WONG Yik Man
Responsible Officer
Summary
+10 years' experience in Securities trading and dealing
+7 years' experience in client relationship management
Familiar with financial products and financial market
Overview
13
13
years of professional experience
2
2
years of post-secondary education
2
2
Certifications
3
3
Languages
Work History
Senior Vice President, Equity and Dealing Department
Noah Holdings (Hong Kong) Limited
05.2023 - Current
- Responsible Officer and MIC to supervise and monitor Type 1 and Type 4 Regulated Activities
- Monitor and oversee daily operations of security trading, securities margin financing and operation of trading platform
- Supervise electronic trading system and respective services including System Operation, accuracy of market data, risk control, system update and maintenance, intraday monitoring during market opened, connection with CCASS and external broker
- Formulate, review and update the relevant policies and procedures for regulated activities
- Supervise Settlement Team for daily operation including stock and fund reconciliation, MR and System UAT trading and necessary reporting
- Lead and supervise new business development to ensure that all procedures and operations are fully complied with regulatory requirements
- Advise and support top management for ad-hoc projects related to regulated activities
Dealer & Client Service Manager
Venture Smart Asia Limited
04.2019 - 04.2023
- Securities dealing for HK stock, Fixed Income products, Forex and structured products
- Virtual Asset dealing including structured products, VA fund and Crypto currencies.
- New Product Development, Product Due Diligence and Product analysis
- Client on-boarding, KYC process and client management
- Responsible Officer for Type 1, 4 and 9 Regulated Activities with management responsibilities and duties
- Monitor and supervise daily dealing activities and operation to ensure full regulatory compliance
Head of Execution
BPI International Finance Limited
12.2015 - 09.2018
- Set up an Execution Desk to handle transaction for private bank clients
- Security trading for Fixed Income, Foreign Exchange (FX) and Equity
- Coordinate with Private Banking Unit for security research, portfolio management and sale-revenue contribution
Corporate FX Dealer & Client Manager
WesternUnion Business Solutions (Hong Kong) Limited
07.2013 - 11.2015
- FX trading including Spot, Forward and SWAP
- Client relationship and risk management, handle approximate 350 corporate accounts, understand client's FX financial needs to provide appropriate solutions
Treasury Dealing Assistant
BPI International Finance Limited
05.2012 - 07.2013
- Financial trading, mainly FI and FX products
- Handle and dealing interbank placement for proprietary account
Education
Bachelor of Applied Finance -
University of South Australia
01.2010 - 01.2012
Skills
Regulatory Compliance
Project Management
Strategic leadership
Process improvements
Certification
Associate Membership with Treasury Markets Association (TMA)
Timeline
Senior Vice President, Equity and Dealing Department
Noah Holdings (Hong Kong) Limited
05.2023 - Current
Dealer & Client Service Manager
Venture Smart Asia Limited
04.2019 - 04.2023
Head of Execution
BPI International Finance Limited
12.2015 - 09.2018
Corporate FX Dealer & Client Manager
WesternUnion Business Solutions (Hong Kong) Limited
07.2013 - 11.2015
Treasury Dealing Assistant
BPI International Finance Limited
05.2012 - 07.2013
Bachelor of Applied Finance -
University of South Australia
01.2010 - 01.2012
Associate Membership with Treasury Markets Association (TMA)
Tier 1 Financial Product Adviser accredited recognition by Australian Securities and Investment Commission (ASIC)
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