAH), providing asset allocation and wealth management services to high net-wealth individuals.
· Asset Under Management is CNY 10,394,127.79 as of 23 Mar 2022, total gross premium of life insurance products is CNY 3,650,000. · Recognised Solution Representative regarding overseas products, including public market equities and alternatives such as private equity, hedge fund, venture capital and REITS, mainly from top global asset management companies for instance Sequoia, the Partners Group, Coatue, Tiger Fund, Blackstone, etc. · Contact and liaise with individual and institution stakeholders, manage up to 800+ individual clients in pool. · Make the most use of personal connections, set up events between Noah and Hubei Chamber Commerce in Guangdong, obtain potential client list in which 12 of them identified as targeted high net wealth individuals. · Hosting internal events and external roadshows from General Partners such as the Matrix Partners China, CoStone Capital, etc.
· Swift response to each KYC request, contributed ideas to KYC streamlining process, saved 2 FTE in total in our team, reduced touch time by 2.5 hours of each new business case, helped to accelerate the client on-boarding process. · Accredited PQC, support case checking when on-duty PQC is running out of capacity. Acting as deputy PQC manager (functionally report to APAC QC Lead), helped to prepare and review Quality MI (e.g. Monthly Quality Report, GLA Report, CMP Report, etc) over HSBC China, HK, JP and HASE. Identify quality issues and come up with improvement plan. · Acting as deputy manager managing 8 FTEs in the absence of team leader, attend daily meeting, ensure each case is on track and arrange weekly target completion, respond to queries from different stakeholders timely. · Organized and delivered biweekly KYC knowledge sharing for 6 months, improved team’s average quality score from 94.39 to 98.76 in 3 months. · HSBC GSC ELITE “I Own My Career” Individual Award as of 2020, “Right First Time” Role Model as of 2020, HSBC GSC BRAVO “Best Alliance” Individual Award in 2018 Q4
· Greenlit 3 analyst with high quality, conduct KYC on both existing and new to bank clients, report high risk indicators immediately once identified to ensure the customer relationship is within HSBC’s risk appetite. · Liaise with internal bank staff from various locations, assess and maintain positive banking relationship with HSBC customers, find and plan solutions to ensure timely case completion and meet customers’ expectation. · Proactively up skill myself by getting adequate training on procedural or policy changes under HKMA, ensure the latest AML/CTF regulations, policies are maintained and adhered to in daily operations.
· Kept proper records and documentation of cash flow, compiled 2 months’ cash journal · Ensured appropriate financial systems and controls are in place · Liaised with bank staff in financial matters · Helped with the preparation work of board and senior management meetings