Qualified compliance professional with 15+ years of relevant experience in wealth management, private banking, asset management, insurance and financial operations - with a focus on regulatory compliance on products registration, selling activities, KYC & AML and risk management. Overseeing compliance and risk management functions in Shanghai, Hainan, Hong Kong, Taiwan, Singapore, Japan and Australia. Solid experience in dealing with regulators including SEC in US, SFC in HK, SITCA & FSB in Taiwan, AMAC in Shanghai, MAS in Singapore, ASIC in Australia and etc. Including Licensing, Intermediaries Supervision, Enforcement divisions and Office of Commissioner of Insurance (OCI).Proficient in designing internal policies, compliance monitoring program, policies and procedures to ensure compliance with the applicable legal and regulatory requirements. Other areas of expertise include conducting of compliance monitoring programme to evaluate and identify control deficiencies within financial institutions and recommend changes for improvements.