Chen Chi, Cfa, Frm Email & Phone Number

Shanghai, China

Shanghai, China

Shanghai, China

Settlement- Ensure timely and accurate trade settlement by liaising with BU on booking and /or settlement issue and closely monitoring trade confirmations for securities trading in SHEX, SZEX, BJEX, Derivatives and Interbank Bond Market.- Perform daily transaction, position and balance reconciliation, ensuring all exceptions, such as gaps for cash balance, bond holding positions, are investigated and resolved prior to the end of day.- Handle regulatory reporting for prop trading business by using Python for data generation.Anti-money Laundering- Conduct KYC procedure for onboarding and ongoing IBD clients.- Conduct level one name screening disposition and provide timely feedback for prop trading counterparties.Contribute to business setup procedures- Engage in policies and SOP drafting.- Review NPA for new product to launch from the perspective of Operations.- Partner with IT and vendor to do UAT testing for systems (Hundsun valuation, Croot IMS) used for trading, booking and valuation purposes.- Membership application for SSE SZE CSDC, bank accounts opening.- Handle registration with PBOC for CIBM access, trading account setup for both CCDC and SHC, settlement account setup for CSDC Shanghai, CSDC Shenzhen and CSDC Beijing.

Shanghai City, China

Thanks to the job rotation opportunity, I could earn more first-hand experiences along different positions relating to brokerage operation management.Trading flows Management- Build automatic trading book model for accounting and financial reporting procedures via multi-platforms data sharing.- Establish trading reconciliation model to minimize the risk of misusing clients’ funds under the third-party depository fund control system.- Setup estimation and allocation model to optimize the procedure of automatic income and expense estimation and allocation.- Create and maintain consolidated, auditable documentation library for settlement procedure, and being proactive by suggesting enhancements to workflow to increase settlement efficiency.Settlement Specialist – Bond Market- Design cash management and bonds settling strategies, and implement strategies with traders to optimize cash flow efficiency.- Monitor cash flows and generate cash reports to maintain a risk alerting system with Trading & Sales.- Develop data collection program and analysis model to achieve automatic settlement cost allocation along with bond trading departments.Operation Management- Develop strong working relationships and collaborate across departments to proactively manage their needs and requests.- Actively engage with the technology team to build an operational event database and run periodic processes to provide regular management reporting for monitoring, controls & governance of the brokerage operation.- Participate in business changing projects, to identify operation improvement opportunities and lead implementation. e.g. Architecture review of operation with subsidiaries, etc.

Shanghai City, China

- The name of the official account is ChattingAboutFinance.- Post articles to share the personal views of the financial market, the economic condition and geopolitics.- Post articles to share the personal experiences of passing CFA and FRM exams.- Interact with readers to discuss the personal views posted on articles.

Fuzhou, Fujian, China

- Build data collection, analysis, and visualization model to prepare routine analysis report relating to company operation.- Learn to manage QFII accounts and prepare corresponding daily transaction reports.- Familiar with the regulatory requirement set by the Chinese Securities Investor Protection Fund Company, and assist the data reporting procedure on Investor Protection Platform.

Sydney, Australia

- Recording weekly review courses to summarize key contents relating to lectures.- Facilitating clients to prepare for exams by explaining key concepts and the calculation process for tutorial questions.- The courses covering Financial Institutional Management, Risk and Insurance, and International Corporate Finance.

Master Of Financial Analysis, Accounting And Finance, 80/100

Coursework: Financial institution management, Risk and insurance, International corporate finance, Applied portfolio management.

Bachelor Of Commerce, Accounting And Finance, 70/100

Double majors in Accounting and Finance Coursework: Corporate finance, Investment portfolio management, Derivative securities, Fixed.