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Work History

Aug 2016present

Legal & Compliance Consultant

Tahoe Group International Ltd

Tahoe Group International Ltd provides brokerage services across Australia, Mainland China and Hong Kong. Its UK office has just been established and is seeking to be authorized by the FCA. My responsibilities include:

  • For UK office:
    • Help with the establishment of new company and the registration with Companies House and HMRC 
    • Prepare required documents and compliance package for the FCA application
    • Keep senior managers updated to the FCA queries
    • Draft internal compliance policies and procedures
    • Review and amend company articles and shareholder agreements
    • Generate compliance training materials for the staff
    • Engage in other ad hoc projects
  • For Chinese offices:
    • Perform KYC/AML checks on Chinese clients' files
    • Carry out on-boarding and on-going monitoring
    • Communicate with colleagues based in China on the day to day compliance queries
    • Advice on filing trade marks in China, UK, EU and worldwide
May 2015July 2016

Compliance & MLRO Associate

Global Market Index Ltd

Global Market Index Ltd (GMI) is a FCA regulated brokerage firm based in the city of London. I mainly: 

  • Carry out KYC/AML checks on clients' files, including identify, translate and archive the acceptable Chinese documents in accordance with the FCA requirements
  • Monitor clients' transactions on a regular basis and producing periodic reports
  • Work with the marketing team in Chinese office on dealing with the day to day compliance queries
  • Maintain and update the compliance procedures
  • Prepare materials in line with any regulatory, product or company changes required
  • Prepare documents for compliance internal audit
  • Deliver compliance induction and trainings to the staff
  • Keep the records (e.g. client files, employee files, training and assessment results) properly and up to date
  • Assist MLRO with SARs online reporting
  • Review and correct COREP data along with the Head of Compliance via GABRIEL system
Jan 2013May 2015

Legal & Compliance Assistant

Tantinet Capital Ltd

Tantinet Capital Ltd is a London based financial consulting company. My responsibilities include but not limited to the following:

  • Perform KYC/CDD on client firms
  • Monitor transactions and prevent money laundering
  • Comply with data protection and security information policies
  • Handle multiple clients' projects regarding KYC/AML/CTF checks
  • Assist client firms to establish UK offices and prepare required documents for applying FCA licence
  • Draft and proof reading IB contracts alongside Solicitors
  • Consult with trade make registration issues in the UK, EU and China
Jan 2011Jan 2013

FX Affiliate

Easy-forex Trading Ltd and others

I have cooperated with several London based financial derivative brokers, such as Easy-forex, Activtrades, Plus 500, IronFX, etc. The main activities carried out including:

  • Introduce new clients online and offline
  • Generate web-based and printed graphics for marketing purposes
  • Support account manager and compliance officer on verification of clients' ID and address
  • Provide basic training for clients, including an introduction of KYC/AML
Jul 2007Aug 2007

Associate Legal Officer Internship

Legislative Office of Beijing Chao Yang District Government

My role is to help the officers:

  • Draft and archive legal documents
  • Deal with the queries of visitors
  • Organize discussions on administrative appeals

Education

2017

CISI Diploma in Investment Compliance

Chartered Institute for Securities & Investment   

Currently I am preparing for the relevant exams of this qualification.

20092010

LLM in Information, Technology and Intellectual Property Law

University of East Anglia

I have been particularly interested in Intellectual Property Law. It is an area that traditionally links to the protection of artistic works, industrial designs, branding and inventions, etc. In recent decades, it also concerns much with the new media. I graduated with "Distinction" for my master dissertation.

20042008

LLB in Civil, Commercial and Economic Laws

China University of Political Science and Law

I have been familiar with banking and finance from a legal perspective since 2004. The relevant courses include Corporate Law, Economic Law, Negotiable Instrument Law, International Commercial Law and International Trade Law, etc. I graduated with an average mark of 85%.

Knowledge & Skills

  • Knowledge of the FCA Handbook and KYC/AML/CTF related laws and regulations
  • Good writing and communication skills in both Mandarin Chinese and English
  • Capable and confident of using MS Office Suite & Adobe Creative Suite
  • Experience of IP law practice and digital design in the UK, EU and China

Personalities & Advantages

  • Always keeping an eye on regulatory updates
  • Interested in dealing with words, forms, figures and graphics
  • Passionate with career development in financial area
  • Highly organized and have excellent attention to detail 
  • Interested in self-studying and self-development