Summary
Overview
Work History
Education
Skills
Timeline
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Ming Yeung Yau

APAC Cash Equities Middle Office - Analyst
Hong Kong

Summary

Experienced Transfer Agency Associate with 3 years at State Street, specializing in operational support, client service, and control functions across diverse investment products. Proven track record in managing complex transaction flows—including trade capture, settlement, reconciliations, and client onboarding—with strong attention to detail and ownership of issues. Skilled in collaborating with front office, middle office, and external stakeholders to deliver accurate, timely resolutions and maintain stringent compliance standards. Adept at producing actionable reporting, conducting root cause analysis, and driving process improvements. Brings excellent communication, analytical, and problem-solving skills within dynamic, high-pressure environments, with advanced technical proficiency in Excel and financial systems. Hardworking and passionate job seeker with strong organizational skills eager to secure APAC Cash Equities Middle Office - Analyst. Ready to help team achieve company goals.

Overview

4
4
years of professional experience

Work History

Transfer Agency Associate 2

State Street
08.2022 - Current
  • Acted as first point of contact for clients and investment managers on all operational trade-related issues including trade capture, settlement, and corporate actions.
  • Performed daily trade reconciliations between internal transfer agency systems, counterparties, custodians, and fund managers to ensure timely resolution of breaks and accuracy of client holdings.
  • Ensured all investor transactions (subscriptions, redemptions, switches, transfers) were accurately processed and recorded in booking systems with proper escalation of exceptions.
  • Worked closely with internal teams (Settlements, Custody, Reconciliation, Client Service) and external stakeholders (brokers, counterparties, fund managers) to ensure timely settlement and resolution of trade discrepancies.
  • Produced daily and time-sensitive operational reports for management and clients, highlighting unresolved issues, settlement breaks, and reconciliation exceptions.
  • Collaborated with client onboarding and reference data teams to maintain accurate static data, set up new accounts, and support KYC/AML compliance requirements.
  • Supported queries from Front Office and sales teams regarding trade status, settlement timelines, and process controls to ensure smooth client execution.
  • Engaged in root cause analysis of recurring settlement or reconciliation issues and participated in process improvement initiatives to strengthen internal controls.
  • Ensured compliance with regulatory requirements and internal control standards, maintaining data integrity, accuracy, and effective risk management practices.
  • Partnered in system enhancement projects, UAT testing, and operational change initiatives to improve efficiency and reduce operational risk exposure.

Occupational Health Promotion Officer

Hong Kong Workers' Health Centre (HKWHC)
07.2021 - 07.2022
  • Coordinated and scheduled client meetings, managed follow-ups, and prepared necessary documents to ensure productive client interactions and support relationship management.
  • Established and maintained strategic partnerships between fund providers and external health organizations to implement health promotion services, ensuring compliance with regulatory standards and quality control protocols.
  • Delivered client education initiatives through professional health talks, workshops, and health-related activities, enhancing client profiles and supporting continuous improvement in customer service.
  • Stayed current with occupational health and safety regulations, proactively promoting compliance and raising awareness among non-government organizations.
  • Demonstrated strong organizational skills in managing client meetings, document preparation, and supporting client relationship management, aligning with best practices in client adoption and service delivery.

Education

Bachelor of Science - Community Health Practice

The Chinese University of Hong Kong
Hong Kong
07-2021

Skills

  • Client Due Diligence & Risk Analysis

  • Policy Compliance Reporting & Management

  • Operational Efficiency & Automation Strategies

  • Audit Support & Documentation Control

  • Issue Escalation & Problem Solving

  • Multi-Stakeholder Collaboration

Timeline

Transfer Agency Associate 2

State Street
08.2022 - Current

Occupational Health Promotion Officer

Hong Kong Workers' Health Centre (HKWHC)
07.2021 - 07.2022

Bachelor of Science - Community Health Practice

The Chinese University of Hong Kong

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Ming Yeung YauAPAC Cash Equities Middle Office - Analyst