Niki Shum
Summary
With years of experiences in corporate governance, regulatory compliance, project management and client relationships. Adept at employee coaching and effective communication, driving teams to achieve high-quality outcomes aligning with organizational goals and enhance employee engagement.
Overview
20
20
years of professional experience
1
1
Certification
Work History
Manager
Vistra Group - Tricor Services Limited
03.2023 - Current
- Perform full spectrum of company secretarial duties for listed companies, private and offshore entities.
- Prepare and review of monthly returns, announcements, circulars, annual and interim reports of listed companies.
- Prepare and manage the submission of reporting forms for listing-related matters through e-submission system and DION system of the Hong Kong Stock Exchange.
- Assist to prepare for the chairman's scripts before and minutes after the annual general meetings of listed companies, and manage physical presence in the meetings to ensure all formalities are duly executed and complied with regulatory requirements.
- Assist companies to manage their quarterly held board meetings, including preparation of work schedule and agenda, review of board pack, communication with the board and draft meeting minutes.
- Management of statutory records and central filing systems.
- Liaise with internal and external parties to carry out due diligence and ensure compliance with all relevant laws and regulations.
- Develop and maintain relationships with clients through face-to-face meetings and open lines of communication.
- Coordinate with department head to achieve organizational and departmental goals by developing and executing strategic plans and performance metrics.
- Mentor junior team members with guidelines and constructive feedback on projects and assignments to enhance work quality and productivity.
Head of Corporate Governance Department
La Nao Group Limited
05.2012 - 03.2023
- Supervised the Corporate Governance Department and advised the Board of Directors on corporate governance issues.
- Oversaw full spectrum of company secretarial matters for private companies to comply with statutory rules and regulatory requirements.
- Prepared notices and relevant documents for the annual general meetings of clients, and provided on-site assistance in the meetings.
- Assisted the Board of Directors to draft internal policies and manual on Anti-Money Laundering and Counter-Terrorist Financing.
- Liaised with external parties, including notary public, banks, regulatory bodies in Hong Kong, and coordinated with business partners in China, for company secretarial and banking matters.
- Met with potential and existing clients to provide advices on corporate secretarial matters, banking issues and all other information related to their business operations.
- Provided on-the-job coaching to staff at Hong Kong and Argentina offices on due diligence and anti-money laundering and counter-terrorist financing, and monitored their performances in compliance with the company policy and procedures.
Working Holiday
Australia
12.2009 - 10.2010
- Strengthened communication skills through interactions with others from different cultural backgrounds.
- Used critical thinking to break down problems, evaluate solutions and make decisions.
- Organized and detail-oriented with a strong work ethic.
- Proven ability to learn quickly and adapt to new situations.
Reservation & Sales Agent
Continental Airlines
05.2008 - 10.2009
- Managed reservations and ticketing issues, and assisted guests and travel partners with questions throughout the entire booking cycle.
- Answered incoming calls and developed friendly rapport with callers while answering inquiries and making travel recommendations.
- Achieved excellence in meeting sales targets, initiating proactive outreach to prospective clients and effectively closing deals.
- Assisted with cross-training efforts among team members in the United States to enhance overall department performance and knowledge sharing opportunities.
Passenger Services and Ticketing Reservation Agent
Jardine Aviation Services Limited
05.2005 - 05.2008
- Provided efficient and high level of customer services to guests at ticketing and check-in counters to facilitate flight onboarding.
- Maintained customer satisfaction by promptly addressing inquiries and providing accurate information regarding reservations, cancellations, and modifications.
- Informed clients of essential travel information, such as travel times, transportation connections, medical, and visa requirements to facilitate quality services.
- Provided personalized assistance for guests with specific needs or requests, fostering positive relationships and repeat business.
- Streamlined communication between departments and airlines, ensuring that all special requests were handled efficiently.
- Resolved ad-hoc issues and discrepancies for customers.
- Assisted in training new hires on proper procedures, software usage and company policies.
Education
Certificate - ESG Reporting
The Hong Kong Chartered Governance Institute
Hong Kong03-2023
Executive Diploma - AML And Counter-Terrorist Financing
The University of Hong Kong, SPACE
Hong Kong09-2022
Master of Arts - Professional Accounting And Corporate Governance
City University of Hong Kong
Hong Kong05-2015
Bachelor of Arts - Professional For English Communication
City University of Hong Kong
Hong Kong05-2005
Associate of Arts - Professional English For Communication
City University of Hong Kong
Hong Kong05-2003
Skills
- Work planning and prioritization
- Project management and organizational skills
- Decision making and problem resolution
- Regulatory compliance
- Policy and procedure development
- Customer relationship management
- Cross-functional team management
- Employee coaching and mentoring
- Effective communication
- Adaptability and flexibility
Certification
INSTITUTE CERVANTES
Level B2 (Intermediate level) DELE Spanish Language Certification
September, 2023
THE HONG KONG CHARTERED GOVERNANCE INSTITUTE
Fellow Member
September, 2022
Languages
Spanish
Upper intermediate (B2)
English
Bilingual or Proficient (C2)
Chinese (Mandarin)
Intermediate (B1)
Timeline
Manager
Vistra Group - Tricor Services Limited
03.2023 - Current
Head of Corporate Governance Department
La Nao Group Limited
05.2012 - 03.2023
Working Holiday
Australia
12.2009 - 10.2010
Reservation & Sales Agent
Continental Airlines
05.2008 - 10.2009
Passenger Services and Ticketing Reservation Agent
Jardine Aviation Services Limited
05.2005 - 05.2008
Certificate - ESG Reporting
The Hong Kong Chartered Governance Institute
Executive Diploma - AML And Counter-Terrorist Financing
The University of Hong Kong, SPACE
Master of Arts - Professional Accounting And Corporate Governance
City University of Hong Kong
Bachelor of Arts - Professional For English Communication
City University of Hong Kong
Associate of Arts - Professional English For Communication
City University of Hong Kong
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