Pak Leung

Work History

Chief operation and development officer (RO)/ Associate Director (Corporate Development)

Midland Financial Planning Limited / Midland Realty

06.2013 - Current

Provide strategic advice for management on business development;
Assist to develop and execute the company's business plan. Review the execution progress and take suitable actions in order to achieve business goals and objectives;
Develop and manage the sales team in exploring business opportunities on various financial products including hands on sales to customers;
Identify the implement of new product ideas and business propositions to support business growth;
Liaised with major Partners to coordinate launching of security and insurance products;
Supervise daily operations of broker business;
Responsibilities for the security and all related referral business internal control, regulation risk and any risk exposure as per regulator's requirements;
Provide leadership and compliance training to all technical representatives;
Manage the registration of company's Technical Representatives;
Manage the compliance and new regulation by Authorities.
Develop China Channel and explore cooperation partner
Cooperation with 4000 insurance sales team for Hong Kong family office service including EAM, education, property and immigration service.
Duties for responsible officer for Type 1 and Type 4 regulated activities in respect of Midland Wealth Management Ltd ("MWML")
Supervise and monitor Type 1 and Type 4 regulated activities carried out by MWML and its licensed representatives;
Supervise and monitor the sales conduct of all licensed representatives and decision on disciplinary action on misconduct cases;
Formulate and implement regulatory guidelines and codes to ensure an effective internal control mechanism;
Oversee clients' transactions and investment recommendations by the advisors for the purpose of ensuring the transactions are executed in compliance with the internal control policies;
Oversee all outgoing market information, articles and scripts written by the advisors and analysts for their information correctness, and ensure they are appropriate and no misleading;
Monitor the accuracy of financial information contained in such articles and scripts for the purpose of ensuring the investment recommendation made thereto is on a reasonable and adequate basis, thereby avoiding the risk of material misrepresentation;
Monitor training to equip the licensed representatives with the required skills and knowledge to conduct the business and improve their awareness of regulatory compliance;
Make sure and review the financial returns is comply with the Securities and Futures (Financial Resources) Rules;
Make sure all the staff performing regulated activities are properly licensed;
Act as a liaison with the regulator.

Assistant manager- Business development and Training

Midland Financial Planning Limited

06.2011 - 06.2012

Delivery and develop all round training of company, including orientation (especially on selling skill and product information), 3 days PIBA Paper 1,3,5 examination training, 4 days SFC Paper 1,7,8 examination training.

Training Officer

Centaline Financial Services Limited

06.2011 - 06.2012

Develop and maintain the product training the structure of the company
Develop the training admiration system to consolidate the staff training record relate to the license requirement.
Create the Internal training system with IT department
Improve the existing training program, such as 2 weeks orientation, advance training program and license examination training
Delivery and develop all round training of company, including orientation (especially on selling skill and product information), 3 days PIBA Paper 1,3,5 examination training, 4 days SFC Paper 1,7,8 examination training.
Develop the soft skill training (effective selling, Communication with NLP etc.)
Cooperate with the provider of the update product information and schedule the related training for the frontline staff.
Analyst the out source training program and handle the management program for the middle level management staff.
Monitor the training assistant for all round related.

Overview

Work History

Chief operation and development officer (RO)/ Associate Director (Corporate Development)

Assistant manager- Business development and Training

Training Officer

Education

Bachelor of Engineering (Honours) - Product Engineering with Marketing

Skills

Personal Information

Timeline

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