Support MUFG"s Asia Compliance Office in rolling out key Compliance policies within APAC region

Support Group Compliance in rolling out key Compliance related initiatives, systems rollout, training and overall work planning. BAU agenda includes the support of the Bank's whistle-blowing framework and implement regulatory driven initiatives.

Part of the process and governance team that takes care of policy interpretation, process improvements and assurance in the retail AML / CDD space

Project DeliveryPart of a team that led the global Client Due Diligence Target Operating Model rollout inclusive of the operationalisation of CDD procedures. Governance• Liaise with key stakeholders such as Group Internal Audit, policy owners and financial crime compliance on Customer Due Diligence (“CDD”) remediation exercises, DFS/US Monitor issues and ensuring overall compliance with the bank’s group policies & procedures • Remediation of CDD gaps and deficiencies (poor quality or missing CDD) via improved CDD policies and procedures • Preparation and maintenance of process notes and validation memos that improves CDD policies and addresses any potential gaps

Supporting the equity documentation "Thunderhead" and digitization project. Through STP (straight-through-processing), the project aims to streamline and eliminate manual confirmation processes, ensuring synergy between front to end stakeholders and streamlining of trade information such as trade booking, termsheets etc.

• Supporting the Global Equity Derivatives Front Office, inclusive of the Equity Flow and Structured Desks.• Trade Validation – Ensuring consistency between trade bookings and termsheets.• Trade life cycle management – periodical fixings and payment calculations, expiration and knock-outs, booking/termsheet discrepancies (Stakeholders – FO, Settlements, Documentations, Client Coverage.)• Portfolio creation and management. Ensure accurate portfolio positions, maintaining of FO cash balances (Stakeholders – Front Office, Product Control, Market Risk)• Risk management - Ensuring mitigating risk controls in place such as maintaining up-to-date DOIs, risk, reports, daily checklists, low key man risks (shared knowledge) • Projects – Writing and testing for new booking models for new products and booking models liaising with Front Office & structurers on UAT testing.

• Preparing and reviewing confirmations for equity derivative products such as structured & vanilla swaps and options as well as Structured Notes programmes. • Liaise with Legal & Front Office to structure bespoke templates adhering to ISDA standards. • Preparing periodical Fixing Advices for swaps & options, liasing with Settlements and Middle Office on trade investigations & discrepancies• Preparation of Listed Warrants documentation for listing on Hong Kong Exchange.• Reporting on trade volume and drafting numbers for senior management.

• Managed settlements and trade processing for options’ trades.• Corporate Action on option expiries, knock out events and shares assignment for PB client positions.• Advised Front Office and Operations on any trade discrepancies