Sylvia Ng
Experience In Compliance And Risk Management In Financial Industry, Worked In Front Line, Middle Office And Also Regulator Roles.
Hong Kong
Summary
Accomplished legal and compliance executive with a proven track record at Nanyang Commercial Bank Limited, enhancing regulatory knowledge and strategic thinking. Spearheaded compliance programs, fostering a culture of continuous improvement and stakeholder communication. Expert in legal compliance management and dispute resolution, significantly improving operational risk frameworks. Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals.
Overview
23
23
years of professional experience
7
7
Certificates
Work History
Head of Legal, Compliance and Operational Risk, HK
Endowus HK Limited
12.2022 - Current
- MIC of Risk & Compliance and AML/CFT of the company
- Work closely with various department, including platform development, operations, investment office, marketing, client experience and other teams
- Ensure roll-out of services and solutions are compliance of the regulatory requirements
- Provide oversight in business conduct, staff licensing and other compliance matters including financial crime, technology risk, and personal data protection
- Liaison with local regulators
- Build knowledge amongst the team to understand the latest regulatory developments that affect the business and provide interpretation of the regulatory requirements.
- Continuously monitored changes in laws and regulations, ensuring timely updates to company policies and procedures to maintain compliance.
Deputy General Manager, Risk Management Department
Nanyang Commercial Bank Limited
06.2022 - 11.2022
- Developed and executed annual business plans, resulting in consistent revenue growth.
- Coordinated efforts between departments for seamless execution of projects, increasing overall success rates.
- Managed multiple projects simultaneously while maintaining focus on meeting key milestones.
- Ensured compliance with relevant regulations by developing robust policies and procedures.
- Established strong partnerships with stakeholders, fostering a collaborative work environment.
- Improved internal communication channels, fostering a culture of transparency and accountability among team members.
- Facilitated cross-functional collaboration to drive successful project completion within deadlines.
Head of Op Risk, Legal & Compliance Division
Nanyang Commercial Bank Limited
07.2019 - 11.2022
- Self-motivated, with a strong sense of personal responsibility.
- Excellent communication skills, both verbal and written.
- Proven ability to learn quickly and adapt to new situations.
- Skilled at working independently and collaboratively in a team environment.
- Worked well in a team setting, providing support and guidance.
- Passionate about learning and committed to continual improvement.
- Worked effectively in fast-paced environments.
- Demonstrated respect, friendliness and willingness to help wherever needed.
- Adaptable and proficient in learning new concepts quickly and efficiently.
Vice President, Wealth Management Compliance
Deutsche Bank AG Hong Kong Branch
09.2016 - 07.2019
- Advised and facilitated business on implementation of regulatory requirements
- Identified compliance requirement for business on projects, such as launching of eBanking services, establishing new business model and as one of the stakeholders in new product approval
- Perform periodic compliance review
- Acted as contact point with the regulators for Wealth Management and coordinate regulatory survey submission
- Conducted compliance training to front office’s staff
- Provided guidance to junior staff in the team
Manager, Banking Conduct Department
Hong Kong Monetary Authority
05.2015 - 09.2016
- Conducted thematic on-site examination/ off-site thematic review of the banks’ mechanism in relation to sale of investment products to test the soundness of mechanisms’
- Provided recommendations to the banks on identified issues
- Advised the scope of review for banks in independent auditor review
- Monitored the banks’ implementation progress of the HKMA recommendations after onsite examination
- Measured the effectiveness of the banks’ remedial actions to address the identified deficiencies
- Contributed input for policy and circular drafting
Head of Business & Process Monitoring
Nanyang Commercial Bank Limited
05.2011 - 04.2015
