Cindy S

Head of Global Markets Regulatory Compliance APAC @ Crédit Agricole CIB

About

A seasoned transversal compliance and product compliance advisory executive with regional experience in various financial disciplines in Asia Pacific on both buy/sell side and wholesale inter-dealer broking space. Established good working relationships with local and regional regulators. Experienced department manager managing local and regional team with proven leadership and management qualities with a proactive and strategic approach, organization & execution capabilities. A devoted process reengineer always aspires to find new ways to streamline and automate compliance processes and procedures in the ways of working for the betterment of the team.In-depth experience in: • product compliance advisory (cash equities, equity derivative and FICC products)• setting up corporate governance and product suitability framework• handling new business initiatives e.g obtaining APAC and US regulatory approvals to set up new business presence in regional countries. Certified Prince II Project Manager. ASIC PS146 Derivative Futures Specialist, TAIFEX Authorized Licensee (2005-2007), Certified HKIB Compliance Professional (completed HKSI Paper 1, 2, 3 and Leverage Foreign Exchange Trading Paper 1), the SMCR UK Regulatory Exam, the Chartered Institute of Arbitrators (ACIArb)

Country

City

Hong Kong SAR

Industry

Financial Services

Skill

Compliance Consulting, Legal Compliance, Equities, Fixed Income, Derivatives, Corporate Governance, Investment Banking, Internal Audit, Compliance, Asset Management, Internal Controls, Compliance Management, Analysis, Project Management, Trading, Equity Derivatives, AML, Capital Markets, Financial Risk, Finance

Experience

Head of Global Markets Regulatory Compliance APAC

Crédit Agricole CIB

2022-4 - Present · 4 yrs 6 mos

Hong Kong

Fully integrated compliance coverage and management for cross asset sales and trading functions, including KYD retail distribution platform, and private side DCM/Strategic Equity Finance affairs of global markets and investment banking division for all APAC countries, trade and communication surveillance team, 2LoD control testing team Completed the 1st cohort of CACIB APAC Women Leadership Programme

Head of Compliance

ABN AMRO Clearing Bank

2021-5 - 2022-4 · 1 yr

Hong Kong SAR

Manage the overall compliance function supporting the firm’s exchange traded cash and EQ derivs DMA offering, clearing and settlement, ETF primary creation and redemption, SBL offering

Regional Head of Sales Compliance, Global Markets, Director

HSBC

2016-7 - 2021-2 · 4 yrs 8 mos

Mandated to set up a new sales focused cross asset compliance team at HSBC Global Markets. Covering all affairs of FICC institutional sales, corporate sales (all products including design of suitability frameworks), product due-diligence, ePlatform sales, internal and external distribution of structured equity product business (KYD), cross border compliance, review of marketing materials and product literatures mainly focusing on FICC structured products and cross-borders transactions, KYC compliance framework, handling of regulatory inspections and enquires.

Head of Compliance, ASP

Vantage Capital Markets

2012-12 - 2015-11 · 3 yrs

Hong Kong

A global interdealer broker with head office in London and regional offices in HK and Japan, it specialises in wholesale cash equity agency trading, SBL, index, delta1 and exotic equity derivatives, fixed-income HY bonds, Asian distressed and illiquid assets, convertible and repo .(https://www.vcm.hk) Registered MLRO, NFA Principal and Chief Compliance Officer. Covering central compliance and a full spectrum of financial products compliance including trading listed and OTC equities and equity derivatives, trading FICC products including coverage on LME, loans, the primary placement and capital induction space.

Head of Compliance, Hong Kong

ICAP

2009-9 - 2012-8 · 3 yrs

Hong Kong

Listed on the London Stock Exchange, it was the world’s largest interdealer broker for OTC trading with head office in London and global regional offices, specialises in wholesale FICC products, cash equity agency trading, index, delta1 and exotic equity derivatives, fixed-income HY bonds, Asian distressed and illiquid assets, convertible and repos. Covering the Group’s HKMA and SFC regulated entities including central compliance and a full spectrum of financial products including listed and OTC equities and equity derivatives, FICC products including coverage on LME, secondary loan trading, structured finance group and capital advisory group. Coverage including ePlatforms- EBS, Trayport, ICAP Credit, DerivX, Brokertec, Traiana.

Investment Compliance Manager- APAC

Fidelity International

2007-11 - 2009-8 · 1 yr 10 mos

Hong Kong

Supervise compliance of ASP FIL fund mandates including coverage of PMs, ASP trading desk in HK and corporate access team in primary deal participations.

Project Manager - New Business Initiatives (Asia Pacific)

Global British Bank

2007-4 - 2007-10 · 7 mos

Hong Kong

Compliance lead for ASP expansion plan- including regulatory filings and new business setup in China, Taiwan, Korea.

Compliance Officer/ Internal Auditor/ Project Manager

Merrill Lynch

2001-9 - 2007-4 · 5 yrs 8 mos

Sydney (Australia), Taiwan, and Hong Kong Office

Provide compliance support primarily covering ASP Cash and EQ derivative business including implementation of the launch of HK SFO in 2003 and specifically handled ASX, HKEx, TAIFEX and new licences and business setup.