Yuen Ho Horace CHEUNG
Hong Kong
Summary
Throughout my journey in BNP Paribas, I have a proven track record of successfully managing projects and driving results. While possessing a double degree in law and accounting, my educational background, combined with my experience in the financial industry, has equipped me with a solid foundation to excel in my role. I am highly detail-oriented, possess excellent interpersonal and communication skills, and thrive in fast-paced environments.
Overview
4
4
years of professional experience
3
3
Languages
Work History
Client Engagement and Protection Regulations Officer
BNP Paribas
03.2024 - Current
- Regulatory Onboarding and Support
- Facilitating and following up with client onboarding
- Tackling regulatory blocks that prevent trading
- Addressing queries from clients, traders, marketers and relationship managers
- Regulatory Remediation Exercises
- Ensuring existing clients comply by the regulatory enforcement date
- Regulatory Onboarding and Regulatory Remediation Exercises
- Preparing the necessary regulatory materials to dispatch to clients
- Remediating any pending items necessary to meet regulatory requirements by their compliance dates and minimize any trading disruption with our valued clients
- Reaching out to clients to ensure they have completed the necessary documentation, for example, adherence to ISDA protocols / Representation Letters or pushing on bespoke legal documentation
- Addressing potential requests from regulators
- Working with the different functions regarding different regulatory matters (such as Business Management, Legal and UK & US counterparts)
Contractor
BNP Paribas
08.2022 - 03.2024
- CCG GCM Business Management Contractor (Aug23 - Mar24)
- Consolidating weekly/monthly fee report
- Consolidating Quarterly Pipeline of MNPI
- Assisting with the research and analysis of existing policies in the Annual Risk & Control Self-Assessment (RCSA) project
- Tracing on the deal logging process approval
- Assisting in the management of system migration
- Researching, filtering, and extracting credential business documents for bankers
- APAC Control Room Contractor (Feb23 - Aug23)
- Assisting with the maintenance of the Watch List, Grey List, and Restricted List of the Firm
- Facilitating barrier-crossing requests and updating the associated system
- Participating in the Individual Insider Categorization Project
- Involving in corporate access, research disclosure, and sector call process
- Reviewing daily media summaries and conducting panel-hit checks to spot the existence of any unlogged but launched deals
- Ecom Surveillance Contractor (Aug22 - Feb23)
- Performing regular monitoring and analysis of electronic communications, both voice and text. to identify and address potential market abuse or misbehavior issues
- Managing the day-to-day alert disposition
- Working with the outsourced team (ISPL) in India and the corresponding Local Compliance Teams
- Enhancing the alert-triggering lexicons
Compliance Officer
Bank of China
01.2022 - 04.2022
- Analyzing account transactions of both high and non-high risk clients
- Drafting annual transaction reports
- Leveraging the KYC system as to identify any unusual transactions regarding the background of the client, while any discrepancies between the system and the actual status of the client are required to be reported to the seniors to confirm if a Suspicious Transaction Report is required to be filed to the Joint Financial Intelligent Unit (JFIU)
- Drafting Request-for-information (RFI) and filing to Frontline to further question the client for clarifications
Education
BSc - Accounting and Finance
University of London
08-2023
Bachelor of Laws - undefined
University of Leeds
07-2020
Skills
Adaptability
Microsoft Office
Adaptability and flexibility
Effective communication
Business Management and Administration
Interpersonal Communication
Timeline
Client Engagement and Protection Regulations Officer
BNP Paribas
03.2024 - Current
Contractor
BNP Paribas
08.2022 - 03.2024
Compliance Officer
Bank of China
01.2022 - 04.2022
Bachelor of Laws - undefined
University of Leeds
BSc - Accounting and Finance
University of London