Kristy Leung
Overview
14
14
years of professional experience
Work History
Manager, Enforcement Division
Securities and Futures Commission
11.2023 - 03.2025
- Managed enforcement cases from inception to conclusion, encompassing evidence gathering, witness interviews, and disciplinary proceedings preparation to ensure regulatory compliance.
- Collaborated with internal divisions, external regulators, and law enforcement agencies to strengthen regulatory enforcement outcomes.
- Conducted investigations into unlicensed activities and licensed intermediaries’ misconduct.
- Conducted risk assessments and recommended regulatory actions to address breaches of securities and futures ordinances.
- Prepared high-quality investigation reports and briefing materials for senior management meetings.
- Contributed to process improvements within Enforcement Division, streamlining operations and enhancing overall efficiency.
Manager, Intermediaries Supervision Division
Securities and Futures Commission
10.2020 - 11.2023
- Supervised business conduct, financial soundness, and operational risks of licensed intermediaries, enhancing compliance and operational integrity for securities and futures brokers and investment advisers.
- Monitored and reviewed intermediaries’ business activities, financial positions, and compliance with relevant rules and regulations.
- Identified market-wide and firm-specific risks in business practices, compliance, and internal controls, assessing potential impacts to mitigate vulnerabilities.
- Liaised with the Hong Kong Exchanges and Clearing Limited on risk matters concerning exchange participants.
- Analysed market data and prepared materials for meetings with the China Securities Regulatory Commission.
- Participated in SAP system revamp project, conducting user acceptance testing and developing user guides to improve internal portal usability.
Manager, Financial Services Audit
KPMG
08.2014 - 10.2020
- Designed and executed risk-based audit strategies, providing direction and technical guidance to engagement teams.
- Audited financial statements of listed securities firms and regulated entities, ensuring accuracy, compliance with regulations, and effectiveness of internal controls to support organisational integrity.
- Conducted independent reviews of internal systems and controls for SFC licence applications by banks and virtual banks on behalf of the Hong Kong Monetary Authority.
- Coached and developed junior team members, created training materials, and delivered internal training on securities industry knowledge and regulatory developments, enhancing team expertise and knowledge retention.
Accounting & Administrative Officer
Hong Kong Administrative Services Limited
10.2012 - 08.2014
- Prepared financial statements .
- Handled tax computations and ensured compliance with all relevant regulatory requirements, mitigating risks associated with non-compliance.
Customer Service Officer
Hang Seng Bank Ltd
07.2011 - 06.2012
- Supported Relationship Managers in processing business referrals and providing customised solutions to clients, enhancing client satisfaction.
- Ensured all sales and service activities complied with regulatory requirements and bank policies.
Education
Certified Public Accountant -
HKICPA
05-2026
Bachelor of Commerce - Double Majors in Accounting & Finance
The University of Sydney
Skills
- Microsoft Outlook
- Microsoft Excel
- Microsoft Word
- Microsoft PowerPoint
Languages
English
Advanced
C1
Cantonese
Proficient
C2
Mandarin
Intermediate
B1
Timeline
Manager, Enforcement Division
Securities and Futures Commission
11.2023 - 03.2025
Manager, Intermediaries Supervision Division
Securities and Futures Commission
10.2020 - 11.2023
Manager, Financial Services Audit
KPMG
08.2014 - 10.2020
Accounting & Administrative Officer
Hong Kong Administrative Services Limited
10.2012 - 08.2014
Customer Service Officer
Hang Seng Bank Ltd
07.2011 - 06.2012
Certified Public Accountant -
HKICPA
Bachelor of Commerce - Double Majors in Accounting & Finance
The University of Sydney