Sunny Tan Email and Phone Number

Responsibilities:• Regulatory Compliance: Ensure compliance with ASIC and MAS requirements, enhance trade state report automation, and oversee daily report preparation.• Training and Oversight: Train and supervise new staff in trade reporting and customer support processes.• Internal Support: Support processing and customer service teams, troubleshoot data issues, and adhere to internal procedures.• Customer Service: Provide professional customer service, handle client matters promptly, and manage escalations.• Data Monitoring: Monitor transaction data, identify and rectify discrepancies, and manage client data processing with SQL scripts.• Client Communication: Conduct regular calls with ASIC/MAS clients, provide updates on reporting changes, and implement urgent fixes.• Error Resolution: Ensure accurate submission to Trade Repositories (TRs) and Approved Reporting Mechanisms (ARMs), resolve errors, and assist clients with reporting issues.• Audit and Reconciliation: Establish audit and reconciliation processes, ensure annual/quarterly accuracy reviews, and distribute monthly statistical reports.• Client Onboarding and Offboarding: Support onboarding of new clients and implementation of changes in APAC, and assist with offboarding processes.• Collaboration and Development: Collaborate with internal teams to develop efficient reporting processes, work with developers to enhance processing functions, and ensure compliance with regulatory standards.• Stakeholder Support: Provide guidance and training on transaction reporting, and maintain thorough documentation.• Client Follow-Up: Monitor and follow up with clients on data submission, ensure timely response to support queries, and report processing errors to developers.• Management Reporting: Distribute end-of-day emails to management, complete and place processed files in the client’s handback folder.• European Support: Occasionally support EU/UK processing staff and the Trade Reporting Manager – EU/UK.

• Manage and oversee the timely and accurate submission of transaction reports to relevant regulatory bodies.• Ensure compliance with all relevant regulatory requirements, including but not limited to ASIC, MAS, and other applicable regulations.• Monitor and assess transaction data to identify any discrepancies or irregularities, taking necessary action to rectify any issues.• Collaborate with internal teams to develop and implement efficient processes and controls for transaction reporting, ensuring adherence to best practices and regulatory standards.• Stay updated on changes in regulatory requirements and communicate relevant updates to the organization, ensuring ongoing compliance.• Conduct regular reviews and audits of transaction reporting processes to identify areas for improvement and implement necessary changes.• Provide guidance and support to internal stakeholders on transaction reporting matters, offering training and assistance as needed.• Liaise with external stakeholders, including regulatory authorities and auditors, to address inquiries and facilitate regulatory examinations or audits.• Generate and maintain comprehensive documentation related to transaction reporting activities, including reports, policies, and procedures.

• Responsible for branch Compliance Reporting to the Labuan Financial Services Authority (LFSA) on Know Your Customers (KYC), Anti-Money Laundering/Counter-Terrorism Financing (AML/CTF), and conducting Operational Risk reviews• Manage the compliance process for onboarding of new clients and periodic client reviews• Monitor the company's due diligence documentation to ensure compliance with AMLATFA and achieve KYC completeness• Responsible for monitoring transactions, in cooperation with account managers, local management, and/or the LFSA for reporting and cooperating with the BNM on AML/CFT• Support local account managers with all compliance-related questions• Reviewing formal policies on risk management, corporate governance, preparing statistic submissions to authorities, and performing compliance checking on clients i.e. world check• Risk assessment on funds managed

• Responsible for Luxembourg SICAV portfolio• Prepare and maintain accurate investment reports for the CIO and client• Analyze and structure investment proposals• Implementation of ongoing investment due diligence• Conduct performance attribution analysis to explain differences between portfolio and benchmark returns• Participate in investment product development

• Assisted Compliance Officer regarding anti-money laundering and counter financing of terrorism monitoring• Assisted Compliance Officer to monitor client transactions

• Organized office relocation effectively and efficiently• Produced office tenancy agreements• Organized office renovations• Managed office petty cash accountings• Managed administrative responsibilities tasks among office staff

• Provided the Fund Manager with portfolio analysis• Prepared and maintained accurate investment reports and financial models• Assisted in analyzing investment proposals• Assisted in the investment process implementation of Luxembourg SICAV portfolios

• Organized the setting up of the office in Labuan• Responsible for the equity market and economic commentary• Managed financial information data validation