Lawrence So Email & Phone Number

Hong Kong

Hong Kong, Hong Kong Sar

- Supervise and lead daily operations of cash management, end-to-end trading, settlement and corporate action activities of mutual fund and alternatives for the fund distribution and advisory business in Hong Kong.- Oversee and manage KYC and due diligence operations during the client onboarding and account maintenance and periodic review processes and maintain effective internal controls to comply with regulatory requirements and policies. - Establish and refine the standard operating procedures and operational workflows to meet fast-growing business needs and support the adoption of the pioneering business model in Hong Kong.- Lead operation related system enhancement projects and collaborate with cross-functional teams to optimize client experience, improve operational efficiency, and reduce operational risks. - Collaborate with different business units across the company in Singapore and Hong Kong and external vendors on the design and rollout of new products and investment initiatives.

Hong Kong Sar

- Supervise and lead daily operations of cash management, equites settlement and corporate actions processing from various markets, including Hong Kong, Stock Connect and US markets. with the use of internal back office system and CCASS.- Liaise and collaborate with customer services team and finance team for handling settlement and corporate action queries, trade matching discrepancies and post-trade reconciliations.- Advise and provide insights on product development projects from operations’ point of view in partnership with the algorithm and technology team to help the launch of new features like fractional shares trading, crypto ETF trading and more customized and thematic investment portfolio with lower costs.- Assist and Participate in the development of a new in-house settlement system and migration plans, help reengineer, fine-tune, and refine the settlement functions and procedures to be more user-friendly and reduce manual workload, while complying with current regulatory policies.

Hong Kong

- Assist team head to supervise daily operations and oversee the full lifecycle of equites settlement and corporate actions processing from various markets, including Hong Kong, Stock Connect, China B shares and other global markets, EIPO and private placement, stock lending and borrowing, and stock options settlement with the use of internal back office system, CCASS, CreationOnline, CMU, DCASS, Omgeo and SharpPoint.- Liaise and collaborate with middle office, finance team and various counterparties for handling settlement instructions and trade confirmations, trade matching discrepancies, trade pre-matching support and post-trade reconciliations, late trade booking, amendment and cancellations.- Review the operations procedures and finetune the workflow to improve work efficiency while in compliance with the relevant regulatory policies and rules.

Hong Kong

Main Duties:• Supervise daily operations of securities nominee services, EIPO processing and dividend entitlement distributions, oversee end-to-end Corporate Actions lifecycle of various investment products, approve and execute client instructions timely via internal securities system, CCASS, CreationOnline, CMU and SWIFT Alliance.• Liaise with other business, technology partners and external vendors on projects of enhanced system implementation, define user functional requirement and projects scope, design test scripts and coordinate UAT accordingly.• Review and facilitate team production workflow and internal control with technology initiatives, procedural redesign and operation process automation to reduce manual workload of all activities, ensure work efficiency, accuracy and quality customer services.Projects Contributions:• Enhanced the securities system to automate generation of clients’ Corporate Action notification advices, consolidate redundant reports and facilitate the entitlement distribution process, successfully shorten 80% of the manual work time to handle daily Corporate Action operations and minimize potential operational risks.• Implemented the Corporate Action services on Internet Banking to allow clients check on corporate events and submit corresponding instructions electronically, reduced posting risks and boosted team efficiency in handling instructions.

Hong Kong

• Receive on-the-job training and rotations within several operations support functions like retail and corporate banking processing support, autopay processing, local stock, fund and treasury settlement, corporate actions, bank operation monitoring, and project coordination for new system development• Perform assigned duties, under direction of mentors, to become familiar with bank back office daily operations and staff functions concerning transaction processing with branches• Developed attentiveness to details, teamwork and improved communications skills through working with different functional teams and staff at all levels

Bachelor’S Degree, Double Major In Economics; Applied And Computational Mathematical Sciences

Activities and Societies: Hong Kong Student Association, National Society of Collegiate Scholars, Omicron Delta Epsilon

High School

Activities and Societies: Editorial Board