Leading NB China's Legal & Compliance team to provide robust and reliable support to business-side projects and initiatives, e.g. onshore retail funds, Private Asset Management accounts and non-discretionary investment advisory services.

 Served briefly as CEO of Goldlark (Shanghai) until the Merry Sense project was officially launched Mapped out a strategic chart for the Goldlark group to venture into overseas markets as well as the mutual fund business Submitted application in 07/2016 to the CSRC for a mutual fund license in mainland China as co-shareholder of Merry Sense Asset Management whose other key shareholders include Goldlark’s investment advisory arm Led Goldlark (Hong Kong)’s conception, setup and licensing initiatives starting 06/2016 and served as Responsible Officer of the company in charge of compliance, risk management, anti-money laundering and technology related issues starting 12/2017

 Served as co-chair of the company’s Investment Decision Committee with all 7 private funds under the company’s management achieving positive returns during my tenure while total AUM rose 75% Oversaw end-to-end operations of the company and managed to streamline existing business processes for fund management, marketing and distribution as well as back office functions such as fund valuation and fund accounting

 Enlisted by the Board to weigh overall business risks against rewards and participated in Board meetings to report and testify on risk and compliance related issues Participated in Investment Decision Committee meetings to present key findings on investment risks, market outlooks and performance attribution results Served as chairperson of both the company’s Risk Management Committee and Committee of Review for Discretionary Mandates Led all-around efforts to implement and improve effective internal controls to assure compliance with applicable laws, regulations and in-house rules Liaised with and reported directly to regulatory bodies, conducted investigations into potential regulatory or compliance breaches, responded to CSRC queries Maintained a record of 0-count administrative penalty or disciplinary action on the company during my tenure with the company’s AUM steadily rising from RMB 42B in 2012 to RMB 160B in 2015 Sustained a sound working relationship with the industry’s self-disciplinary body, the AMAC

 Spent 10 years at the nation’s top securities regulator including 7+ years in the Department of Investment Fund Supervision (“the Department”), 5 of which were in a leadership role Participated in the Department’s weekly decision-making meetings along with department heads and appeared on CSRC Chairmen’s working meetings on a need-to-report basis Engaged in comprehensive decision making processes with regard to consultation, promulgation and enforcement of regulatory rules with the stated goal to contain and mitigate systemic risks Specialized in supervising all aspects of asset managers’ and custodians’ business with a particular focus on regulating fund distribution activities Acted as one of the key contributors to the conception and implementation of the fund distribution regulatory framework and pioneered the introduction of suitability principles to local fund distributors  Propelled the use of third-party payment services in fund distribution as a way to further lower distribution costs Garnered strong working knowledge of back office functions such as TA, FA, fund clearing and settlement Maintained a strong working relationship with the PBOC, CBRC, CIRC, Ministry of Commerce and the State Administration for Industry & Commerce

 Led or participated in pitch processes for consulting projects in areas of corporate-level IT systems analysis and appraisal

 Provided software support to STS Systems Retail Suite users most of whom were fashion retailers