Roy Mak Email & Phone Number

Hong Kong

Hong Kong Sar

Responsible for account opening and maintanence for both Equity (EQ) and Wealth Management (WM) departments. • Handled account opening for individuals, corporates and institutions with a wide range of account types, including custodian, margin, DVP, DPM, ESOP, HKCIES, counterparty, give up and sub accounts etc.• Assisted on SPSA, B share, SSI, investor ID, HKIDR BCAN, settlement type (DVP/RDVP, single/double-sided) set-up to ensure trades can be successively executed• Provided professional advice to Sales on disclosure requirements for complex-structured companies account opening (LP-GP, SPC-SP/VCC/OFC, Trust, Exempt CPI etc.)• Reviewed client’s KYC documents and checked the validity of numerous account opening documents including Board Resolutions, FATCA, W8, ISDA, DMA (Direct Market Access), Algo trade agreement etc.• Supported traders’ daily operation on Fidessa using Alert and various internally-developed system• Handled ad hoc accounts update request, including but not limited to SSI, contact, suitability, PI update for funds under Samsung, JPM, Statestreet etc.• Cooperated with traders, settlement and MO team to ensure trade booking is successfully executed with the correct PB/give-up account• Worked closely with business units (sales & trader), legal/compliance, credit risk, settlement, and MO departments with issues related to client accounts• Conducted an array of periodic reviews, including AML, FATCA, CRS, PI, suitability, derivatives knowledge reviews etc.• Cooperated with IT and Vendors on various system improvement projects• Provided on-job trainings to new joiners

Hong Kong Sar

Responsible for the development of enterprise resource planning (ERP) system, including analyzing user demands, enhancing user interface, and presenting recent system updates.• Participated in Hung Hing Printing Group ERP system development• Handled projects including the development of payroll system and inventory system• Analyzed the feasibility and priority of customers’ requests• Reported system updates/development progress to relevant departments

Hong Kong Sar

Responsible for assisting marketing manager on marketing campaign.• Designed current AMG financial group webpage • Assisted the launch of new campaign – ‘AMG Global – Market Insight’• Assisted marketing campaigns (sponsorship, recruitment)• Published and modified weekly market commentary

Hong Kong Sar

Responsible for assisting Chief Investment Officer group on market research.• Conducted basic market research and reported important news to the senior management team on a daily basis. • Presented Investment portfolio analysis on mutual funds and global economy overview (i.e. impact of the interest rate hike) on a weekly basis. • Completed documentations (i.e. financial due diligence)

Bachelor Of Business Administration - Bba, Finance

Exchange

Education record