Chris Cheung Email & Phone Number

Vancouver, British Columbia, Canada

Vancouver, British Columbia, Canada

Responsibilities:- Integrate myself and my team from HSBC into RBC. - Provide subject matter expertise for the new department and help with team management and governance.Achievements:• Led my team through one of the most difficult change management processes in our careers during the migration of HSBC into RBC.• Quickly established rapport and created reputation/circle of influence within a new organization.• Successfully navigated new and unique people management scenarios, and kept a very positive team morale compared to peers.• Championed and marketed my team members to new RBC colleagues to successfully find placement within the new organization.• Formulated a risk-based strategy for my new RBC department to successfully articulate the need for additional roles which were then filled by my HSBC team members.• Developed a tracking and reporting program to meet a regulatory commitment for RBC's purchase of HSBC

Vancouver, British Columbia, Canada

Responsibilities:- Manage a team of sales subject matter experts to ensure appropriateness and proper conduct of all sales made by HSBC Wealth and Personal Banking in Canada.- Work with stakeholders to recommend solutions for gaps and enhancements in sales controls. Key stakeholders areas include heads of compliance, risk management, product management, and sales & distribution. - Represent Canada in the global HSBC forum for sales monitoring. Provide input in global initiatives and policies.Achievements:• Conceptualized and spearheaded a new sales suitability control monitoring approach. This approach is now adopted by similar markets globally across HSBC• Key contributor to a global initiative to reshape how HSBC samples and tests for proper sales outcomes globally• First in over 5+ years to significantly uplift the scope and quality of work, and enhance the capabilities of individuals in a well established team. This has resulted in the internal role promotion of 75% of the team, and a 33% increase in internal investment in team resources.• 2022 WPB Canada Stephen & Stitt Award, and 2022 Annual Lion Award winner; recognized as one of the 69 top performers from across Canada for contributions throughout the year.• Quarterly Team Lion Award in 2022 Q1 in recognition for our coordination of activities in efforts to help the bank meet new regulatory requirements introduced by Client Focused Reforms (CFR) in January 2022• Quarterly Team Lion Award in 2023 Q2 for successful design and implementation of a first of it's kind sales monitoring approach which increased efficiency by over 6000%. Rated as Top Performer in 2023

Vancouver, British Columbia, Canada

Responsibilities:- Manager of a team which conducts risk and control analysis for HSBC Wealth & Personal Banking Compliance Risk.- Work with Compliance and Business leaders in ensuring the effectiveness of Complaince controls and overall mitigation of Compliance Risks.- Ensure business leaders are meeting relevant regulatory requirements of the associated controls as well as the proper mapping of regulations to business processes.- Key liason for relevant regulatory programmes in HSBC Wealth and Personal Banking.Achievements:• Led a team of 5 in helping HSBC Wealth & Personal Banking (WPB) complete a key regulatory action with the Financial Consumer Agency of Canada (FCAC) with positive reviews by the regulator• Represented WPB Canada in HSBC's global redesign of the Regulatory Compliance Risk framework. Through myself, Canada was seen as a key contributor to the project.• Developed and identified key control monitoring programs to ensure the effectiveness of WPB Regulatory Compliance and branch management controls.• Within 1 year of role, Improved WPB Canada's overall Regulatory Compliance Risk rating; rating has not been improved for over 5 years• Helped the majority of my team in promotions to higher or parallel roles

