Ken So Email & Phone Number

香港特別行政區

BOCPT is a TCSP license holder and acts as trustee/administrator for different type of funds.- Acted as a checker and team leader in KYC team- Supervised and coached the subordinates – 4 subordinates- Performed new account opening for corporate/FI/nominee company/family trust/UT fund/OFC fund/SPC fund/LP fund- Provided advice to fund managers and their clients on AML/CRS/FATCA/PI issues- Reviewed name screening and transaction monitoring report- Drafted and reviewed internal KYC/CDD policy- Performed periodic review for High Risk client- Participated in AML system enhancement project

香港特別行政區

Fulbright is a SFC licensed corporation to provide asset management service and trading service in HK/SZ/US stock, global futures, bond and fund. - Acted as the Head of Client Onboarding Team- Supervised and coached the subordinates – 4 to 6 subordinates- Performed new account opening for corporate/FI/SPC fund/LP fund/family trust/high net worth Individual- Performed periodic review for Professional Investor and High Risk client- Reviewed name screening and transaction monitoring report- Drafted and reviewed internal KYC/CDD policy, account opening document, client agreement and standing authority renewal letter- Prepared FATCA/CRS reports- Provided advice to front office staff- Handled enquiry from auditor/HKEX/SFC- Handled IT project (including online account opening system, CRS reporting system, Shanghai-HK Stock Connect, HKIDR, enhancement of ET Trade, Ayers, eBroker, SharpPoint, Netcast and MT4 system)- Managed RTQ system (including AA Stock, MegaHub, TradeGo and ET Net)- Managed stocks/futures margin ratio, commission, rebate and credit line setting

BEA provides banking and investment services in HK and China.- Acted as a Branch Manager of a Securities Service Centre- Supervised and coached the subordinates - 3 to 5 subordinates- Performed new account opening for corporate/individual/trust- Performed periodic review for high risk client- Reviewed name screening and transaction monitoring report- Reviewed client FATCA status- Reviewed margin credit line and monitored margin call status- Managed corporate actions, client transaction and fund movement- Identified unusual/suspicious transaction/fund movement- Handled enquiry from internal auditor- Handled complaints cases- Maintained good relation with high value clients

香港特別行政區

- Handled securities transactions by phone and over the counter- Performed new account opening- Handled corporate actions instructions from clients- Handled enquiries

Graduate Diploma In Law, Law

Bachelor Of Business Administration - Bba, Finance, Second Honor

Associate Of Business, Financial Service, Credit