• Supervising Rates Middle Office across global as core location manager in London, lead Rates middle office functions in China & India, onsite support EMEA & GLOBAL Rates sales and trading desks.• Manage controls in light of key business projects, business/ market changes (i.e., Libor Migration, clearing and trading obligation change with regulatory requirements, Risk Management System (Murex) migration, etc.) • Interacted with auditors (internal & GIA)/ counterparties, lead and implement optimal solution for control defects, financial, operation & settlement risks.

• Supervising UBS China business solution center global FICC & Equity Directives Middle Office T0 functions.• Being part of China IMO MC Member, ensure all practices are in compliance with relevant risk standards, policies, and regulations (MIFID II/CFTC/ISMA/Fin frag) to maintain an effective control environment.• Get involved with EQ & FRC working flow design, report to function heads regarding the front to back analyst and approach with most optimal designation for group operation model.• Being part of UBS BSC people committee, takes lead position for multiple people committee events.• Interacted with external clients/ counter parties, including clearing house (Euroclear, Clearing Stream, HKEX,etc) and Custodian banks (BONY, HSBC, Citi, etc.) , supervising the custodian banks' performance and organize regular governance meeting with client supports, to provide optimal solution for clients' requirement. • Being part of cloud innovation group, working on proposal of shifting unstructured data to structured data, also opportunity to link with AI strategy for the IMO processes. • Represent for UBS in global ISDA working group to coordinate with improving ISDA definition and apply it to UBS investment bank accordingly.• Digital transferring the bank, delivered three robots, including global Equity Directives trade capture / cash booking / cash bonds settlement method adjustment robots. Part of PRA (Process Robotic Automation) working group management.• UBS 2020 APAC innovation award winner, by implement OCR/ AI technology to broker confirmation automation program.

Associate Director Role: Investment Bank Rates Middle Office operation. • Supervising UBS China business solution center EMEA/NA FICC Rates Middle Office function.• Award “Most Valuable Employee (MVE)” in UBS China business solution centre, 2015 Q2.• Direct report to UBS onshore manager for daily IB operation business, ensuring that all risk items are managed and escalated appropriately to required stakeholders.• Interacted with KPI enhancement and on-board.• Ensure practices are in compliance with relevant risk standards, policies, and regulations to maintain an effective control environment• SME for Vanilla, IRS, OIS, X-CCY, FRA, Swaption, ZC Inflation Swap, FX Option product.• Conduct and organize weekly SAR meeting at China side with UBS London/NY FICC Rates senior management.• Interacted with development team and also external clients, liaised with multiple business functions to on-board new project.• Provide oversight and consultation on potential breach and escalate to risk, compliance, and legal as necessary.• Validate and review controls in light of key business projects, business changes, and daily health check events

Offshore Team Leader of T0 life circle control for EMEA FICC desk,UBS AG London branch, UBS Investment bank• Derivatives Middle Office role supporting EMEA Flow Rates, Structured Rates, Hedge Fund desk• T0 trade control product: Vanilla, IRS, OIS, X-CCY, FRA, Swaption, ZC Inflation Swap, FX Option• Responsible for daily FX, fixed income rate reset using Thomson Reuters Xtra3000/Eikon & Bloomberg• Investigated confirmation & settlement queries for offshore team, resolved breaks on a timely basis• SME for OTC affirmation & Novations protocol (allocations, novations, unwinds) on Markitwire• Displayed knowledge of LCH/SCM/VCON/CME clearing models by processing trade backloading• Evaluated collateral implications, gathered internal approvals, consented to novation requests via email• Managed post-trade life cycle events by monitoring MW queues, PnL reconciliation, trade value pricing• Interacted with external clients, liaised with client onboarding team to set up counterparty static data• Updated SOP process procedures, provided job-specific training to team members (graduates, interns)• Conducted weekly and monthly SOX sampling on team tasks to comply with regulatory requirements• Sales assistant role for EMEA FICC core hedge fund sales desk

• Derivatives Middle Office role supporting EMEA Flow Rates, Structured Rates, Hedge Fund desks• T0 trade control team: Vanilla, IRS, OIS, X-CCY, FRA, Swaption, ZC Inflation Swap, FX Option• Responsible for daily FX, fixed income rate reset using Thomson Reuters Xtra3000/Eikon & Bloomberg• Investigated confirmation & settlement queries for offshore team, resolved breaks on a timely basis• SME for OTC affirmation & Novations protocol (allocations, novations, unwinds) on Markitwire• Displayed knowledge of LCH/SCM/VCON/CME clearing models by processing trade backloading• Evaluated collateral implications, gathered internal approvals, consented to novation requests via email• Managed post-trade life cycle events by monitoring MW queues, PnL reconciliation, trade value pricing• Interacted with external clients, liaised with client onboarding team to set up counterparty static data• Updated SOP process procedures, provided job-specific training to team members (graduates, interns)• Conducted weekly and monthly SOX sampling on team tasks to comply with regulatory requirements

• Isoftstone: business process outsourcing partner to UBS.• Risk Control Operations for APAC Equity derivatives desk at UBS Investment Bank.• Responsible for cash projection and daily reporting to HK risk control, HKTS & HKDTS management.• Performed high level reconciliation (Borrow book, Inter-desk, Intercompany reconcilations).

• Responsible for billing & Outgoing Claims for mutual funds• Responsible for investment funds pricing/ daily valuation (client: DB, JPM, PIMCO)• Responsible for investment funds corporation action operation (client: DB, JPM, PIMCO)• Responsible for new projects on boarding, evaluation & development