Jonathan Sim Email & Phone Number

Singapore

- Managed the Treasury Product Execution Desk and oversaw execution of treasury products, including structured products and equity products- Ensured timely and accurate execution of transactions while minimizing operational and market risk- Managed a team of dealers and support staff, providing coaching and mentoring to maximize performance and productivity- Monitored and reported on desk performance and made recommendations for improvements and enhancements- Collaborated with cross-functional teams to develop and launch new equity-linked products and services- Collaborated with Treasury Specialists to develop and execute client strategies and solutions- Developed and implemented policies and procedures to ensure compliance with regulatory requirements and internal risk management policies- Maintained relationships with key stakeholders and industry partners

Singapore, Singapore

Multi asset trade execution of UOB PFS Wealth Management Structured Products & Equity- Understand and adhere to existing Structured Products & Equity frameworks and standards - Managed and maintained timely and accurate trade reports- Efficient workflow in high trade flow business- Participated in workflow enhancement project to streamline operational inefficiencySRP Asia Pacific Awards 2020/2021 : Best Distributor, Singapore Best Distributor, South and Southeast AsiaStructured Retail Products (SRP) is part of Euromoney Institutional Investor

Singapore, Singapore

Portfolio Penetration- Penetrate new customers and deepening relationship with existing customers through Equity Trading Service (ETS)Risk Management and Controls- Observed dealing standards and control measures- Observed all governance and conduct of the ETS business - On-going review and monitoring of process and operation functions of the platform to ensure efficiency and mitigate any operational losses

Singapore

• Perform financial analytics on equity business to derive execution revenue and soft dollar credits for global clients• Communicate with clients and trading desks to analyse trade flows & client trading revenue across regions and develop cordial relationships with tier-1 clients• Handle trade reconciliation with third party aggregator (Markit, Instinet, Investar)• Perform payment eligibility checks for usage of soft dollar credits• Contribute in building an automated IT system to align with the MiFID II requirements, using it as a strategic tool to engage external stakeholders

• Responsible for contacting and liaising with Relationship Managers and clients on the collection of necessary KYC/FATCA and Global Client Consent documentations.• Ensure all Client Due Diligence requests are resolved within agreed timeline.• Develop strong relationships with the respective teams and work closely with Global coverage Relationship Managers and KYC team to understand the urgency and priority of different KYC renewal and remediation tasks.• Adhere strictly to compliance and risk controls in accordance with HSBC and regulatory standards – MAS and HKMA.

• Researching on global financial instruments (Equities / Mutual Funds / Fixed Income /FX).• Researching and writing up of daily sales notes to clients.• Solicit new business by opening of new accounts (Retail/Corporate) locally and regionally.• Responsible for account management, including re-establishing contacts with dormant accounts.• Responsible for recommending suitable products that fits their financial/risk appetite. • Servicing of accounts to ensure maximum renewals of business.• Maintaining close relationship with clients to ensure that their expectations are met.• Conduct presentations to Corporations and Clients on platform demonstration, market outlook and products.• Conduct roadshows to get new leads/accounts. • Attend networking events. • Work with UOB Group and branch network to market UOB Kay Hian and products. • Conduct KYC and due-diligence before on boarding; money laundering and association with terrorism.• Perform credit risk analysis based on client's credit profile.• Develop sustainable plan for trading loss exposure.