Jason Law

• Handled US, European Equity and Accumulator settlement
• Using Bloomberg to check US list companies’ details

• Trading and advising on HK stocks, funds and various investment products for clients;
• Got familiar with the process of KYC, CDD, AML, Risk Profiling, Risk Matching and the operation of the trading system of HK stocks.

Project Management

• Collaborate with cross-functional (Business Solution, Project Manager, Business users such as Finance, Risk, Operation, and dealers) to gather requirements and define project objectives.
• Conduct regular progress meetings, and report project status to stakeholders.
• Escalate up the process for the UAT and discuss the solution with the System teaa or other stakeholderings (BAU & Project)

Project involvement:

• Securities brokerage post-trade system revamp
• E2E Securities trading platform uplift for the bank
• Sereve Weather Trading
• FATCA/CRS reporting

Others:

• Supervise UAT, documentations, quality control
• Take care of system implementation/integration, data analytics, process improvement/ enhaccement prpgrams/ reporting
• Oversee budget planning and strategic cost management
• Collaborate with Legal & Compliance and handle enquires and requests from Exchange & Regulators

• Manage 12 teammates from dealing,settlement,customer services & credit.
• Supervise and lead core middle-to-back office functions under Brokerage business, including dealing, settlement, credit, daily operations, customer services etc.
• Conduct regular reviews on Account Opening procedures and responsible for account opening approval.
• Review and update internal procedures, internal control policies, and operations manuals to ensure fill compliance with SFC regulations, FATCA, CRS regulations
• Responsible to SFC enquiries & inspection.
• Lead projects for business development such as US/overseas securities & OTC products (eg. Bonds,Funds, Structure products) trading
• Liaise with Legal & Compliance, IT and other relevant support units on ad hoc projects.

• Manage 5 teammates from Institutional & Prime services team
• Handle global clients’ enquiries via different channels including email, ticket, live chat and phone call in
• English, Mandarin and Cantonese
• Assist clients in understanding the entire trading cycle( stocks / futures / options / CFDs / FX) , including but not limited to funding process, position transfers, corporate actions, margin calculation and statements reconciliation
• Troubleshoot with clients on the problems they have on our platform, and escalate/ liaise with various internal parties such as Legal & Compliance, Risk, IT, Cashiering, Clearing and other service groups around the world to improve our system design / operation flow
• Assist financial institutions to understand our operation flow/ system behavior with providing tailor made solution or further communicate with internal parties for special configuration
• Assist Compliance team to conduct due diligence on new and existing clients while reviewing client documentation
• Document potential KYC issues while working closely with the AML team
• Handle initial setup / daily operation for Prime Brokerage clients / Brokers client, assisting them to achieve their operation goals by using our platform
• Report to senior management regularly in order to improve operation flow and discuss with our programmers for functionality design
• Monitor the performance of the team and review the workflow regularly

• Manage 6 teammates from dealing,settlement,customer services.
• Assist to complete private equity investment deals
• Provide support documents, PPT on the management of investment projects and the establishment of private equity funds and hedge funds
• Liaise with various parties including lawyers, fund administrators, tax advisors and other services providers
• Overseeing the whole securities operations solely, including dealing, settlement, customer services.
• Improve the whole back office procedure and being the final daily checker for each activity
• Develop and maintain the website, online trading platform and mobile apps
• Review the account opening documents and procedure
• Re-KYC for the existing clients and refresh the whole client bases data
• Report to the board of directors

Reason for Leaving: Resignation

I was looking for a well-established platform with varies products

• Conduct Credit Review for margin clients
• Dealing Securities for Clients and authorized proper purchasing power to client if need so
• Daily monitoring the account position of margin clients and passed reports to RO after checked;
• Perform daily settlement tasks, including stock balance matching with CCASS, fund in/out, SI, physical stock in/out, daily/month end
• Re-design the Backoffice procedure to improve the efficiency and induce human mistakes
• Perform whole account opening procedure to clients, which included KYC, risk disclosure and derivatives illustrations if need so
• Worked together with the RO and Compliance Department, prepared forms, terms and conditions, compiled internal guidelines and menu;
• Enhanced Anti-Money Laundering (AML) checking and compiled guidelines for FATCA, KYC/ Customer
• Due Diligence (CDD) for potential clients and performed periodic KYC/CDD review for existing clients;
• In-charge for maintaining or UAT for the trading system and back office system;
• Group discussion with Compliance to ensure our advertising, website and all marketing materials are in accordance with the requirement of SFC;

Reason for Leaving: Resignation

I was offered a new position in China Qianhai Zhongjin Securities Limited which provides me an opportunity to participate in the complete setting up process of a securities firm.

• Trading and advising on HK stocks, futures and options for clients;
• Close interaction with the Research Department, provided trading/hedging strategies to clients;
• Worked closely with the RO, enhanced credit control for the Companies;
• Provided securities market and product training to licensed representatives when need so;
• Managed and train my subordinates in building up professionalism and comply with Code of Conduct in the financial industry
• Monitored clients’ balance and performed margin call for margin securities accounts and short position option accounts;
• Reviewed procedures according to relevant regulations updated by the Compliance Department from time to time;
• Performed KYC/CDD for potential clients and performed periodic KYC/CDD review for existing clients.