Vancouver, British Columbia, Canada

Responsibilities:- Ensure the proper implementation of HSBC's global Operational Risk framework for Canada's Wealth and Personal Banking (WPB) business.- Coordinate global risk management projects with peers across all HSBC international markets. Providing input on project goals and priorities on behalf of Canada's WPB Chief Control Officer- Provide coaching and quality assurance for Canada WPB risk and control assessments across all risk disciplines.Achievements:• Lead for Non-Financial Risk transformation for Canada Retail Banking and Wealth Management (RBWM). As the Primary Canada representative, our country is recognized as always one of the first to understand global mandates and propose insightful analysis/alternatives• Lead for Canada RBWM implementation of Continuous Control Monitoring, recognized as a global best in class for figuring out an approach for operationalization of the global process.• Lead for implementation for Sarbanes-Oxley (SOx) Controls for Canada RBWM• Interim lead of the Business Regulatory Risk team for Risk & Control Assessments• Previously the execution lead for the New Product Due Diligence team within the previous Business Risk & Control Management (BRCM) team. Coached fellow internal/external colleagues on the risk framework to approve key business projects• Rated as Top Performer in 2018

Vancouver, British Columbia, Canada

Responsibilities:- Project Lead for Canada Wealth and Personal Banking (WPB). Project objective was to address the Prudential Regulation Authority (PRA) created as a part of the Bank of England by the Financial Services Act by overhauling HSBC's global risk mannagent framework.- Meeting with top level executives within the line of business to assess then set up all of the content for Canada WPB within banks’ system of record for risk and controls.Achievements:• Under my management, Canada was the first to complete major milestones on time with global approval.• Rated as Top Performer in 2017.

Vancouver, Canada Area

Responsibilities:- Provide analytics, reporting and framework design for sales monitoring of Canada Wealth and Personal Banking products.Achievements:• Designed tracking and reporting tools which automated entire processes and was recognized globally as Best in Class globally.• Key role in redesigning a major bank policy around vulnerable clients for Canada which was viewed as an example to be implemented globally.• Rated as Top Performer in 2016.

Toronto, Canada Area

Responsibilities:- Manage all operational aspects of the branch, including front counter customer service, cash and instrument handling, sales conduct and appropriateness oversight, Privacy Officer, and Fraud / Anti-Money Laundering (AML) Loss management.- Licensed Branch Compliance Officer role to oversee and approve Mutual Fund sales. Achievements:• Reorganized branch processes; improved performance and reduced losses, complaint & errors.• Recognized as a strong and engaged leader that empowers employees to succeed. All Customer Service Representatives working with me during this tenure have been promoted during/shortly after my leave.• Overcame learning curve to organize and coach branch to a positive internal audit review within 1 year.• Top Innovator in national 'Great Ideas' site annually, Great Idea prize winner in 2013.

Toronto, Canada Area

Responsibilities:- See responsibilities for Assistan Manager, Operational Risk and Administration. Role is in a support / Officer in Charge for the Assistant Manager.Achievements:• Reduced KYC (Know Your Client) deficiency in the largest branch in Eastern Canada to less than 3%• Designed sales quality tracking tools which have direct impact on the whole branch’s Year-end performance reviews.2011-2013 Ontario Y-Knot Youth Diversity Champion2012-2013 Junior Management Committee Leader

Ontario, Canada

• HSBC graduate program, 1 of 14 selected from thousands across Canada• Rotated across several locations in the Greater Toronto Area and Ottawa as a manager and experienced different markets of HSBC

Montreal, Canada Area

• Operations support responsible for Foreign Exchange (FX), Inward/Outward Payments and retail level International Banking Communication.• Created processes and workflow which increased capacity to allow for consolidation of activities in 2008-2009.Highest volume of FX and Wire Transfer transactions in Canada handled by 1.5 Full Time Employees (FTE) due to process design.• High Risk category transactions for all retail client segments; Commercial Banking, Private Banking, Premier / Personal Banking.

Montreal, Canada Area

Sales Representative and Retail Store management.Responsible for client service, complaint resolution, sales tracking, and Head Office liaison.One of the highest producing Sales representatives in Montreal area in 2006.

Montreal, Canada Area

Floor WorkFood Preparation and SaleCustomer ServiceGroup Catering

B.Com, Operations Management, Global Strategy, International Business

Dec, Commerce

Activities and Societies: Badminton Club (co-head) Chinese Culture Club

International Program, High School/Secondary Diplomas And Certificates