- Designed compliance program and control mechanism
- Cultivated compliance culture in the Bank through training for front office staff
- Established policies and guidelines on sales flow and operations to ensure the bank’s compliance with regulatory requirements
- Performed control and monitoring on branches operations and trades
- Conducted ad hoc compliance review project on various theme, such as Anti Money Laundering, Code of Banking Practice, Deposit Protection representation rule
- Liaise with regulators on onsite and offsite examination issue
- Performed regular reporting to senior management of the Bank to facilitate management supervision
Senior Product Manager
Nanyang Commercial Bank Limited
09.2007 - 05.2011
- Setup policies and guidelines for product launching and selling
- Provided training to sales staff on product knowledge and compliance issues
- Analyzed profit engine of the banking business and projected income of the business
- Wrote business plans and budgets for products campaigns
- Performed the due diligence process for Lehman-related investment product complaint
Senior Business Analyst
Nanyang Commercial Bank Limited
02.2004 - 09.2007
- Analyzed branch performance and assign sales quota to branch for each business
- Provided training to front-line staff for product knowledge
- Established operation workflow with various business units
- Worked in Credit Rating System and Deposit Protection Scheme projects
- Developed and implemented promotion campaigns
- Organized clients’ events, such as investment seminar, golf day
Personal Banking Officer
Nanyang Commercial Bank Limited
04.2001 - 02.2004
- Explored and developed long-term relationships with high net-worth customers
- Provided quality services and professional investment advice to satisfy customers’ needs
Education
Master of Laws - Corporate Financial Laws
The Hong Kong University
Hong Kong 04.2001 -
Certificate in Operational Risk And Quality Manage - Operational Risk Management
The Hong Kong Institute of Bankers
Hong Kong 04.2001 -
WMI Certificate in Private Banking - Private Banking
Wealth Management Institute
Singapore 04.2001 -
Master of Science - Data Science And Business Statistics
The Chinese University of Hong Kong
Hong Kong 04.2001 -
BBA - Finance
The Hong Kong University of Science And Technology
Hong Kong 04.2001 -
Exchange Programme - Finance
Stern, New York University
New York, USA 04.2001 -
Skills
Strategic Thinking
Languages
Chinese (Cantonese)
Native language
English
Proficient
C2
Chinese (Mandarin)
Advanced
C1
Japanese
Upper intermediate
B2
Certification
Sustainability & Climate Risk Certification Holder
Timeline
Sustainability & Climate Risk Certification Holder
04-2024
International Accredited Professional Mediator
01-2024
Head of Legal, Compliance and Operational Risk, HK
Endowus HK Limited
12.2022 - Current
Deputy General Manager, Risk Management Department
Nanyang Commercial Bank Limited
06.2022 - 11.2022
Certified Operational Risk Management Professional (CORP)
04-2022
Head of Op Risk, Legal & Compliance Division
Nanyang Commercial Bank Limited
07.2019 - 11.2022
Vice President, Wealth Management Compliance
Deutsche Bank AG Hong Kong Branch
09.2016 - 07.2019
Manager, Banking Conduct Department
Hong Kong Monetary Authority
05.2015 - 09.2016
Certified Anti-Money Laundering Specialist (CAMS)
04-2015
International Certificate in Banking Risk and Regulation (ICBRR)
07-2012
Head of Business & Process Monitoring
Nanyang Commercial Bank Limited
05.2011 - 04.2015
Senior Product Manager
Nanyang Commercial Bank Limited
09.2007 - 05.2011
CFA Charterholder
09-2006
Certified Financial Risk Manager (FRM)
11-2004
Senior Business Analyst
Nanyang Commercial Bank Limited
02.2004 - 09.2007
Master of Laws - Corporate Financial Laws
The Hong Kong University
04.2001 -
Certificate in Operational Risk And Quality Manage - Operational Risk Management
The Hong Kong Institute of Bankers
04.2001 -
WMI Certificate in Private Banking - Private Banking
Wealth Management Institute
04.2001 -
Master of Science - Data Science And Business Statistics
The Chinese University of Hong Kong
04.2001 -
BBA - Finance
The Hong Kong University of Science And Technology
04.2001 -
Exchange Programme - Finance
Stern, New York University
04.2001 -
Personal Banking Officer
Nanyang Commercial Bank Limited
04.2001 - 02.2004
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