Nicky Wang, Cfa Email & Phone Number

Sydney, NSW, AU

Sydney, New South Wales, Australia

Cboe is a global derivatives and exchange network, delivering trading, clearing and investment solutions to investors across North America, Europe and Asia Pacific.Duties:- ETF Admission- Issuer Compliance & Supervision- Participant Compliance & Supervision- License Obligations Compliance

Sydney, New South Wales, Australia

ASX is one of Australia’s largest securities exchanges. Main focus: - Admission of investment products to quotation.- Quoted investment products ongoing compliance and market making compliance.- Issuer supervision.Stakeholders: ASIC | ASX | Issuers (eg. Betashares, BlackRock, Vanguard, Global X and Perpetual)

Sydney, New South Wales, Australia

SIG is a global leading proprietary trading company, it specialises in market making and proprietary investments in shares, fixed income, currency, index and derivative products.Main focus: trade surveillance, market making monitoring and compliance, trading risk analysis and mitigation, regulatory compliance and training.Stakeholders: ASIC | ASX | Prime.

Sydney, Australia

Worked on a large-scale Financial Advice Remediation Program for National Australia Bank.Main focus: Statement of Advice Review and Assessment, Investment and Asset Allocation Analysis, Product research using Xplan and Bloomberg.Stakeholders: ASIC | NAB| Financial Advisory Licensees (e.g. AMP, MLC and IOOF)

Shenzhen, Guangdong, China

HTI is China’s biggest guaranty company and leading financial services provider.Main focus: Regulatory research, Client Risk Investigation and Verification, Market and Industry Analysis.Stakeholders: Banks | Rating Agencies | PE funds | Business owners

Australia