Sing Wing Joseph Lee CFA
Hong Kong
Summary
Looking for a position utilizing logical thinking and analytical skills along with hands-on experience in the securities world in order to assist clients with portfolio management. Having a long-term relationship with the high-net-worth clients especially Mainland clients.
Overview
27
27
years of professional experience
43
43
years of post-secondary education
1
1
Language
Work History
Director/ Responsible Officer
Mainland Securities Limited
04.2021 - Current
- Fully comply with guidelines and duties required by SFC.
Director/ Responsible Officer
Chung Lee Securities Company Limited
02.2020 - 01.2021
- Fully comply with guidelines and duties required by SFC
- Supervise front desk business such as dealing work and back desk business such as settlement work
- Manage daily business of company as I have been in securities industry for more than 24 years, and apply management experience to provide sales, credit, dealing and settlement advice to team members.
Senior Sales and Marketing Manager
Seazen Resources Securities Limited
11.2019 - 01.2020
- Analyze stocks and warrants and provide accurate and timely quality financial information to clients
- Able to keep client up-to-date regarding financial news and social news
- Educate customers about trades risk and suitable investment prospects
- Maintain and develop client base, and strong interpersonal skills and communication skills leading to very high number of referrals.
Senior Sales and Marketing Manager
Phillip Securities (HK) Ltd.
05.2006 - 11.2019
- Help to recruit account executives and form sales team
- Executive clients' orders of securities products such as Hong Kong securities, global securities, corporate bonds, futures, options, warrants and derivatives
- Monitor daily operations, client's margin position, conduct margin calls within sales team
- Oversee sales team in monitoring clients' dealing and keep awareness of the codes and procedures are followed strictly
- Oversee sales team in new account opening process to ensure its compliance with KYC and AML requirements
- Supervise sales teammates in business development for type 1 regulated activity
- Handle client's issues regarding type 1 brokerage business
- Proven ability to obtain and interpret information from client portfolios and assist in creating strategies to meet clients' financial goals
- Analyze stocks and warrants and provide accurate and timely quality financial information to clients
- Able to keep client up-to-date regarding financial news and social news
- Hand on experience of presenting branch seminars tailored to clients' needs specifically
- Maintain and develop client base, and strong interpersonal skills and communication skills leading to very high number of referrals.
Sales Manager
ICEA Securities Ltd.
01.2001 - 05.2006
- Able to keep clients up-to-date regarding securities, stocks, bonds and options
- Developed and maintained client base
- Followed up on leads from potential customers.
Account Executive
Core Pacific Yamaichi Securities (HK) Ltd.
07.1998 - 01.2001
- Hand on experience of presenting branch seminars tailored to clients' understandings of stock's fundamentals, warrants and options
- Maintained strong ties with clients in Yuen Long Branch in order to create solid base of loyal customers
- Provided stock quotes and news to customers
- Executed trades for customers requested via walk-in and over phone.
Management Executive
SPS Securities Limited
08.1997 - 07.1998
Education
CFA Charterholder -
CFA Institute
09.1998 - 09.2004
SFC -
Hong Kong Securities And Investment Institute
07.1997 - Current
BBA (Accounting) -
HKUST
09.1994 - 09.1997
HKALE (C in Use of English, C in Chinese, C in Applied Maths, Physics) HKCEE (A in Additional Maths, B in Chinese, Maths, Religious Studies, C in English, Physics) -
St. Paul's College
01.1987 - 01.1994
Skills
Immense ability to maintain relationship with clients, leading to a very high number of referrals Excellent understanding of the stock, bond, and futures markets Ability to maintain high degree of confidentiality Incomparable ability to research market data and news Profound ability to work in fast-paced financial environment Excellent ability to work in a team and effectively produce target team output Solid knowledge on human psychology and behavior
undefinedTimeline
Director/ Responsible Officer
Mainland Securities Limited
04.2021 - Current
Director/ Responsible Officer
Chung Lee Securities Company Limited
02.2020 - 01.2021
Senior Sales and Marketing Manager
Seazen Resources Securities Limited
11.2019 - 01.2020
Senior Sales and Marketing Manager
Phillip Securities (HK) Ltd.
05.2006 - 11.2019
Sales Manager
ICEA Securities Ltd.
01.2001 - 05.2006
CFA Charterholder -
CFA Institute
09.1998 - 09.2004
Account Executive
Core Pacific Yamaichi Securities (HK) Ltd.
07.1998 - 01.2001
Management Executive
SPS Securities Limited
08.1997 - 07.1998
SFC -
Hong Kong Securities And Investment Institute
07.1997 - Current
BBA (Accounting) -
HKUST
09.1994 - 09.1997
HKALE (C in Use of English, C in Chinese, C in Applied Maths, Physics) HKCEE (A in Additional Maths, B in Chinese, Maths, Religious Studies, C in English, Physics) -
St. Paul's College
01.1987 - 01.1994
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