Cindy Email & Phone Number | An experienced general compliance and product compliance advisory specialist with 20+ years regional experience in various financial disciplines in Asia Pacific (having worked in Australia, Taiwan and Hong Kong) on both buy/sell side and the 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 for over a decade. 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. To date, I spearheaded various regulatory inspections and investigations with regional regulators and project managed the resultant remediation projects, including new regulatory implementations and remediation projects for the wider departments. Certified Prince II Project Manager. ASIC PS146 Derivative Futures Specialist, TAIFEX Authorized Licensee (2005-2007), Completed HKSI Paper 1, 2, 3 and Leverage Foreign Exchange Trading Paper 1, the SMCR UK Regulatory Exam.

Cindy

An experienced general compliance and product compliance advisory specialist with 20+ years regional...
Hong Kong, Hong Kong, Hong Kong

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Cindy ’s Email cindy@cacib.com

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Cindy ’s Location Hong Kong, Hong Kong, Hong Kong

Cindy ’s Current Industry Credit Agricole Cib

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Head Of Global Markets Regulatory Compliance Apac

2022-04-01 00:00:00 - Present

Head Of Compliance

2021-05-01 00:00:00 - 2022-04-01 00:00:00

Regional Head Of Sales Compliance, Global Markets, Director

2016-07-01 00:00:00 - 2021-02-01 00:00:00

Head Of Compliance, Asp

2012-12-01 00:00:00 - 2015-11-01 00:00:00

Head Of Compliance, Hong Kong

2009-09-01 00:00:00 - 2012-08-01 00:00:00

Investment Compliance Manager- Apac

2007-11-01 00:00:00 - 2009-08-01 00:00:00

Project Manager - New Business Initiatives (Asia Pacific)

2007-04-01 00:00:00 - 2007-10-01 00:00:00

Compliance Officer/ Internal Auditor/ Project Manager

2001-09-01 00:00:00 - 2007-04-01 00:00:00

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Cindy is a An experienced general compliance and product compliance advisory specialist with 20+ years regional experience in various financial disciplines in Asia Pacific (having worked in Australia, Taiwan and Hong Kong) on both buy/sell side and the 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 for over a decade. 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. To date, I spearheaded various regulatory inspections and investigations with regional regulators and project managed the resultant remediation projects, including new regulatory implementations and remediation projects for the wider departments. Certified Prince II Project Manager. ASIC PS146 Derivative Futures Specialist, TAIFEX Authorized Licensee (2005-2007), Completed HKSI Paper 1, 2, 3 and Leverage Foreign Exchange Trading Paper 1, the SMCR UK Regulatory Exam.

Cindy has prior
experience in the following industries:
Abn Amro Clearing Bank | Hsbc | Vantage Capital Markets | Icap | Fidelity International | Global British Bank | Merrill Lynch

Cindy has the following professional experience:
Credit Agricole Cib | Abn Amro Clearing Bank | Hsbc | Vantage Capital Markets | Icap | Fidelity International | Global British Bank | Merrill Lynch