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Work History

Dec 2016present

Compliance Analyst (contract)

Tahoe Connect Limited

Tahoe Connect Limited is a London-based company, actively seeking to be authorized by the FCA. My position is on a part-time contract. The responsibilities include:

  • Help with the company formation and the filings with Companies House and HMRC
  • Prepare required documents and compliance package for the FCA application
  • Amend policies and procedures to accord with regulatory updates, e.g. MLR 2017, MiFID II, GDPR
  • Provide compliance trainings for the staff
  • Engage in other ad hoc projects
    May 2015Jul 2016

    Compliance & MLRO Associate (contract)

    Global Market Index Limited

    Global Market Index Limited is an FCA regulated IFPRU 125K brokerage firm based in London, FRN 677530. I was on a part-time contract role, mainly:

    • Carry out KYC/AML checks on clients' files, including identify, translate and archive the acceptable Chinese documents in line with the FCA requirements
    • Review clients' transactions on a regular basis and produce periodic reports
    • Liaise with the marketing team in Chinese office on any compliance queries
    • Maintain and update the compliance policies and procedures
    • 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
    • Check COREP data along with the Head of Compliance via GABRIEL system
    Aug 2016present

    Legal & Compliance Consultant | Operations Manager

    Tantinet Capital Limited

    Tantinet Capital Limited is a London-based company, providing compliance and technology consultancy services for Asian background clients who have plans for business expansion in the UK. My experience includes but not limited to the following:

    • Assigned by the company as the Key Personnel (contract role) to work in house for two client firms - Global Market Index Limited and Tahoe Connect Limited, in supporting their multiple enquiries related to day to day compliance and operations
    • Prepare FCA application/notification pack for client firms
    • Oversight client on-boarding and KYC/AML process
    • Deliver compliance training to senior managers
    • Update compliance policies and procedures in line with any regulatory changes
    • Review due diligence reports and Change in Control pack in relation to acquisition of regulated business 
    • Negotiate the legal terms set out in LOI, HOT, MOU, SPA, etc. along with Solicitors
    • Liaise with multiple stakeholders based in the UK, Hong Kong and mainland China
    • Ensure the company's business and operations compliant with regulatory requirements
    • Understand the team member's capabilities, manage workflows and process and drive best practice
    Jan 2013Jul 2016

    Legal & Compliance Assistant

    Tantinet Capital Limited
    • 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 Limited and others

    I have worked 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 assist the officers:

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

    Education

    2018

    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%.