- Member of the ASIFMA Fintech Working Group – Representing the bank to respondon fintech-related consultations to regulators- Member of HKAB e-Banking and Cybersecurity Committee and Working Group –Responding on e-Banking and Tech-related matters including consultations- Advise LOB/corporate functions/technology groups on Hong Kong technology, privacy and outsourcing regulatory requirements.- Act as the regulatory liaison and facilitate the communications between regulators and internal stakeholders- Handle regulatory notification assessment and the reporting of technology or data breach incidents.

Corporate & Investment Bank, F&BM, T&O, Change Compliance Management

Team with colleagues around the globe - Specialising in regulatory compliance, BASEL 2 & 3 rules and calculations in Group Regulatory Reporting team at Group Management Office (GMO)• Tracking and interpreting new regulatory policies and consultation papers issued by regulatory bodies: FCA, PRA, Bank of England, Basel Committee and EBA, focusing particularly on Basel 3 and CRD IV• Analysing and ensuring all new regulatory requirements are incorporated into the Group,• Presenting complex regulatory changes in a clear and concise manner for senior management• Providing regulatory opinion to ensure regulatory compliance treatments are adherence to relevant regulatory and IFRS rules• Advising colleagues on Basel 2 calculation of RWAs (Inc. PD, LGD, EAD, CCR) and Pillar 1, 2 and 3, and the correct treatments of various exposures• Reviewing Dodd-Frank and FATCA rules and their impact on the policy team• Analysing and implementing new regulatory requirements into systems• System Testing – Data reconciliation and validation to ensure consistency in the numbers processed by Group Systems• Signing off deals and transactions including complex financial instruments such as Securitisation, Interest Rate Swap, Covered Bonds, Islamic Sukuk and Venture Capital Investment• Investigating reporting issues, system issues and data issues, and provide resolution• Participating in key projects including COREP (Common Reporting)• Conducting interviews and trainings for new staff• Performing regulatory changes in Group Reporting Chart of Accounts (GRCA) and assessing the impact• Carrying audit review for regulatory parameters• Assisting in the preparation of Pillar 3 disclosure• Providing supports to ensure the integrity of the Group's external reporting, including the capital management section of the Interim and Annual Audited accounts• Maintaining HSBC internal control standards, audit points and any issues raised by external regulators

Vestra Wealth LLP is an investment management firm set up by former UBS managing director David Scott in 2008, providing services for high net-worth individuals and families, with AUM in excess of £4 bn. This role also looks after the bookkeeping, management accounts and FSA filings for Signia Wealth Limited, a separate strategic wealth management firm set up by ex-Coutts staff, whose AUM is also in excess of £2 bn.• Supporting all functions and duties carried out by the Financial Controller• Transaction processing / monitoring• Ensuring an efficient client onboarding process • Ensuring this new firm is fully complied with all new prudential rules and MIFID• Preparing regulatory Returns / Partnership tax returns / VAT returns• Preparing Annual Statutory accounts and Audit Files• Liaising with external auditors and regulator to resolve any issues• Preparing monthly management accounts with commentary, analysing variance analysis, KPI• Preparing consolidated group accounts• Budgeting and Cash flow management and monitoring account funding• Calculating and reviewing management and performance feesAchievements & Special Work:Helping the firm to rectify and re-submit returns which were incorrectly submitted. Avoided a fine.

RSL was a leading provider of regulatory compliance and accountancy consulting as part of a major law firm in the UK. Providing regulatory advice, software solutions and business support services to the asset management and securities industry.Looking after a portfolio of 20+ clients and giving them a peace of mind, responsibilities include:Compliance:• Analysing requirements, setting up and implementing systems and software solutions to help clients meet all regulatory requirements• Monitoring regulatory rule changes and advising clients in a concise and beneficial manner (Prudential rules and MIFID)• Giving clients a peace of mind by preparing all regulatory returns• Conducting compliance monitoring and risk management assessment• Advising clients on Client Onboarding, due diligence, KYC, AML• Liaising and resolving compliance matters with the regulator• Basel II Pillar 1 – Ensuring Capital Resources Requirement (CRR), credit and market risk requirement & Fixed Overhead Requirement are complied with prudential rules• Basel II Pillar 2 – Assisting in the preparation of ICAAP, stress testing and identifying various risks• Assisting firms to apply for a regulatory licence for regulated activities. Business plan, annual financial projections for 3 years• Monthly monitoring on regulatory capital, CRR & Capital Surplus/Solvency ratio and large exposures• Calculating subordinated loan limit permitted as regulatory capital• Tracking with new regulations and advising clients when necessaryManagement Accounting:• Preparing monthly bookkeeping, management accounts and financial statements for senior management• Monitoring of Cash flow, writing commentaries and analysing variance analysis and KPI• Preparing year-end annual accounts and liaising with external auditors• Preparing monthly payroll and year-end HMRC Payroll tax returnsAchievements:Increasing revenue by creating guidance notes for new regulatory returns and sold to clients at £500 each

• Preparing monthly financial accounts and yearly word and tax pack• Liaising with external auditors• Intercompany recharges and reconciliation for various subsidiaries• Recording and reviewing day-to-day transactions in the cashbook, general, purchase and sales ledgers• Purchase ledger controller – liaising with suppliers and ensuring timely payment run• Expense controller – Approving expenses and depot petty cash claims according to internal rules• Credit card controller – Processing all company credit cards and dealing with any queries/disputes; debit balance review – monthly review to ensure that no claim is more than three months outstanding