Singapore
Very experienced compliance professional and manager with extensive and diverse experience at the regulatory authority, self-regulatory organization and global financial institutions. Expertise includes areas such as sales and trading, investment banking, asset management, developing a compliance framework, policies and procedures, ongoing monitoring and trade surveillance, preparing for or conducting audits, desk reviews or investigations, dealing with regulators.
Primus Compliance is a boutique regulatory and compliance consultancy firm. We provide holistic and customised solutions that meet individual company and market needs. Our global perspective complemented by local market insights allows us to help clients navigate the most complex regulatory landscapes and provide them with the necessary solutions. Primus Compliance is able to offer international coverage of compliance and regulatory services. More information may be found at www.primuscompliance.com.
Responsible for compliance coverage of the bank's financial markets activities such as asset/liability management, fixed income and currencies, equities, structuring, sales, and capital markets origination.
Led the compliance team responsible for covering the firm's business in Australia, India, Korea, Singapore and Taiwan covering all businesses such as investment banking, private wealth management, and institutional sales and trading in commodities, equities, fixed income and foreign exchange. Also responsible for the compliance effort for the firm's asset management business in Asia Pacific. Worked in the Hong Kong regional head office and in Singapore.
Developed and implemented a risk management and compliance framework for the futures business that was acquired.
Responsible for the futures exchange's risk management and market surveillance function monitoring members firms' trading activities and risk profile. Also headed the exchange's Membership Department covering the review, monitoring and approval of the exchange's individual and corporate members. SIMEX is now part of the Singapore Exchange Limited.