Tsz Shing, Alfred Lee
Corporate Actions Associate
Hong Kong
Summary
-Hands-on experiences with Hong Kong and Global securities market operations and various Corporate Actions and transaction processing, such as CCASS system, Stock Connect Settlement, SWIFT Messaging knowledge and ETF Creation and Redemption proceses
-Remarkable academic results in Trust Law, Company Law and Commercial law - obtained second upper ranking marks in the subjects above.
-Equipped with soft skills such as effective team communications, adaptability outside comfort zone and ability to work under pressure.
Overview
7
7
years of professional experience
5
5
years of post-secondary education
4
4
Languages
Work History
Associate II
State Street
11.2022 - Current
- Core member of the New APAC Corporate Actions Processing team in the Hong Kong Office
- Collaborate closely with the Client Service team and Processing teams in other regional markets to handle complex client instructions
- Bridge communication between Client investment managers and Custodians as Middle Office in handling escalations and reconciliations
- Handle ETF Creation and Redemption Orders from Participant Dealers
- Handle Stock Connect trades settlement processes
Officer (Depository and Nominee Services)
HKEX
3 2021 - 3 2022
- Creating informative announcements on different HKEX channels for CCASS participants, inquire for and/or liaise with listed Co./share registries in case of and irregularities or discrepancies on announced market information
- Handle Securities and Futures Commission (SFC)'s enquiries of CCASS participants' share holding information
- Management of CCASS voting instructions and proxy appointments regarding Listed Co Shareholders' meetings.
Assistant (Temporary)
INVESTOR AND FINANCIAL EDUCATION COUNCIL
12.2018 - 3 2019
- Financial Education campaign event support
- Administrative support and Financial reporting of events organised by the Council.
Assistant (Temporary)
SECURITIES ANF FUTURES COMISSION
06.2019 - 10.2019
- Listed company Shareholding Surveillance
- Inquire for and/or liaise with HKEX/securities custodian on beneficial owners' share holding information
- Compile share holding reports for managers' further investigation.
Assistant
HONG KONG MONETARY AUTHORITY
12.2016 - 09.2018
- Operational support
- Liaise with various internal departments of HKMA and contractors for support of HKMA's internal and external events.
Education
LL.B - Laws
UNIVERSITY OF LONDON
11.2015 - 05.2020
Skills
SWIFT
undefinedAvailability
Immediately
Volunteering
-Current member of State Street Hong Kong Corporate Citizenship Council
-As voluntary Executive Committee Member of Raleigh Hong Kong since 2015
Timeline
Associate II
State Street
11.2022 - Current
Assistant (Temporary)
SECURITIES ANF FUTURES COMISSION
06.2019 - 10.2019
Assistant (Temporary)
INVESTOR AND FINANCIAL EDUCATION COUNCIL
12.2018 - 3 2019
Assistant
HONG KONG MONETARY AUTHORITY
12.2016 - 09.2018
LL.B - Laws
UNIVERSITY OF LONDON
11.2015 - 05.2020
Officer (Depository and Nominee Services)
HKEX
3 2021 - 3 2022
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